SCULPTOR CAPITAL MANAGEMENT, INC. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 88 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-26: Reporting owner Levin James S; Form 4; Security Class A Restricted Share Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-12-26: Reporting owner Levin James S; Form 4; Security Class A Restricted Share Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-11-21: Reporting owner KENNEY JEROME P; Form 4; Security Class A Restricted Share Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-11-21: Reporting owner KENNEY JEROME P; Form 4; Security Class A Restricted Share Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-26 | Levin James S Officer (Head of Global Credit) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −250,950 0 owned after | $0.00 | 2014-12-30 | |
| 2014-12-26 | Levin James S Officer (Head of Global Credit) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,534,729 1,534,724 owned after | $0.00 | 2014-12-30 | |
| 2014-11-21 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +276 16,679 owned after | $0.00 | 2014-11-24 | |
| 2014-11-21 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +226 13,728 owned after | $0.00 | 2014-11-24 | |
| 2014-11-21 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +131 7,913 owned after | $0.00 | 2014-11-24 | |
| 2014-11-21 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +276 16,679 owned after | $0.00 | 2014-11-24 | |
| 2014-11-21 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +226 13,728 owned after | $0.00 | 2014-11-24 | |
| 2014-11-21 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +131 7,913 owned after | $0.00 | 2014-11-24 | |
| 2014-11-21 | Levin James S Officer (Head of Global Credit) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,161 250,950 owned after | $0.00 | 2014-11-24 | |
| 2014-11-21 | Levin James S Officer (Head of Global Credit) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,903 3,069,453 owned after | $0.00 | 2014-11-24 | |
| 2014-11-21 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +276 16,679 owned after | $0.00 | 2014-11-24 | |
| 2014-11-21 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +226 13,728 owned after | $0.00 | 2014-11-24 | |
| 2014-11-21 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +131 7,913 owned after | $0.00 | 2014-11-24 | |
| 2014-11-21 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +276 16,679 owned after | $0.00 | 2014-11-24 | |
| 2014-11-21 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +226 13,728 owned after | $0.00 | 2014-11-24 | |
| 2014-11-21 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +131 7,913 owned after | $0.00 | 2014-11-24 | |
| 2014-08-22 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +213 16,403 owned after | $0.00 | 2014-08-26 | |
| 2014-08-22 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175 13,502 owned after | $0.00 | 2014-08-26 | |
| 2014-08-22 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +101 7,782 owned after | $0.00 | 2014-08-26 | |
| 2014-08-22 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +213 16,403 owned after | $0.00 | 2014-08-26 | |
| 2014-08-22 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175 13,502 owned after | $0.00 | 2014-08-26 | |
| 2014-08-22 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +101 7,782 owned after | $0.00 | 2014-08-26 | |
| 2014-08-22 | Levin James S Officer (Head of Global Credit) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,222 246,789 owned after | $0.00 | 2014-08-26 | |
| 2014-08-22 | Levin James S Officer (Head of Global Credit) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +39,412 3,018,550 owned after | $0.00 | 2014-08-26 | |
| 2014-08-22 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +213 16,403 owned after | $0.00 | 2014-08-26 | |
| 2014-08-22 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175 13,502 owned after | $0.00 | 2014-08-26 | |
| 2014-08-22 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +101 7,782 owned after | $0.00 | 2014-08-26 | |
| 2014-08-22 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +213 16,403 owned after | $0.00 | 2014-08-26 | |
| 2014-08-22 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175 13,502 owned after | $0.00 | 2014-08-26 | |
| 2014-08-22 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +101 7,782 owned after | $0.00 | 2014-08-26 | |
| 2014-08-22 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +213 16,403 owned after | $0.00 | 2014-08-26 | |
| 2014-08-22 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175 13,502 owned after | $0.00 | 2014-08-26 | |
| 2014-08-22 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +101 7,782 owned after | $0.00 | 2014-08-26 | |
| 2014-07-01 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,108 0 owned after | $0.00 | 2014-07-02 | |
| 2014-07-01 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,108 0 owned after | $0.00 | 2014-07-02 | |
| 2014-05-19 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +282 16,190 owned after | $0.00 | 2014-05-21 | |
| 2014-05-19 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +232 13,327 owned after | $0.00 | 2014-05-21 | |
| 2014-05-19 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +134 7,681 owned after | $0.00 | 2014-05-21 | |
| 2014-05-19 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +282 16,190 owned after | $0.00 | 2014-05-21 | |
| 2014-05-19 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +232 13,327 owned after | $0.00 | 2014-05-21 | |
| 2014-05-19 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +134 7,681 owned after | $0.00 | 2014-05-21 | |
| 2014-05-19 | Levin James S Officer (Head of Global Credit) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,253 243,567 owned after | $0.00 | 2014-05-21 | |
| 2014-05-19 | Levin James S Officer (Head of Global Credit) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +52,027 2,979,138 owned after | $0.00 | 2014-05-21 | |
| 2014-05-19 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +159 9,108 owned after | $0.00 | 2014-05-21 | |
| 2014-05-19 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +282 16,190 owned after | $0.00 | 2014-05-21 | |
| 2014-05-19 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +232 13,327 owned after | $0.00 | 2014-05-21 | |
| 2014-05-19 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +134 7,681 owned after | $0.00 | 2014-05-21 | |
| 2014-05-19 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +159 9,108 owned after | $0.00 | 2014-05-21 | |
| 2014-05-19 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +282 16,190 owned after | $0.00 | 2014-05-21 | |
| 2014-05-19 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +232 13,327 owned after | $0.00 | 2014-05-21 | |
| 2014-05-19 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +134 7,681 owned after | $0.00 | 2014-05-21 | |
| 2014-05-01 | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | −15,094,019 93,594,143 owned after | $0.00 | 2015-02-17 | |
| 2014-05-01 | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | +15,094,019 93,594,143 owned after | $0.00 | 2015-02-17 | |
| 2014-03-03 | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | −241,159 2,512,672 owned after | $0.00 | 2015-02-17 | |
| 2014-03-03 | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | +241,159 2,512,672 owned after | $0.00 | 2015-02-17 | |
| 2014-03-03 | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | −100,510 2,512,672 owned after | $0.00 | 2015-02-17 | |
| 2014-03-03 | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | +100,510 2,512,672 owned after | $0.00 | 2015-02-17 | |
| 2014-03-03 | Levin James S Officer (Head of Global Credit) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | −485,963 3,483,886 owned after | $0.00 | 2015-02-17 | |
| 2014-03-03 | Levin James S Officer (Head of Global Credit) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | +485,963 3,483,886 owned after | $0.00 | 2015-02-17 | |
| 2014-03-03 | Windreich David Director, Officer (Head of US & Europe Investing), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | −6,890,000 24,876,726 owned after | $0.00 | 2014-03-05 | |
| 2014-03-03 | Windreich David Director, Officer (Head of US & Europe Investing), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | +6,454,680 24,876,726 owned after | $0.00 | 2014-03-05 | |
| 2014-03-03 | Windreich David Director, Officer (Head of US & Europe Investing), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | +3,530,402 14,435,458 owned after | $10.85 | 2014-03-05 | |
| 2014-03-03 | Windreich David Director, Officer (Head of US & Europe Investing), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | −3,000,000 21,876,726 owned after | $10.85 | 2014-03-05 | |
| 2014-02-25 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,218 15,908 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,002 13,095 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +578 7,547 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,218 15,908 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,002 13,095 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +578 7,547 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | Levin James S Officer (Head of Global Credit) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,333 239,314 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | Levin James S Officer (Head of Global Credit) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +224,238 2,927,111 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +685 8,949 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,218 15,908 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,002 13,095 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +578 7,547 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +685 8,949 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,218 15,908 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,002 13,095 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +578 7,547 owned after | $0.00 | 2014-02-27 | |
| 2014-02-14 holding as of filing | Windreich David Director, Officer (Head of US & Europe Investing) | 5 | Och-Ziff Operating Group A Units Derivative · Direct | Holding | 8,876,359 owned after | no price filed | 2014-02-14 | |
| 2014-02-14 holding as of filing | Blockinger Jeffrey C Officer (Chief Legal Officer) | 5 | Och-Ziff Operating Group A Units Derivative · Direct | Holding | 1,131,256 owned after | no price filed | 2014-02-14 | |
| 2014-02-14 holding as of filing | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 5 | Och-Ziff Operating Group A Units Derivative · Direct | Holding | 63,355,371 owned after | no price filed | 2014-02-14 | |
| 2014-01-02 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,969 6,969 owned after | $0.00 | 2014-01-03 | |
| 2014-01-02 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,969 6,969 owned after | $0.00 | 2014-01-03 | |
| 2014-01-02 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,962 0 owned after | $0.00 | 2014-01-03 | |
| 2014-01-02 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,969 6,969 owned after | $0.00 | 2014-01-03 | |
| 2014-01-02 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,962 0 owned after | $0.00 | 2014-01-03 | |
| 2014-01-02 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,969 6,969 owned after | $0.00 | 2014-01-03 |