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: 37 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-26: Reporting owner Elisha Erez; Form 4; Security Class A Restricted Share Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-26: Reporting owner Elisha Erez; Form 4; Security Class A Restricted Share Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-26: Reporting owner Elisha Erez; Form 4; Security Class A Restricted Share Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-13: Reporting owner Elisha Erez; Form 3; Security Class A Restricted Share Units; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-12-26 | Elisha Erez Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,232 0 owned after | no price filed | 2016-12-27 | |
| 2016-12-26 | Elisha Erez Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,711 12,710 owned after | no price filed | 2016-12-27 | |
| 2016-12-26 | Elisha Erez Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,946 37,891 owned after | no price filed | 2016-12-27 | |
| 2016-12-13 holding as of filing | Elisha Erez Officer (Chief Accounting Officer) | 3 | Class A Restricted Share Units Derivative · Direct | Holding | no price filed | 2016-12-13 | ||
| 2016-12-13 holding as of filing | Elisha Erez Officer (Chief Accounting Officer) | 3 | Class A Restricted Share Units Derivative · Direct | Holding | no price filed | 2016-12-13 | ||
| 2016-12-13 holding as of filing | Elisha Erez Officer (Chief Accounting Officer) | 3 | Class A Restricted Share Units Derivative · Direct | Holding | no price filed | 2016-12-13 | ||
| 2016-03-23 | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +205 4,449,800 owned after | $0.00 | 2016-03-23 | |
| 2016-03-23 holding as of filing | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by Trusts | Holding | 2,512,672 owned after | no price filed | 2016-03-23 | |
| 2016-03-23 | Varga Zoltan Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +412 13,116,611 owned after | $0.00 | 2016-03-23 | |
| 2016-03-23 | Kelly Harold Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +294 8,175,371 owned after | $0.00 | 2016-03-23 | |
| 2016-03-23 holding as of filing | Kelly Harold Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by Trusts | Holding | 1,829,825 owned after | no price filed | 2016-03-23 | |
| 2016-03-23 | Levin James S Officer (Head of Global Credit) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +602 10,689,744 owned after | $0.00 | 2016-03-23 | |
| 2016-03-23 holding as of filing | Levin James S Officer (Head of Global Credit) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by Trusts | Holding | 3,020,750 owned after | no price filed | 2016-03-23 | |
| 2016-03-23 | Cohen Wayne Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +103 3,142,151 owned after | $0.00 | 2016-03-23 | |
| 2016-03-23 holding as of filing | Cohen Wayne Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by Trust | Holding | 407,335 owned after | no price filed | 2016-03-23 | |
| 2016-03-23 | Windreich David Director, Officer (Head of US & Europe Investing) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,042 10,001,334 owned after | $0.00 | 2016-03-23 | |
| 2016-03-23 holding as of filing | Windreich David Director, Officer (Head of US & Europe Investing) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by Trusts | Holding | 26,352,554 owned after | no price filed | 2016-03-23 | |
| 2016-03-23 | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,433 63,532,909 owned after | $0.00 | 2016-03-23 | |
| 2016-03-23 holding as of filing | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · See footnotes | Holding | 93,594,143 owned after | no price filed | 2016-03-23 | |
| 2016-02-11 holding as of filing | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · See footnotes | Holding | 93,594,143 owned after | no price filed | 2016-02-11 | |
| 2016-02-11 holding as of filing | Windreich David Director, Officer (Head of US & Europe Investing) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by Trusts | Holding | 24,580,025 owned after | no price filed | 2016-02-11 | |
| 2016-02-11 holding as of filing | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by Trusts | Holding | 2,512,672 owned after | no price filed | 2016-02-11 | |
| 2016-02-11 holding as of filing | Cohen Wayne Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by Trust | Holding | 407,335 owned after | no price filed | 2016-02-11 | |
| 2016-02-11 holding as of filing | Kelly Harold Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by Trusts | Holding | 1,829,825 owned after | no price filed | 2016-02-11 | |
| 2016-02-11 holding as of filing | Levin James S Officer (Head of Global Credit) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by Trusts | Holding | 3,020,750 owned after | no price filed | 2016-02-11 | |
| 2016-02-11 holding as of filing | Levin James S Officer (Head of Global Credit) | 5 | Och-Ziff Operating Group A Units Derivative · Direct | Holding | 10,689,142 owned after | no price filed | 2016-02-11 | |
| 2016-02-09 | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,244 63,528,476 owned after | $0.00 | 2016-02-11 | |
| 2016-02-09 | Windreich David Director, Officer (Head of US & Europe Investing) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +292 11,772,821 owned after | $0.00 | 2016-02-11 | |
| 2016-02-09 | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +57 4,449,595 owned after | $0.00 | 2016-02-11 | |
| 2016-02-09 | Cohen Wayne Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29 3,142,048 owned after | $0.00 | 2016-02-11 | |
| 2016-02-09 | Kelly Harold Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +82 8,175,077 owned after | $0.00 | 2016-02-11 | |
| 2016-02-09 | Varga Zoltan Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +116 13,116,199 owned after | $0.00 | 2016-02-11 | |
| 2016-02-09 | Levin James S Officer (Head of Global Credit) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +169 10,689,142 owned after | $0.00 | 2016-02-11 | |
| 2016-01-04 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,685 18,685 owned after | $0.00 | 2016-01-06 | |
| 2016-01-04 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,685 18,685 owned after | $0.00 | 2016-01-06 | |
| 2016-01-04 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,685 18,685 owned after | $0.00 | 2016-01-06 | |
| 2016-01-04 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,685 18,685 owned after | $0.00 | 2016-01-06 |