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SCULPTOR CAPITAL MANAGEMENT, INC. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights, 2018

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: 91 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.

  • 2018-12-31: 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.
  • 2018-12-31: 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.
  • 2018-12-26: 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.
  • 2018-12-26: 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.
Transaction dateReporting ownerFormSecurityTransactionSharesPricePrice that dayFiling
2018-12-31Levin James S
Officer (Chief Investment Officer)
4Class A Restricted Share Units
Derivative · Direct · (m)
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−5,563,874
5,609,462 owned after
$0.002019-01-03
2018-12-31Levin James S
Officer (Chief Investment Officer)
4Class A Restricted Share Units
Derivative · Indirect · (m)
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−625,043
2,500,120 owned after
$0.002019-01-03
2018-12-26Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−20,730
0 owned after
$0.002018-12-28
2018-12-26Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−46,100
46,096 owned after
$0.002018-12-28
2018-12-26Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−25,999
51,994 owned after
$0.002018-12-28
2018-12-26Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−207,919
415,835 owned after
$0.002018-12-28
2018-11-20Levine David Michael
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+4,923
263,430 owned after
$0.002018-11-21
2018-11-20Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+387
20,730 owned after
$0.002018-11-21
2018-11-20Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+1,723
92,196 owned after
$0.002018-11-21
2018-11-20Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+1,457
77,993 owned after
$0.002018-11-21
2018-11-20Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+11,658
623,754 owned after
$0.002018-11-21
2018-11-20Shafir Robert Scott
Director, Officer (Chief Executive Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+39,730
2,125,602 owned after
$0.002018-11-21
2018-11-20Shafir Robert Scott
Director, Officer (Chief Executive Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+239,339
12,804,640 owned after
$0.002018-11-21
2018-11-20Sipp Thomas Michael
Officer (Chief Financial Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+58,294
3,118,775 owned after
$0.002018-11-21
2018-11-20Levin James S
Officer (Co-CIO and Head of Glbl Credit)
4Class A Restricted Share Units
Derivative · Direct · (m)
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+208,846
11,173,336 owned after
$0.002018-11-21
2018-11-20Levin James S
Officer (Co-CIO and Head of Glbl Credit)
4Class A Restricted Share Units
Derivative · Indirect · (m)
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+58,412
3,125,163 owned after
$0.002018-11-21
2018-09-14Levine David Michael
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−26,186
258,507 owned after
$0.002018-09-17
2018-08-23Levine David Michael
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−145
284,693 owned after
$0.002018-08-23
2018-08-20Shafir Robert Scott
Director, Officer (Chief Executive Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+21,176
2,085,872 owned after
$0.002018-08-22
2018-08-20Shafir Robert Scott
Director, Officer (Chief Executive Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+127,566
12,565,301 owned after
$0.002018-08-22
2018-08-20Levin James S
Officer (Co-CIO and Head of Glbl Credit)
4Class A Restricted Share Units
Derivative · Direct · (m)
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+111,312
10,964,490 owned after
$0.002018-08-22
2018-08-20Levin James S
Officer (Co-CIO and Head of Glbl Credit)
4Class A Restricted Share Units
Derivative · Indirect · (m)
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+31,132
3,066,751 owned after
$0.002018-08-22
2018-08-20Sipp Thomas Michael
Officer (Chief Financial Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+31,070
3,060,481 owned after
$0.002018-08-22
2018-08-20Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+206
20,343 owned after
$0.002018-08-22
2018-08-20Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+918
90,473 owned after
$0.002018-08-22
2018-08-20Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+777
76,536 owned after
$0.002018-08-22
2018-08-20Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+6,214
612,096 owned after
$0.002018-08-22
2018-08-20Levine David Michael
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+3,035
284,838 owned after
$0.002018-08-22
2018-08-14Levine David Michael
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−14,146
281,803 owned after
$0.002018-08-16
2018-05-21Levin James S
Officer (Co-CIO and Head of Glbl Credit)
4Class A Restricted Share Units
Derivative · Direct · (m)
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+105,368
10,853,178 owned after
$0.002018-05-22
2018-05-21Levin James S
Officer (Co-CIO and Head of Glbl Credit)
4Class A Restricted Share Units
Derivative · Indirect · (m)
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+29,470
3,035,619 owned after
$0.002018-05-22
2018-05-21Levine David Michael
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+2,873
295,949 owned after
$0.002018-05-22
2018-05-21Shafir Robert Scott
Director, Officer (Chief Executive Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+120,754
12,437,735 owned after
$0.002018-05-22
2018-05-21Shafir Robert Scott
Director, Officer (Chief Executive Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+20,045
2,064,696 owned after
$0.002018-05-22
2018-05-21Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+195
20,137 owned after
$0.002018-05-22
2018-05-21Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+869
89,555 owned after
$0.002018-05-22
2018-05-21Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+735
75,759 owned after
$0.002018-05-22
2018-05-21Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+5,882
605,882 owned after
$0.002018-05-22
2018-05-21Sipp Thomas Michael
Officer (Chief Financial Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+29,411
3,029,411 owned after
$0.002018-05-22
2018-05-03Sipp Thomas Michael
Officer (Chief Financial Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+3,000,000
3,000,000 owned after
$0.002018-05-04
2018-04-24
holding as of filing
Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
Holding
75,024 owned after
no price filed2018-04-24
2018-04-24
holding as of filing
Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
Holding
88,686 owned after
no price filed2018-04-24
2018-04-24
holding as of filing
Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
Holding
19,942 owned after
no price filed2018-04-24
2018-04-23Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+600,000
600,000 owned after
$0.002018-04-24
2018-03-09
holding as of filing
Windreich David
Director, Officer (Co-Chief Investment Officer)
4Group A Units
Derivative · Direct
Holding
4,773,863 owned after
no price filed2018-03-09
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Direct · (m)
G Bona fide gift−3,271,766
47,928,701 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
G Bona fide gift+3,271,766
79,370,810 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Direct · (m)
G Bona fide gift−2,424,436
45,504,265 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
G Bona fide gift+2,424,436
81,795,246 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
G Bona fide gift−2,608,946
81,795,246 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
G Bona fide gift+2,608,946
81,795,246 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
G Bona fide gift−555,610
81,795,246 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
G Bona fide gift+555,610
81,795,246 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
G Bona fide gift−3,094,507
78,700,739 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
J Other acquisition or disposition (describe transaction)+3,094,507
81,795,246 owned after
$1.582018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
G Bona fide gift−2,608,946
81,795,246 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
G Bona fide gift+2,608,946
81,795,246 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
G Bona fide gift−555,610
81,795,246 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
G Bona fide gift+555,610
81,795,246 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
G Bona fide gift−3,094,507
78,700,739 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
J Other acquisition or disposition (describe transaction)+3,094,507
81,795,246 owned after
$1.582018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
G Bona fide gift−2,608,945
81,795,246 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
G Bona fide gift+2,608,945
81,795,246 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
G Bona fide gift−555,611
81,795,246 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
G Bona fide gift+555,611
81,795,246 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
G Bona fide gift−3,094,507
78,700,739 owned after
$0.002018-03-12
2018-03-08Och Daniel
Director, 10% Owner
4Group A Units
Derivative · Indirect · (m)
J Other acquisition or disposition (describe transaction)+3,094,507
81,795,246 owned after
$1.582018-03-12
2018-03-08Windreich David
Director, Officer (Co-Chief Investment Officer)
4Group A Units
Derivative · Indirect · Held by Trusts
J Other acquisition or disposition (describe transaction)−9,240,506
30,421,004 owned after
$1.582018-03-09
2018-03-08Windreich David
Director, Officer (Co-Chief Investment Officer)
4Group A Units
Derivative · Indirect · Held by Trusts
J Other acquisition or disposition (describe transaction)+9,240,506
30,421,004 owned after
$1.582018-03-09
2018-03-05Shafir Robert Scott
Director, Officer (Chief Executive Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+316,981
12,316,981 owned after
$0.002018-03-06
2018-03-05Shafir Robert Scott
Director, Officer (Chief Executive Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+52,619
2,044,651 owned after
$0.002018-03-06
2018-03-05Levin James S
Officer (Co-CIO and Head of Glbl Credit)
4Class A Restricted Share Units
Derivative · Direct · (m)
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+261,307
10,153,712 owned after
$0.002018-03-06
2018-03-05Levin James S
Officer (Co-CIO and Head of Glbl Credit)
4Class A Restricted Share Units
Derivative · Indirect · (m)
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+92,652
3,600,247 owned after
$0.002018-03-06
2018-03-05Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+513
19,942 owned after
$0.002018-03-06
2018-03-05Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+2,282
88,686 owned after
$0.002018-03-06
2018-03-05Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+1,930
75,024 owned after
$0.002018-03-06
2018-03-05Levine David Michael
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+9,513
295,047 owned after
$0.002018-03-06
2018-03-05Levine David Michael
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−1,971
293,076 owned after
$0.002018-03-06
2018-03-01Levine David Michael
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−74,619
285,534 owned after
$0.002018-03-01
2018-02-16Levin James S
Officer (Co-CIO and Head of Glbl Credit)
4Group A Units
Derivative · Direct · (m)
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−5,992,405
6,297,339 owned after
$0.002018-02-21
2018-02-16Levin James S
Officer (Co-CIO and Head of Glbl Credit)
4Group A Units
Derivative · Indirect · (m)
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−7,595
1,413,155 owned after
$0.002018-02-21
2018-02-16Levin James S
Officer (Co-CIO and Head of Glbl Credit)
4Class A Restricted Share Units
Derivative · Direct · (m)
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+9,892,405
9,892,405 owned after
$0.002018-02-21
2018-02-16Levin James S
Officer (Co-CIO and Head of Glbl Credit)
4Class A Restricted Share Units
Derivative · Indirect · (m)
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+3,507,595
3,507,595 owned after
$0.002018-02-21
2018-02-05Shafir Robert Scott
Director, Officer (Chief Executive Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+12,000,000
12,000,000 owned after
$0.002018-02-07
2018-02-05Shafir Robert Scott
Director, Officer (Chief Executive Officer)
4Class A Performance-Based Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+10,000,000
10,000,000 owned after
$0.002018-02-07
2018-02-05Shafir Robert Scott
Director, Officer (Chief Executive Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+1,992,032
1,992,032 owned after
$0.002018-02-07
2018-02-01Levine David Michael
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−27,981
360,153 owned after
$0.002018-02-01
2018-02-01
holding as of filing
Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
Holding
86,404 owned after
no price filed2018-02-01
2018-02-01
holding as of filing
Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
Holding
19,429 owned after
no price filed2018-02-01
2018-01-31Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−79,874
0 owned after
$0.002018-02-01
2018-01-31Elisha Erez
Officer (Chief Accounting Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+73,094
73,094 owned after
$0.002018-02-01