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: 56 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-12-31: 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.
- 2020-12-31: 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.
- 2020-09-15: Reporting owner Levine David Michael; Form 4; Security Class A Restricted Share Units; Transaction Holding.
- 2020-09-15: Reporting owner Levine David Michael; Form 4; Security Class A Restricted Share Units; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-12-31 | Levin James S Director, Officer (Chief Investment Officer) | 4 | Class A Restricted Share Units Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −217,638 435,269 owned after | $0.00 | 2021-01-05 | |
| 2020-12-31 | Levin James S Director, Officer (Chief Investment Officer) | 4 | Class A Restricted Share Units Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −357 720 owned after | $0.00 | 2021-01-05 | |
| 2020-09-15 holding as of filing | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 16,495 owned after | no price filed | 2020-09-15 | |
| 2020-09-15 holding as of filing | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 19,149 owned after | no price filed | 2020-09-15 | |
| 2020-09-14 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,868 5,464 owned after | $0.00 | 2020-09-15 | |
| 2020-05-04 holding as of filing | Sipp Thomas Michael Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 26,606 owned after | no price filed | 2020-05-04 | |
| 2020-05-04 holding as of filing | Sipp Thomas Michael Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 22,263 owned after | no price filed | 2020-05-04 | |
| 2020-05-03 | Sipp Thomas Michael Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −111,781 111,783 owned after | $0.00 | 2020-05-04 | |
| 2020-03-03 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +373 8,521 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +364 16,495 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +423 19,149 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −189 8,332 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Levin James S Officer (Chief Investment Officer) | 4 | Class A Restricted Share Units Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,208 54,717 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Levin James S Officer (Chief Investment Officer) | 4 | Class A Restricted Share Units Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,636 164,458 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Levin James S Officer (Chief Investment Officer) | 4 | Class A Restricted Share Units Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,435 652,907 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Levin James S Officer (Chief Investment Officer) | 4 | Class A Restricted Share Units Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +23 1,077 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +345 15,619 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100 4,533 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Cohen Wayne Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +117 5,318 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Cohen Wayne Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +343 15,520 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Shafir Robert Scott Director, Officer (Chief Executive Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,221 688,415 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Shafir Robert Scott Director, Officer (Chief Executive Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,526 114,278 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Shafir Robert Scott Director, Officer (Chief Executive Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,457 201,610 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Shafir Robert Scott Director, Officer (Chief Executive Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,882 220,828 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Sipp Thomas Michael Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,943 223,564 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Sipp Thomas Michael Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +492 22,263 owned after | $0.00 | 2020-03-04 | |
| 2020-03-03 | Sipp Thomas Michael Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +588 26,606 owned after | $0.00 | 2020-03-04 | |
| 2020-03-02 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,371 8,148 owned after | $0.00 | 2020-03-04 | |
| 2020-02-05 | Shafir Robert Scott Director, Officer (Chief Executive Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −55,875 111,752 owned after | $0.00 | 2020-02-05 | |
| 2020-02-05 | Shafir Robert Scott Director, Officer (Chief Executive Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −336,600 673,194 owned after | $0.00 | 2020-02-05 | |
| 2020-02-05 holding as of filing | Shafir Robert Scott Director, Officer (Chief Executive Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 197,153 owned after | no price filed | 2020-02-05 | |
| 2020-02-05 holding as of filing | Shafir Robert Scott Director, Officer (Chief Executive Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 215,946 owned after | no price filed | 2020-02-05 | |
| 2020-02-03 holding as of filing | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 16,519 owned after | no price filed | 2020-02-03 | |
| 2020-02-03 holding as of filing | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 18,726 owned after | no price filed | 2020-02-03 | |
| 2020-02-03 holding as of filing | Shafir Robert Scott Director, Officer (Chief Executive Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 167,627 owned after | no price filed | 2020-02-03 | |
| 2020-02-03 holding as of filing | Shafir Robert Scott Director, Officer (Chief Executive Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 1,009,794 owned after | no price filed | 2020-02-03 | |
| 2020-02-03 holding as of filing | Cohen Wayne Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 5,201 owned after | no price filed | 2020-02-03 | |
| 2020-02-03 holding as of filing | Sipp Thomas Michael Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 21,771 owned after | no price filed | 2020-02-03 | |
| 2020-02-03 holding as of filing | Sipp Thomas Michael Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 218,621 owned after | no price filed | 2020-02-03 | |
| 2020-02-03 holding as of filing | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 15,274 owned after | no price filed | 2020-02-03 | |
| 2020-02-03 holding as of filing | Levin James S Officer (Chief Investment Officer) | 4 | Class A Restricted Share Units Derivative · Indirect · (m) | Holding | 1,054 owned after | no price filed | 2020-02-03 | |
| 2020-02-03 holding as of filing | Levin James S Officer (Chief Investment Officer) | 4 | Class A Restricted Share Units Derivative · Direct · (m) | Holding | 638,472 owned after | no price filed | 2020-02-03 | |
| 2020-01-31 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,131 16,131 owned after | $0.00 | 2020-02-03 | |
| 2020-01-31 | Shafir Robert Scott Director, Officer (Chief Executive Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +215,946 215,946 owned after | $0.00 | 2020-02-03 | |
| 2020-01-31 | Shafir Robert Scott Director, Officer (Chief Executive Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −65,718 197,153 owned after | $0.00 | 2020-02-03 | |
| 2020-01-31 | Cohen Wayne Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,177 15,177 owned after | $0.00 | 2020-02-03 | |
| 2020-01-31 | Sipp Thomas Michael Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +26,018 26,018 owned after | $0.00 | 2020-02-03 | |
| 2020-01-31 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,433 4,433 owned after | $0.00 | 2020-02-03 | |
| 2020-01-31 | Levin James S Officer (Chief Investment Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +160,822 160,822 owned after | $0.00 | 2020-02-03 | |
| 2020-01-31 | Levin James S Officer (Chief Investment Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,754 53,509 owned after | $0.00 | 2020-02-03 | |
| 2020-01-03 holding as of filing | Levin James S Officer (Chief Investment Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 80,263 owned after | no price filed | 2020-01-03 | |
| 2020-01-03 holding as of filing | Sipp Thomas Michael Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 218,621 owned after | no price filed | 2020-01-03 | |
| 2020-01-03 holding as of filing | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 16,519 owned after | no price filed | 2020-01-03 | |
| 2020-01-01 | Sipp Thomas Michael Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,887 21,771 owned after | $0.00 | 2020-01-03 | |
| 2020-01-01 | Cohen Wayne Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,601 5,201 owned after | $0.00 | 2020-01-03 | |
| 2020-01-01 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,365 18,726 owned after | $0.00 | 2020-01-03 |