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: 111 rows in 2021. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-01-05: Reporting owner Sipp Thomas Michael; Form 4; Security Class A Restricted Share Units; Transaction Holding.
- 2021-01-05: Reporting owner Levine David Michael; Form 4; Security Class A Restricted Share Units; Transaction Holding.
- 2021-01-01: 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.
- 2021-01-01: Reporting owner Sipp Thomas Michael; Form 4; Security Class A Restricted Share Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-01-05 holding as of filing | Sipp Thomas Michael Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 111,783 owned after | no price filed | 2021-01-05 | |
| 2021-01-05 holding as of filing | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 5,464 owned after | no price filed | 2021-01-05 | |
| 2021-01-01 | 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 | −54,820 109,638 owned after | $0.00 | 2021-01-05 | |
| 2021-01-01 | 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 | −8,869 17,737 owned after | $0.00 | 2021-01-05 | |
| 2021-01-01 | 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 | −11,131 11,132 owned after | $0.00 | 2021-01-05 | |
| 2021-01-01 | 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 | −5,499 10,996 owned after | $0.00 | 2021-01-05 | |
| 2021-01-01 | 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 | −9,575 9,574 owned after | $0.00 | 2021-01-05 | |
| 2021-01-01 | 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 | −5,174 10,346 owned after | $0.00 | 2021-01-05 | |
| 2021-01-01 | 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 | −2,659 2,659 owned after | $0.00 | 2021-01-05 | |
| 2021-01-01 | Pollard Herbert Alvin 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 | −7,810 7,809 owned after | $0.00 | 2021-01-05 | |
| 2021-01-01 | Pollard Herbert Alvin 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 | −1,512 3,021 owned after | $0.00 | 2021-01-05 |