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: 80 rows in 2022. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-12-31: 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.
- 2022-12-31: 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.
- 2022-11-30: Reporting owner Cohen Wayne; Form 4; Security Class A Restricted Share Units; Transaction Holding.
- 2022-11-30: Reporting owner Levin James S; Form 4; Security Class A Restricted Share Units; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-12-31 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −245,205 0 owned after | $0.00 | 2023-01-04 | |
| 2022-12-31 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −398 0 owned after | $0.00 | 2023-01-04 | |
| 2022-11-30 holding as of filing | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 6,026 owned after | no price filed | 2022-11-30 | |
| 2022-11-30 holding as of filing | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Indirect · Held by Trusts | Holding | 398 owned after | no price filed | 2022-11-30 | |
| 2022-11-28 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +138 138,180 owned after | $0.00 | 2022-11-30 | |
| 2022-11-28 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21 20,979 owned after | $0.00 | 2022-11-30 | |
| 2022-11-28 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,068 1,067,017 owned after | $0.00 | 2022-11-30 | |
| 2022-11-28 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31 245,205 owned after | $0.00 | 2022-11-30 | |
| 2022-11-28 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9 63,894 owned after | $0.00 | 2022-11-30 | |
| 2022-11-28 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +190 191,066 owned after | $0.00 | 2022-11-30 | |
| 2022-11-28 | 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) | +7 7,055 owned after | $0.00 | 2022-11-30 | |
| 2022-11-28 | 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) | +14 14,854 owned after | $0.00 | 2022-11-30 | |
| 2022-11-28 | 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) | +1 6,406 owned after | $0.00 | 2022-11-30 | |
| 2022-11-28 | 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 4,201 owned after | $0.00 | 2022-11-30 | |
| 2022-11-28 | 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) | +6 6,209 owned after | $0.00 | 2022-11-30 | |
| 2022-11-28 | 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) | +1 1,794 owned after | $0.00 | 2022-11-30 | |
| 2022-11-28 | 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) | +51 51,253 owned after | $0.00 | 2022-11-30 | |
| 2022-11-28 | Ritchea Dava Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +41 42,779 owned after | $0.00 | 2022-11-30 | |
| 2022-08-24 holding as of filing | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Indirect · Held by Trusts | Holding | 398 owned after | no price filed | 2022-08-24 | |
| 2022-08-22 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,940 138,042 owned after | $0.00 | 2022-08-24 | |
| 2022-08-22 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +294 20,958 owned after | $0.00 | 2022-08-24 | |
| 2022-08-22 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13 6,026 owned after | $0.00 | 2022-08-24 | |
| 2022-08-22 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,980 1,065,949 owned after | $0.00 | 2022-08-24 | |
| 2022-08-22 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +453 245,174 owned after | $0.00 | 2022-08-24 | |
| 2022-08-22 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +144 63,885 owned after | $0.00 | 2022-08-24 | |
| 2022-08-22 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,682 190,876 owned after | $0.00 | 2022-08-24 | |
| 2022-08-22 | 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) | +99 7,048 owned after | $0.00 | 2022-08-24 | |
| 2022-08-22 | 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) | +208 14,840 owned after | $0.00 | 2022-08-24 | |
| 2022-08-22 | 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) | +14 6,405 owned after | $0.00 | 2022-08-24 | |
| 2022-08-22 | 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) | +58 4,197 owned after | $0.00 | 2022-08-24 | |
| 2022-08-22 | 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) | +87 6,203 owned after | $0.00 | 2022-08-24 | |
| 2022-08-22 | 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) | +25 1,793 owned after | $0.00 | 2022-08-24 | |
| 2022-08-22 | 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) | +719 51,202 owned after | $0.00 | 2022-08-24 | |
| 2022-08-22 | Ritchea Dava Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +599 42,738 owned after | $0.00 | 2022-08-24 | |
| 2022-05-27 holding as of filing | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Indirect · Held by Trusts | Holding | 398 owned after | no price filed | 2022-05-27 | |
| 2022-05-25 | Ritchea Dava Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +403 42,139 owned after | $0.00 | 2022-05-27 | |
| 2022-05-25 | 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) | +66 6,949 owned after | $0.00 | 2022-05-27 | |
| 2022-05-25 | 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) | +140 14,632 owned after | $0.00 | 2022-05-27 | |
| 2022-05-25 | 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) | +9 6,391 owned after | $0.00 | 2022-05-27 | |
| 2022-05-25 | 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) | +39 4,139 owned after | $0.00 | 2022-05-27 | |
| 2022-05-25 | 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) | +58 6,116 owned after | $0.00 | 2022-05-27 | |
| 2022-05-25 | 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) | +16 1,768 owned after | $0.00 | 2022-05-27 | |
| 2022-05-25 | 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) | +483 50,483 owned after | $0.00 | 2022-05-27 | |
| 2022-05-25 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,061 1,050,969 owned after | $0.00 | 2022-05-27 | |
| 2022-05-25 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +304 244,721 owned after | $0.00 | 2022-05-27 | |
| 2022-05-25 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +96 63,741 owned after | $0.00 | 2022-05-27 | |
| 2022-05-25 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,801 188,194 owned after | $0.00 | 2022-05-27 | |
| 2022-05-25 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,302 136,102 owned after | $0.00 | 2022-05-27 | |
| 2022-05-25 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +197 20,664 owned after | $0.00 | 2022-05-27 | |
| 2022-05-25 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9 6,013 owned after | $0.00 | 2022-05-27 | |
| 2022-02-02 holding as of filing | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 20,467 owned after | no price filed | 2022-02-02 | |
| 2022-02-02 holding as of filing | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 6,004 owned after | no price filed | 2022-02-02 | |
| 2022-02-02 holding as of filing | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct · (m) | Holding | 244,417 owned after | no price filed | 2022-02-02 | |
| 2022-02-02 holding as of filing | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Indirect · (m) | Holding | 398 owned after | no price filed | 2022-02-02 | |
| 2022-02-02 holding as of filing | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct · (m) | Holding | 63,645 owned after | no price filed | 2022-02-02 | |
| 2022-02-02 holding as of filing | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct · (m) | Holding | 186,393 owned after | no price filed | 2022-02-02 | |
| 2022-02-02 holding as of filing | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 14,492 owned after | no price filed | 2022-02-02 | |
| 2022-02-02 holding as of filing | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 6,382 owned after | no price filed | 2022-02-02 | |
| 2022-02-02 holding as of filing | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 6,058 owned after | no price filed | 2022-02-02 | |
| 2022-02-02 holding as of filing | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 1,752 owned after | no price filed | 2022-02-02 | |
| 2022-02-02 holding as of filing | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 50,000 owned after | no price filed | 2022-02-02 | |
| 2022-01-31 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +134,800 134,800 owned after | $0.00 | 2022-02-02 | |
| 2022-01-31 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,040,908 1,040,908 owned after | $0.00 | 2022-02-02 | |
| 2022-01-31 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,719 0 owned after | $0.00 | 2022-02-02 | |
| 2022-01-31 | 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) | +6,883 6,883 owned after | $0.00 | 2022-02-02 | |
| 2022-01-31 | 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) | +4,100 4,100 owned after | $0.00 | 2022-02-02 | |
| 2022-01-31 | Ritchea Dava Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +41,736 41,736 owned after | $0.00 | 2022-02-02 | |
| 2022-01-05 holding as of filing | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 50,000 owned after | no price filed | 2022-01-05 | |
| 2022-01-05 holding as of filing | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 30,719 owned after | no price filed | 2022-01-05 | |
| 2022-01-01 | 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 | −3,032 6,058 owned after | $0.00 | 2022-01-05 | |
| 2022-01-01 | 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 | −1,753 1,752 owned after | $0.00 | 2022-01-05 | |
| 2022-01-01 | 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 | −9,064 0 owned after | $0.00 | 2022-01-05 | |
| 2022-01-01 | 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 | −7,247 14,492 owned after | $0.00 | 2022-01-05 | |
| 2022-01-01 | 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 | −6,383 6,382 owned after | $0.00 | 2022-01-05 | |
| 2022-01-01 | 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 | −10,750 0 owned after | $0.00 | 2022-01-05 | |
| 2022-01-01 | Cohen Wayne Director, 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 | −10,234 20,467 owned after | $0.00 | 2022-01-05 | |
| 2022-01-01 | Cohen Wayne Director, 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 | −6,006 6,004 owned after | $0.00 | 2022-01-05 | |
| 2022-01-01 | Cohen Wayne Director, 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 | −2,982 0 owned after | $0.00 | 2022-01-05 | |
| 2022-01-01 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −63,649 63,645 owned after | $0.00 | 2022-01-05 | |
| 2022-01-01 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −93,201 186,393 owned after | $0.00 | 2022-01-05 |