0001403256-18-000237.txt : 20180917 0001403256-18-000237.hdr.sgml : 20180917 20180917163813 ACCESSION NUMBER: 0001403256-18-000237 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180914 FILED AS OF DATE: 20180917 DATE AS OF CHANGE: 20180917 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Levine David Michael CENTRAL INDEX KEY: 0001691807 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33805 FILM NUMBER: 181073802 MAIL ADDRESS: STREET 1: OCH-ZIFF CAPITAL MANAGEMENT GROUP LLC STREET 2: 9 WEST 57TH STREET, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Och-Ziff Capital Management Group LLC CENTRAL INDEX KEY: 0001403256 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET SUITE 1300 CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: (212)790-0000 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET SUITE 1300 CITY: NEW YORK STATE: NY ZIP: 10019 4 1 wf-form4_153721667517764.xml FORM 4 X0306 4 2018-09-14 0 0001403256 Och-Ziff Capital Management Group LLC OZM 0001691807 Levine David Michael OCH-ZIFF CAPITAL MANAGEMENT GROUP LLC 9 WEST 57TH STREET, 39TH FLOOR NEW YORK NY 10019 0 1 0 0 Chief Legal Officer Class A Shares 2018-09-14 4 M 0 26186 A 26186 D Class A Shares 2018-09-14 4 S 0 26186 1.66 D 0 D Class A Restricted Share Units 2018-09-14 4 M 0 26186 0 D Class A Shares 26186.0 258507 D The amount shown represents the vesting of the Class A Restricted Share Units held by the Reporting Person. Each Class A Restricted Share Unit represents, at the election of the administrator of the applicable plan (currently the Issuer's Compensation Committee), a right to receive one of the Issuer's Class A Shares or the cash value thereof, upon the vesting date. The Class A Shares were sold at prices ranging from $1.65 to $1.67. Upon request, the Reporting Person will provide to the U.S. Securities and Exchange Commission staff, the Issuer and any security holder of the Issuer full information regarding the number of Class A Shares sold at each separate price. The Class A Restricted Share Units vest, subject to certain limited exceptions, as follows: 78,133 on March 1, 2019; 26,187 on September 13, 2019; 78,132 on March 2, 2020; 26,186 on September 14, 2020; and 49,869 on March 1, 2021. All sales listed on this Form 4 were made by the Reporting Person pursuant to a pre-established plan that is intended to comply with Rule 10b5-1(c) under the Securities Exchange Act of 1934. /s/ David Michael Levine 2018-09-17