0001403256-21-000231.txt : 20211221 0001403256-21-000231.hdr.sgml : 20211221 20211221174054 ACCESSION NUMBER: 0001403256-21-000231 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211217 FILED AS OF DATE: 20211221 DATE AS OF CHANGE: 20211221 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Levin James S CENTRAL INDEX KEY: 0001572628 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33805 FILM NUMBER: 211510426 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET STREET 2: 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sculptor Capital Management, Inc. 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 FL 39 CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: (212)790-0000 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET FL 39 CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: Och-Ziff Capital Management Group Inc. DATE OF NAME CHANGE: 20190508 FORMER COMPANY: FORMER CONFORMED NAME: Och-Ziff Capital Management Group LLC DATE OF NAME CHANGE: 20070614 4 1 wf-form4_164012643792474.xml FORM 4 X0306 4 2021-12-17 0 0001403256 Sculptor Capital Management, Inc. SCU 0001572628 Levin James S C/O SCULPTOR CAPITAL MANAGEMENT 9 WEST 57TH STREET NEW YORK NY 10019 1 1 0 0 CIO and CEO Class A Shares 2021-12-17 4 A 0 2314286 0 A 2687556 D Class A Shares 25376 I Held by Trusts Represents a grant of Class A Restricted Shares, which is subject to both a service condition, vesting 1/3 on each of December 17, 2024, December 17, 2025 and December 17, 2026 (the "Service Condition") and a performance condition, vesting when total shareholder return (based on the closing price on the New York Stock Exchange of a Class A Share of the Issuer, and dividends paid thereon, following the grant date) equals or exceeds the Performance Thresholds, as defined below, for a period of 60 calendar days (the "Performance Condition"). The Performance Thresholds are as follows: 1/3 of Class A Restricted Shares vest if a total shareholder return of 25% is achieved; an additional 1/3 of Class A Restricted Shares vest if a total shareholder return of 39% is achieved; and the final 1/3 of Class A Restricted Shares vest if a total shareholder return of 53% is achieved, in each case based on a reference price of $24 per Class A Share. If a Class A Restricted Share has not satisfied the Performance Condition by the seventh anniversary of the grant date, it will be forfeited and canceled immediately. The Class A Shares listed here are held in trusts. Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934, as amended, the Reporting Person herein states that this filing shall not be deemed an admission that he or any trust is the beneficial owner of any such interests, and disclaims beneficial ownership of such interests, except to the extent of his pecuniary interest therein. /s/ Wayne N. Cohen, power of attorney for James S. Levin 2021-12-21