Frank Joel 5
5 · Och-Ziff Capital Management Group LLC · Filed Feb 14, 2013
Insider Transaction Report
Form 5
Frank Joel
DirectorChief Financial Officer
Transactions
- Gift
Och-Ziff Operating Group A Units
2012-03-01−568,472→ 2,268,196 total(indirect: By Trust)→ Class A Shares (568,472 underlying) - Gift
Och-Ziff Operating Group A Units
2012-03-01+568,472→ 2,268,196 total(indirect: By Trust)→ Class A Shares (568,472 underlying) - Gift
Och-Ziff Operating Group A Units
2012-12-03−599,235→ 4,000,000 total→ Class A Shares (599,235 underlying) - Gift
Och-Ziff Operating Group A Units
2012-12-03+599,235→ 2,867,431 total(indirect: By Trust)→ Class A Shares (599,235 underlying)
Footnotes (4)
- [F1]One Och-Ziff Operating Group A Unit consists of one Class A Common Unit of each of OZ Advisors LP ("OZA"), OZ Advisors II LP ("OZA II") and OZ Management LP ("OZM," and together with OZA and OZA II, the "Och-Ziff Operating Group"). Pursuant to an exchange agreement, Mr. Frank may, subject to minimum retained ownership requirements and transfer restrictions set forth in the partnership agreements of the Och-Ziff Operating Group, exchange Och-Ziff Operating Group A Units for Class A Shares of the Company on a one-for-one basis, subject to exchange rate adjustments for splits, distributions and reclassifications.
- [F2]Reflects gifts between and among trusts.
- [F3]Reflects holdings immediately following the reported transaction.
- [F4]The Och-Ziff Operating Group A Units listed here are held in trusts. Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934, as amended, Mr. Frank herein states that this filing shall not be deemed an admission that he is the beneficial owner of any such interests held by Trusts, and disclaims beneficial ownership of such interests, except to the extent of his pecuniary interest therein.