Windreich David 4
4 · Och-Ziff Capital Management Group LLC · Filed Mar 9, 2018
Insider Transaction Report
Form 4
Windreich David
DirectorExecutive Managing Director
Transactions
- Other
Group A Units
2018-03-08$1.58/sh−9,240,506$14,599,999→ 30,421,004 total(indirect: By Trust)→ Class A Shares (9,240,506 underlying) - Other
Group A Units
2018-03-08$1.58/sh+9,240,506$14,599,999→ 30,421,004 total(indirect: By Trust)→ Class A Shares (9,240,506 underlying)
Holdings
- 4,773,863
Group A Units
→ Class A Shares (4,773,863 underlying)
Footnotes (3)
- [F1]One 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 "Oz Operating Group"). Pursuant to an exchange agreement, the Reporting Person may, subject to vesting and minimum retained ownership requirements and transfer restrictions set forth in the partnership agreements of the Oz Operating Group, exchange 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. Upon the exchange of one Group A Unit for one Class A Share, one Class B Share will be canceled for no consideration.
- [F2]Reflects transactions by the Reporting Person with certain related trusts for family members or estate planning purposes.
- [F3]The 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, 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.