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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Class A Restricted Share Units | (1) | 05/19/2014 | A | 159 | (2) | (2) | Class A Shares (1) | 159 | $ 0 | 9,108 | D | ||||
Class A Restricted Share Units | (3) | 05/19/2014 | A | 282 | (4) | (4) | Class A Shares (3) | 282 | $ 0 | 16,190 | D | ||||
Class A Restricted Share Units | (3) | 05/19/2014 | A | 232 | (5) | (5) | Class A Shares (3) | 232 | $ 0 | 13,327 | D | ||||
Class A Restricted Share Units | (3) | 05/19/2014 | A | 134 | (6) | (6) | Class A Shares (3) | 134 | $ 0 | 7,681 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PROCTOR GEORGANNE C/O OCH-ZIFF CAPITAL MANAGEMENT GROUP LLC, 9 WEST 57TH STREET NEW YORK, NY 10019 |
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/s/ Jeffrey C. Blockinger, Attorney-in-fact for Georganne Proctor | 05/21/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each Class A Restricted Share Unit represents a right to receive one of the Issuer's Class A Shares upon the vesting date. |
(2) | The Class A Restricted Share Units are dividend equivalents accrued on the outstanding Class A Restricted Share Units granted on June 22, 2011. The Class A Restricted Share Units vest, subject to certain limited exceptions, in full on July 1, 2014. |
(3) | Each Class A Restricted Share Unit represents a right to receive one of the Issuer's Class A Shares. With respect to each vested Class A Restricted Share Unit, the Reporting Person shall receive one of the Issuer's Class A Shares on or before the third business day following the Reporting Person's departure from the Issuer's Board of Directors. |
(4) | The Class A Restricted Share Units are dividend equivalents accrued on the outstanding Class A Restricted Share Units granted on January 3, 2012. The Class A Restricted Share Units vest, subject to certain limited exceptions, in full on January 1, 2015. |
(5) | The Class A Restricted Share Units are dividend equivalents accrued on the outstanding Class A Restricted Share Units granted on January 2, 2013. The Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on January 1, 2015 and Janaury 1, 2016. |
(6) | The Class A Restricted Share Units are dividend equivalents accrued on the outstanding Class A Restricted Share Units granted on January 2, 2014. The Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on the first through third anniversaries of January 1, 2014. |