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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 | (2) | 12/26/2014 | M | 250,950 | (4) | (4) | Class A Shares (2) | 250,950 | $ 0 | 0 | D | ||||
Class A Restricted Share Units | (2) | 12/26/2014 | M | 1,534,729 | (5) | (5) | Class A Shares (2) | 1,534,729 | $ 0 | 1,534,724 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Levin James S C/O OCH-ZIFF CAPITAL MANAGEMENT GROUP LLC, 9 W 57TH STREET NEW YORK, NY 10019 |
Head of Global Credit |
/s/ Joel M. Frank, Attorney-in-fact for James S. Levin | 12/30/2014 | |
**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) | The amount shown represents the December 26, 2014 vesting of the Class A Restricted Share Units held by the Reporting Person. |
(2) | 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. |
(3) | This number of Class A Restricted Share Units was settled in cash by the Issuer. |
(4) | The amount shown represents the vesting of the Class A Restricted Share Units granted to the Reporting Person on January 31, 2012, including any dividend equivalents accrued on such units. These Class A Restricted Share Units vested in full on December 26, 2014. |
(5) | The amount shown represents the vesting of the Class A Restricted Share Units granted to the Reporting Person on January 31, 2013, including any dividend equivalents accrued on such units. The remaining Class A Restricted Share Units vest, subject to certain limited exceptions, in full on December 26, 2015. |