LEVIN JAMES S

PrivateCIK: 1572628

Location

NEW YORK, NY

LEVIN JAMES S (Co-CIO and Head of Glbl Credit) exercised options at SCULPTOR CAPITAL MANAGEMENT, INC.

Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.

M · 3 exercises

LEVIN JAMES S

Filed: 1/5/2021ACC: 0001403256-21-000022

InsiderLEVIN JAMES SCIK 1572628

→

IssuerSCULPTOR CAPITAL MANAGEMENT, INC.CIK 1403256

Officer· Co-CIO and Head of Glbl Credit

Since Aug 2018

-145.79K

Net shares

Net seller

$2.22M

Total sold

0

Open market trades

0B · 0S

9

Total transactions

272.81K acquired · 418.60K disposed

Non-Derivative Transactions6

Class A Shares

Direct

M · Option Exercise

Shares

+217.64K

Price / share

—

Trade value

—

% of position

58.1%

12/31/2020

374.88K→592.52K

Class A Shares

Indirect

M · Option Exercise

Shares

+357.00

Price / share

—

Trade value

—

% of position

1.4%

12/31/2020

25.21K→25.57K

Class A Shares

Direct

D · Disposition

Shares

−116.24K

Price / share

$15.25

Trade value

$1.77M

% of position

19.6%

12/31/2020

592.52K→476.28K

Class A Shares

Indirect

D · Disposition

Shares

−191.00

Price / share

$15.25

Trade value

$2.91K

% of position

0.7%

12/31/2020

25.57K→25.38K

Class A Shares

Direct

M · Option Exercise

Shares

+54.82K

Price / share

—

Trade value

—

% of position

11.5%

1/1/2021

476.28K→531.10K

Class A Shares

Direct

D · Disposition

Shares

−29.36K

Price / share

$15.20

Trade value

$446.21K

% of position

5.5%

1/1/2021

531.10K→501.74K

Total

Net shares

+127.03K

Net value

-$2.22M

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Class A Shares Direct	12/31/2020	M · Option Exercise	+217.64K	—	—	58.1%	374.88K	592.52K
Class A Shares Indirect	12/31/2020	M · Option Exercise	+357.00	—	—	1.4%	25.21K	25.57K
Class A Shares Direct	12/31/2020	D · Disposition	−116.24K	$15.25	$1.77M	19.6%	592.52K	476.28K
Class A Shares Indirect	12/31/2020	D · Disposition	−191.00	$15.25	$2.91K	0.7%	25.57K	25.38K
Class A Shares Direct	1/1/2021	M · Option Exercise	+54.82K	—	—	11.5%	476.28K	531.10K
Class A Shares Direct	1/1/2021	D · Disposition	−29.36K	$15.20	$446.21K	5.5%	531.10K	501.74K
Total			+127.03K		-$2.22M

Derivative Transactions3

Class A Restricted Share Units

Direct

M · Option Exercise

Converts to

Class A Shares

217.64K shares

Shares

−217.64K

Strike price

Held after

435.27K

Exercisable

—

12/31/2020

Class A Restricted Share Units

Indirect

M · Option Exercise

Converts to

Class A Shares

357.00 shares

Shares

−357.00

Strike price

Held after

720.00

Exercisable

—

12/31/2020

Class A Restricted Share Units

Direct

M · Option Exercise

Converts to

Class A Shares

54.82K shares

Shares

−54.82K

Strike price

Held after

109.64K

Exercisable

—

1/1/2021

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Class A Restricted Share Units Direct	Class A Shares217.64K shares	12/31/2020	M · Option Exercise	−217.64K		—	435.27K
Class A Restricted Share Units Indirect	Class A Shares357.00 shares	12/31/2020	M · Option Exercise	−357.00		—	720.00
Class A Restricted Share Units Direct	Class A Shares54.82K shares	1/1/2021	M · Option Exercise	−54.82K		—	109.64K

Non-Derivative Holdings (Post-Transaction)0

No non-derivative holdings reported

Derivative Holdings (Post-Transaction)1

Class A Restricted Share Units

Direct

Underlying security

Class A Shares

Underlying shares

54.72K

Shares owned

54.72K

Exercise price

Expiration

—

Exercise window

—

Total

Underlying

54.72K

Owned

54.72K

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Class A Restricted Share Units Direct	Class A Shares		—	—	54.72K	54.72K
Total					54.72K	54.72K

LEVIN JAMES S — Insider Transaction (Form 4) Filed Jan 5, 2021 | Finecho