# EDGAR Filing Document

**Accession Number:** 0001840457
**File Stem:** 0001403256-23-000022
**Filing Date:** 2023-1
**Character Count:** 8125
**Document Hash:** 393650e7b39f2bb29fcb19acdd64017b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001403256-23-000022.hdr.sgml**: 20230104

**ACCESSION NUMBER**: 0001403256-23-000022

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230101

**FILED AS OF DATE**: 20230104

**DATE AS OF CHANGE**: 20230104

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Ritchea Dava
- **CENTRAL INDEX KEY:** 0001840457

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-33805
- **FILM NUMBER:** 23508683

**MAIL ADDRESS:**
- **STREET 1:** 9 WEST 57TH STREET
- **STREET 2:** 39TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Sculptor Capital Management, Inc.
- **CENTRAL INDEX KEY:** 0001403256
- **STANDARD INDUSTRIAL CLASSIFICATION:** INVESTMENT ADVICE [6282]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 9 WEST 57TH STREET FL 39
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019
- **BUSINESS PHONE:** (212)790-0000

**MAIL ADDRESS:**
- **STREET 1:** 9 WEST 57TH STREET FL 39
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Och-Ziff Capital Management Group Inc.
- **DATE OF NAME CHANGE:** 20190508

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Och-Ziff Capital Management Group LLC
- **DATE OF NAME CHANGE:** 20070614

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Ritchea Dava<br><sub>(Last) (First) (Middle)</sub><br>C/O SCULPTOR CAPITAL MANAGEMENT<br>9 WEST 57TH STREET<br><sub>(Street)</sub><br>NEW YORK, NY 10019<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-01 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Financial Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Sculptor Capital Management, Inc. [ SCU ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Class A Shares | 2023-01-01 |  | M |  | 14262<sup>(1)</sup> | A | 0<sup>(2)</sup> | 160542 | D |  |
| Class A Shares | 2023-01-01 |  | D |  | 14262<sup>(2)</sup> | D | $8.66 | 146280 | D |  |
| Class A Shares | 2023-01-01 |  | F |  | 2047<sup>(3)</sup> | D | $8.66 | 144233<sup>(4)(5)(6)</sup> | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Class A Restricted Share Units | <sup>(2)</sup> | 2023-01-01 |  | M |  |  | 14262 | <sup>(7)</sup> | <sup>(7)</sup> | Class A Shares | 14262.0 | $0 | 28517 | D |  |

---

### Footnotes:

(1) The amount shown represents the vesting of the Class A Restricted Share Units held by the Reporting Person.

(2) Represents Class A Restricted Share Units settled in cash by the Issuer.

(3) Represents shares that have been withheld by the Issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of Class A Restricted Shares.

(4) Includes 103,500 of Class A Restricted Shares, which is subject to both a service condition, vesting 1/3 on each of December 17, 2024, December 17, 2025 and December 17, 2026 (the "Service Condition") and a performance condition, vesting when total shareholder return (based on the closing price on the New York Stock Exchange of a Class A Share of the Issuer, and dividends paid thereon, following the grant date) equals or exceeds the Performance Thresholds, as defined below, for a period of 60 calendar days (the "Performance Condition"). The Performance Thresholds are as follows: 1/3 of Class A Restricted Shares vest if a total shareholder return of 25% is achieved; an additional 1/3 of Class A Restricted Shares vest if a total shareholder return of 39% is achieved; and the final 1/3 of Class A Restricted Shares vest if a total shareholder return of 53% is achieved, in each case based on a reference price of $24 per Class A Share.

(5) If a Class A Restricted Share described in the footnote above has not satisfied the Performance Condition by the seventh anniversary of the grant date, it will be forfeited and canceled immediately.

(6) Includes 28,518 of Class A Restricted Shares granted on January 31, 2022. The remaining Class A Restricted Shares vest, subject to certain limited exceptions, in equal installments on January 1, 2024 and January 1, 2025.

(7) The Class A Restricted Share Units relate to Class A Restricted Share Units granted on January 31, 2022. The remaining Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on January 1, 2024 and January 1, 2025.

**Signature:** /s/ Wayne N. Cohen, power of attorney for Dava Ritchea  
**Date:** 2023-01-04

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* 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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**