UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d)

OF THE SECURITIES EXCHANGE ACT OF 1934

Date of report (Date of earliest event reported): July 3, 2019 (July 2, 2019)

 

 

OCH-ZIFF CAPITAL MANAGEMENT GROUP INC.

(Exact Name of Registrant as Specified in Its Charter)

 

 

 

Delaware   001-33805   26-0354783

(State or Other Jurisdiction

of Incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

9 West 57th Street, New York, New York   10019
(Address of Principal Executive Offices)   (Zip Code)

212-790-0000

(Registrant’s Telephone Number, Including Area Code)

Not Applicable

(Former Name or Former Address, if Changed Since Last Report)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

☐

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

☐

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

☐

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

☐

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

Emerging growth company  ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐

 

 

Securities registered pursuant to Section 12(b) of the Act:

 

(Title of each class)

 

(Trading

symbol)

 

(Name of each exchange

on which registered)

Class A Shares   OZM   New York Stock Exchange

 

 

 

Item 5.07.

Submission of Matters to a Vote of Securities Holders.

 

  (a)

The Annual Meeting of Shareholders of the Company was held on July 2, 2019.

 

  (b)

At the Annual Meeting, the Shareholders:

(i)    elected Richard Ketchum and J. Morgan Rutman as Class III directors to serve for a term of three years and until their successors are duly elected or appointed and qualified; and

(ii)    ratified the selection of Ernst & Young LLP to serve as the Company’s independent registered public accounting firm for the year ending December 31, 2019.

Set forth below, with respect to each matter above are, as applicable, the number of votes cast for or against, the number of abstentions and the number of broker non-votes:

 

1.

Election of Directors

 

Nominee    Votes For      Withheld      Broker Non-Votes  

Richard Ketchum

     24,979,008        1,247,987        8,349,315  

J. Morgan Rutman

     25,017,396        1,209,599        8,349,315  

 

2.

Ratification of Selection of Independent Registered Public Accounting Firm

 

Votes For

     34,435,991  

Votes Against

     54,790  

Abstentions

     85,529  

SIGNATURES

Pursuant to the requirements of the Securities and Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

OCH-ZIFF CAPITAL MANAGEMENT GROUP INC.
(Registrant)
By:  

/s/ Thomas M. Sipp

  Thomas M. Sipp
  Chief Financial Officer and Executive Managing Director

July 3, 2019

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