Last 12 months
Inside the activity.
1 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 31, 2017 Filed Jan 4, 2018 01:29 UTC |
Frank JohnDirector · Vice Chairman
|
GiftOCGH Units · Derivative | 112,502 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-000384 · doc4.xml · derivative · entry 2 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 112,502 Underlying: Class A Units · 112,502 shares Expires not disclosed F1 · derivative.exercise_price: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F3 · kind: Transfer of 112,502 OCGH units by a terminating grantor retained annuity trust to a trust controlled by Mr. Frank in his capacity as trustee for the benefit of a family member in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Frank. F1 · derivative.exercise_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · derivative.expiration_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F3 · ownership.nature: Transfer of 112,502 OCGH units by a terminating grantor retained annuity trust to a trust controlled by Mr. Frank in his capacity as trustee for the benefit of a family member in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Frank. Read SEC document |
| December 31, 2017 Filed Jan 4, 2018 01:29 UTC |
Frank JohnDirector · Vice Chairman
|
GiftOCGH Units · Derivative | 112,502 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-000384 · doc4.xml · derivative · entry 1 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By grantor retained annuity trust Disclosed balance after: 112,501 Underlying: Class A Units · 112,502 shares Expires not disclosed F1 · derivative.exercise_price: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F3 · kind: Transfer of 112,502 OCGH units by a terminating grantor retained annuity trust to a trust controlled by Mr. Frank in his capacity as trustee for the benefit of a family member in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Frank. F1 · derivative.exercise_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · derivative.expiration_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F3 · ownership.nature: Transfer of 112,502 OCGH units by a terminating grantor retained annuity trust to a trust controlled by Mr. Frank in his capacity as trustee for the benefit of a family member in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Frank. Read SEC document |
| December 08, 2017 Filed Dec 9, 2017 01:05 UTC |
Molz Todd ESee Remarks
|
GiftClass A Units | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028307 · doc4.xml · nonDerivative · entry 2 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,717 Read SEC document |
| December 08, 2017 Filed Dec 9, 2017 01:05 UTC |
MARKS HOWARD SDirector · Co-Chairman
|
GiftClass A Units | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028306 · doc4.xml · nonDerivative · entry 3 MARKS HOWARD S · CIK 0001372705 · Director · Co-Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,826 Read SEC document |
| December 07, 2017 Filed Dec 9, 2017 01:18 UTC |
Frank JohnDirector · Vice Chairman
|
GiftClass A Units | 2,250 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028308 · doc4.xml · nonDerivative · entry 3 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,667 Read SEC document |
| December 07, 2017 Filed Dec 9, 2017 01:18 UTC |
Frank JohnDirector · Vice Chairman
|
GiftClass A Units | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028308 · doc4.xml · nonDerivative · entry 2 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,917 Read SEC document |
| December 07, 2017 Filed Dec 9, 2017 01:05 UTC |
MARKS HOWARD SDirector · Co-Chairman
|
GiftClass A Units | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028306 · doc4.xml · nonDerivative · entry 2 MARKS HOWARD S · CIK 0001372705 · Director · Co-Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,826 Read SEC document |
| December 06, 2017 Filed Dec 9, 2017 01:18 UTC |
Frank JohnDirector · Vice Chairman
|
Exercise / conversionOCGH Units · Derivative | 3,250 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028308 · doc4.xml · derivative · entry 4 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,097,147 Underlying: Class A Units · 3,250 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In furtherance of a charitable contribution, the Reporting Person exchanged 3,250 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 3,250 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_price: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · kind: In furtherance of a charitable contribution, the Reporting Person exchanged 3,250 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 3,250 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.expiration_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| December 06, 2017 Filed Dec 9, 2017 01:05 UTC |
Molz Todd ESee Remarks
|
Exercise / conversionOCGH Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028307 · doc4.xml · derivative · entry 3 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,304 Underlying: Class A Units · 2,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In furtherance of a charitable contribution, the Reporting Person exchanged 2,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 2,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_price: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · kind: In furtherance of a charitable contribution, the Reporting Person exchanged 2,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 2,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.expiration_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| December 06, 2017 Filed Dec 9, 2017 01:05 UTC |
MARKS HOWARD SDirector · Co-Chairman
|
Exercise / conversionOCGH Units · Derivative | 125,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028306 · doc4.xml · derivative · entry 5 MARKS HOWARD S · CIK 0001372705 · Director · Co-Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,933,600 Underlying: Class A Units · 125,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In furtherance of a charitable contribution, the Reporting Person exchanged 125,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 125,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 4 and 5 below. F4 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F5 · derivative.exercise_price: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · kind: In furtherance of a charitable contribution, the Reporting Person exchanged 125,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 125,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 4 and 5 below. F4 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F5 · derivative.exercise_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F4 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F5 · derivative.expiration_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| December 06, 2017 Filed Dec 9, 2017 01:05 UTC |
MARKS HOWARD SDirector · Co-Chairman
|
Exercise / conversionClass A Units | 125,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-028306 · doc4.xml · nonDerivative · entry 1 MARKS HOWARD S · CIK 0001372705 · Director · Co-Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,826 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: In furtherance of a charitable contribution, the Reporting Person exchanged 125,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 125,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 4 and 5 below. F1 · price: In furtherance of a charitable contribution, the Reporting Person exchanged 125,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 125,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 4 and 5 below. F4 · price: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F5 · price: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| November 08, 2017 Filed Nov 10, 2017 00:51 UTC |
KARSH BRUCE ADirector · See Remarks
|
GiftClass A Units | 500,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025874 · doc4.xml · nonDerivative · entry 2 KARSH BRUCE A · CIK 0001187256 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,826 F6 · ownership.direct: This balance represents the number of OCGH units held by Mr. Karsh as of the date of this filing. Includes OCGH units held by Mr. Karsh in one or more entities controlled by him. Read SEC document |
| November 07, 2017 Filed Nov 10, 2017 00:51 UTC |
KARSH BRUCE ADirector · See Remarks
|
Exercise / conversionOCGH Units · Derivative | 500,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025874 · doc4.xml · derivative · entry 4 KARSH BRUCE A · CIK 0001187256 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,856,756 Underlying: Class A Units · 500,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In furtherance of a charitable contribution ("Charitable Contribution"), the Reporting Person exchanged 500,000 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for 500,000 Class A units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 4 and 5 below. F4 · derivative.exercise_price: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F5 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F4 · derivative.exercise_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F5 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F4 · derivative.expiration_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F5 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F6 · ownership.direct: This balance represents the number of OCGH units held by Mr. Karsh as of the date of this filing. Includes OCGH units held by Mr. Karsh in one or more entities controlled by him. Read SEC document |
| November 07, 2017 Filed Nov 10, 2017 00:51 UTC |
KARSH BRUCE ADirector · See Remarks
|
Exercise / conversionClass A Units | 500,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-025874 · doc4.xml · nonDerivative · entry 1 KARSH BRUCE A · CIK 0001187256 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 601,826 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: In furtherance of a charitable contribution ("Charitable Contribution"), the Reporting Person exchanged 500,000 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for 500,000 Class A units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 4 and 5 below. F4 · price: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F5 · price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| November 07, 2017 Filed May 17, 2019 22:36 UTC |
KARSH BRUCE ADirector · See Remarks
|
Exercise / conversionOCGH Units · Derivative | 1,000,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-014049 · doc4.xml · derivative · entry 4 KARSH BRUCE A · CIK 0001187256 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 9,121,450 Underlying: Class A Units · 1,000,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In furtherance of a charitable contribution ("Charitable Contribution"), the Reporting Person exchanged 1,000,000 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for 1,000,000 Class A units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 4 and 5 below. F4 · derivative.exercise_price: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F5 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F4 · derivative.exercise_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F5 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F4 · derivative.expiration_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F5 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F6 · ownership.nature: This balance represents the number of OCGH units held by Mr. Karsh as of the date of this filing. Includes OCGH units held by Mr. Karsh in one or more entities controlled by him. Read SEC document |
| September 14, 2017 Filed Feb 14, 2018 01:55 UTC |
KARSH BRUCE ADirector · See Remarks
|
GiftOCGH Units · Derivative | 2,493,662 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-003735 · doc5.xml · derivative · entry 2 KARSH BRUCE A · CIK 0001187256 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By Karsh Trusts Disclosed balance after: 3,484,009 Underlying: Class A Units · 2,493,662 shares Expires not disclosed F1 · derivative.exercise_price: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F3 · kind: Reflects a transfer of 2,493,662 OCGH units in the aggregate by a terminating grantor retained annuity trust to three trusts controlled by Mr. Karsh in his capacity as trustee and 7,565 OCGH units to Mr. Karsh in satisfaction of a final annuity payment in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Karsh. F1 · derivative.exercise_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · derivative.expiration_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F4 · ownership.nature: Held by three trusts controlled by Mr. Karsh in his capacity as trustee (the "Karsh Trusts"). Read SEC document |
| September 14, 2017 Filed Feb 14, 2018 01:55 UTC |
KARSH BRUCE ADirector · See Remarks
|
GiftOCGH Units · Derivative | 2,493,662 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-003735 · doc5.xml · derivative · entry 1 KARSH BRUCE A · CIK 0001187256 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By grantor retained annuity trust Disclosed balance after: 0 Underlying: Class A Units · 2,493,662 shares Expires not disclosed F1 · derivative.exercise_price: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F3 · kind: Reflects a transfer of 2,493,662 OCGH units in the aggregate by a terminating grantor retained annuity trust to three trusts controlled by Mr. Karsh in his capacity as trustee and 7,565 OCGH units to Mr. Karsh in satisfaction of a final annuity payment in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Karsh. F1 · derivative.exercise_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · derivative.expiration_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F3 · balance_after: Reflects a transfer of 2,493,662 OCGH units in the aggregate by a terminating grantor retained annuity trust to three trusts controlled by Mr. Karsh in his capacity as trustee and 7,565 OCGH units to Mr. Karsh in satisfaction of a final annuity payment in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Karsh. F3 · ownership.nature: Reflects a transfer of 2,493,662 OCGH units in the aggregate by a terminating grantor retained annuity trust to three trusts controlled by Mr. Karsh in his capacity as trustee and 7,565 OCGH units to Mr. Karsh in satisfaction of a final annuity payment in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Karsh. Read SEC document |
| August 18, 2017 Filed Aug 21, 2017 22:13 UTC |
Frank JohnDirector · Vice Chairman
|
SaleClass A Units | 16,666 | $46.72 | $778,558.86 |
DisclosureSEC source: 0000899243-17-020772 · doc4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,667 F1 · price: This transaction was executed in multiple trades at prices ranging from $46.55 to $46.90. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of units and prices at which the transaction was effected. Read SEC document |
| August 18, 2017 Filed Aug 21, 2017 22:10 UTC |
STONE SHELDON MDirector · Principal
|
GiftClass A Units | 375,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-020770 · doc4.xml · nonDerivative · entry 2 STONE SHELDON M · CIK 0001372676 · Director · Principal 10b5-1 filing: Not disclosed Ownership: Indirect · By Stone Trust Disclosed balance after: 101,009 Read SEC document |
| August 17, 2017 Filed Aug 21, 2017 22:10 UTC |
STONE SHELDON MDirector · Principal
|
Exercise / conversionOCGH Units · Derivative | 375,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-020770 · doc4.xml · derivative · entry 3 STONE SHELDON M · CIK 0001372676 · Director · Principal 10b5-1 filing: Not disclosed Ownership: Indirect · By Stone Trust Disclosed balance after: 9,525,223 Underlying: Class A Units · 37,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In furtherance of a charitable contribution, a trust controlled by Mr. Stone (the "Stone Trust") exchanged 375,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 375,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_price: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · kind: In furtherance of a charitable contribution, a trust controlled by Mr. Stone (the "Stone Trust") exchanged 375,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 375,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.expiration_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| August 17, 2017 Filed Aug 21, 2017 22:10 UTC |
STONE SHELDON MDirector · Principal
|
Exercise / conversionClass A Units | 375,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-020770 · doc4.xml · nonDerivative · entry 1 STONE SHELDON M · CIK 0001372676 · Director · Principal 10b5-1 filing: Not disclosed Ownership: Indirect · By Stone Trust Disclosed balance after: 476,009 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: In furtherance of a charitable contribution, a trust controlled by Mr. Stone (the "Stone Trust") exchanged 375,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 375,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F1 · price: In furtherance of a charitable contribution, a trust controlled by Mr. Stone (the "Stone Trust") exchanged 375,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 375,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F2 · price: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · price: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| August 16, 2017 Filed Aug 18, 2017 20:15 UTC |
WINTROB JAY SDirector · Chief Executive Officer
|
GrantClass A Units | 30,513 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-020688 · doc4.xml · nonDerivative · entry 1 WINTROB JAY S · CIK 0001236614 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,079 F1 · shares: Granted under the Issuer's 2011 Equity Incentive Plan and will generally vest in equal annual installments over four years with the first vesting date occurring on August 1, 2018. Read SEC document |
| April 26, 2017 Filed Apr 28, 2017 20:16 UTC |
WINTROB JAY SDirector · Chief Executive Officer
|
GrantOCGH Units · Derivative | 225,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-011199 · doc4.xml · derivative · entry 1 WINTROB JAY S · CIK 0001236614 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,000 Underlying: Class A Units · 225,000 shares Expires not disclosed F1 · derivative.exercise_price: Each OCGH unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, Mr. Wintrob has the right to exchange his vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing. F2 · shares: On April 26, 2017, the Issuer granted 225,000 OCGH Units (the "Granted OCGH Units") to Mr. Wintrob under the Issuer's 2011 Equity Incentive Plan, which will generally vest in equal annual installments over ten years with the first vesting date occurring on February 15, 2018. F1 · derivative.exercise_date: Each OCGH unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, Mr. Wintrob has the right to exchange his vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing. F1 · derivative.expiration_date: Each OCGH unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, Mr. Wintrob has the right to exchange his vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing. Read SEC document |
| March 31, 2017 Filed Apr 5, 2017 16:38 UTC |
GILBERT STEVEN JDirector
|
GrantClass A Units | 2,262 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-009446 · doc4.xml · nonDerivative · entry 1 GILBERT STEVEN J · CIK 0001105209 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,668 F1 · shares: Granted under the Issuer's 2011 Equity Incentive Plan and will generally vest in equal annual installments over four years with the first vesting date occurring on February 15, 2018. Read SEC document |
| March 31, 2017 Filed Apr 5, 2017 16:38 UTC |
Gentile SusanSee Remarks
|
GrantClass A Units | 16,196 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-009447 · doc4.xml · nonDerivative · entry 1 Gentile Susan · CIK 0001508493 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,055 F1 · shares: Granted under the Issuer's 2011 Equity Incentive Plan and will generally vest in equal annual installments over four years with the first vesting date occurring on February 15, 2018. Read SEC document |
| March 31, 2017 Filed Apr 5, 2017 16:56 UTC |
DENHAM ROBERT EDirector
|
GrantClass A Units | 2,262 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-009461 · doc4.xml · nonDerivative · entry 1 DENHAM ROBERT E · CIK 0001195643 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,672 F1 · shares: Granted under the Issuer's 2011 Equity Incentive Plan and will generally vest in equal annual installments over four years with the first vesting date occurring on February 15, 2018. Read SEC document |
| March 31, 2017 Filed Apr 5, 2017 16:49 UTC |
WINTROB JAY SDirector · Chief Executive Officer
|
GrantClass A Units | 42,653 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-009459 · doc4.xml · nonDerivative · entry 1 WINTROB JAY S · CIK 0001236614 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,566 F1 · shares: Granted under the Issuer's 2011 Equity Incentive Plan and will generally vest in equal annual installments over four years with the first vesting date occurring on February 15, 2018. Read SEC document |
| March 31, 2017 Filed Apr 5, 2017 16:47 UTC |
PIERSON WAYNE GDirector
|
GrantClass A Units | 2,262 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-009456 · doc4.xml · nonDerivative · entry 1 PIERSON WAYNE G · CIK 0001529618 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,481 F1 · shares: Granted under the Issuer's 2011 Equity Incentive Plan and will generally vest in equal annual installments over four years with the first vesting date occurring on February 15, 2018. Read SEC document |
| March 31, 2017 Filed Apr 5, 2017 16:46 UTC |
WHITTINGTON MARNA CDirector
|
GrantClass A Units | 2,262 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-009454 · doc4.xml · nonDerivative · entry 1 WHITTINGTON MARNA C · CIK 0001227918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,822 F1 · shares: Granted under the Issuer's 2011 Equity Incentive Plan and will generally vest in equal annual installments over four years with the first vesting date occurring on February 15, 2018. Read SEC document |
| March 31, 2017 Filed Apr 5, 2017 16:43 UTC |
Molz Todd ESee Remarks
|
GrantClass A Units | 22,621 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-009452 · doc4.xml · nonDerivative · entry 1 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,717 F1 · shares: Granted under the Issuer's 2011 Equity Incentive Plan and will generally vest in equal annual installments over four years with the first vesting date occurring on February 15, 2018. Read SEC document |
| March 31, 2017 Filed Apr 5, 2017 16:43 UTC |
MASSON DAVID RICHARDDirector
|
GrantClass A Units | 2,262 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-009451 · doc4.xml · nonDerivative · entry 1 MASSON DAVID RICHARD · CIK 0001249588 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,399 F1 · shares: Granted under the Issuer's 2011 Equity Incentive Plan and will generally vest in equal annual installments over four years with the first vesting date occurring on February 15, 2018. Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 11:09 UTC |
Frank JohnDirector · Vice Chairman
|
SaleClass A Units | 16,852 | $45.11 | $760,180.24 |
DisclosureSEC source: 0000899243-17-005706 · doc4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,333 F1 · price: This transaction was executed in multiple trades at prices ranging from $45 to $45.5. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of units and prices at which the transaction was effected. Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 11:05 UTC |
Keele Larry WDirector
|
SaleClass A Units | 8,334 | $45.34 | $377,831.89 |
DisclosureSEC source: 0000899243-17-005700 · doc4.xml · nonDerivative · entry 1 Keele Larry W · CIK 0001529877 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,655 F1 · price: This transaction was executed in multiple trades at prices ranging from $45.10 to $45.55. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of units and prices at which the transaction was effected. Read SEC document |
| February 16, 2017 Filed Feb 18, 2017 00:52 UTC |
Molz Todd ESee Remarks
|
SaleClass A Units | 21,011 | $45.34 | $952,550.49 |
DisclosureSEC source: 0000899243-17-004604 · doc4.xml · nonDerivative · entry 1 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,096 F1 · price: This transaction was executed in multiple trades at prices ranging from $45.10 to $45.55. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of units and prices at which the transaction was effected. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:57 UTC |
Gentile SusanSee Remarks
|
Tax withholdingClass A Units | 1,893 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-004609 · doc4.xml · nonDerivative · entry 1 Gentile Susan · CIK 0001508493 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,859 F1 · shares: Represents the number of Class A units of the Issuer withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations upon the vesting of certain Class A units held by the Reporting Person. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:58 UTC |
KIRCHHEIMER DAVID MDirector · See Remarks
|
SaleClass A Units | 8,333 | $45.74 | $381,169.75 |
DisclosureSEC source: 0000899243-17-004610 · doc4.xml · nonDerivative · entry 1 KIRCHHEIMER DAVID M · CIK 0001372704 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,470 F1 · price: This transaction was executed in multiple trades at prices ranging from $45.70 to $45.80. The price reported reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of units and prices at which the transaction was effected. F2 · balance_after: Includes 136 Class A units previously included in the Reporting Person's Class A unit balances reported on Form 4, but that were inadvertently not included in the Class A units balances on the Form 4 filings of the Reporting Person on August 5, 2016 and November 15, 2016. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:54 UTC |
WINTROB JAY SDirector · Chief Executive Officer
|
Tax withholdingClass A Units | 2,215 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-004607 · doc4.xml · nonDerivative · entry 1 WINTROB JAY S · CIK 0001236614 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,913 F1 · shares: Represents the number of Class A units of the Issuer withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations upon the vesting of certain Class A units held by the Reporting Person. Read SEC document |
| February 13, 2017 Filed Feb 15, 2017 02:08 UTC |
MARKS HOWARD SDirector · Co-Chairman
|
GiftClass A Units | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-004120 · doc4.xml · nonDerivative · entry 3 MARKS HOWARD S · CIK 0001372705 · Director · Co-Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,826 Read SEC document |
| February 13, 2017 Filed Feb 15, 2017 02:08 UTC |
MARKS HOWARD SDirector · Co-Chairman
|
GiftClass A Units | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-004120 · doc4.xml · nonDerivative · entry 2 MARKS HOWARD S · CIK 0001372705 · Director · Co-Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,826 Read SEC document |
| February 10, 2017 Filed Feb 15, 2017 02:08 UTC |
MARKS HOWARD SDirector · Co-Chairman
|
Exercise / conversionOCGH Units · Derivative | 140,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-004120 · doc4.xml · derivative · entry 5 MARKS HOWARD S · CIK 0001372705 · Director · Co-Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,058,600 Underlying: Class A Units · 140,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In furtherance of a charitable contribution, the Reporting Person exchanged 140,000 limited partnership units ("OCGH Uunits") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 140,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 4 and 5 below. F4 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F5 · derivative.exercise_price: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · kind: In furtherance of a charitable contribution, the Reporting Person exchanged 140,000 limited partnership units ("OCGH Uunits") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 140,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 4 and 5 below. F4 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F5 · derivative.exercise_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F4 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F5 · derivative.expiration_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| January 01, 2017 Filed Jan 5, 2017 01:17 UTC |
Molz Todd ESee Remarks
|
Tax withholdingClass A Units | 2,070 | $37.50 | $77,625.00 |
DisclosureSEC source: 0000899243-17-000364 · doc4.xml · nonDerivative · entry 1 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,107 F1 · shares: Represents the number of Class A units of the Issuer withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations upon the vesting of certain Class A units held by the Reporting Person. Read SEC document |
| December 06, 2016 Filed Dec 9, 2017 01:18 UTC |
Frank JohnDirector · Vice Chairman
|
Exercise / conversionClass A Units | 3,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-028308 · doc4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,917 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: In furtherance of a charitable contribution, the Reporting Person exchanged 3,250 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 3,250 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F1 · price: In furtherance of a charitable contribution, the Reporting Person exchanged 3,250 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 3,250 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F2 · price: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · price: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| December 06, 2016 Filed Dec 9, 2017 01:05 UTC |
Molz Todd ESee Remarks
|
Exercise / conversionClass A Units | 2,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-028307 · doc4.xml · nonDerivative · entry 1 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,717 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: In furtherance of a charitable contribution, the Reporting Person exchanged 2,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 2,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F1 · price: In furtherance of a charitable contribution, the Reporting Person exchanged 2,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 2,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F2 · price: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · price: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 17:45 UTC |
Frank JohnDirector · Vice Chairman
|
GiftClass A Units | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-034262 · doc4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,185 Read SEC document |
| November 18, 2016 Filed Feb 15, 2017 02:24 UTC |
KARSH BRUCE ADirector · See Remarks
|
GiftOCGH Units · Derivative | 990,347 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-004128 · doc5.xml · derivative · entry 2 KARSH BRUCE A · CIK 0001187256 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By Karsh Trusts Disclosed balance after: 990,347 Underlying: Class A Units · 990,347 shares Expires not disclosed F2 · derivative.exercise_price: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · kind: This Form 5 has been filed to report a transfer of 990,347 limited partnership units ("OCGH units") of Oaktree Capital Group Holdings, L.P. ("OCGH") in the aggregate by a grantor retained annuity trust to certain trusts controlled by Mr. Karsh in his capacity as trustee (the "Karsh Trusts") in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Karsh. For the avoidance of doubt, following such transaction, there was no change in the aggregate number of OCGH units beneficially owned by Mr. Karsh. F2 · derivative.exercise_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.expiration_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| November 18, 2016 Filed Feb 15, 2017 02:24 UTC |
KARSH BRUCE ADirector · See Remarks
|
GiftOCGH Units · Derivative | 990,347 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-004128 · doc5.xml · derivative · entry 1 KARSH BRUCE A · CIK 0001187256 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By grantor retained annuity trust Disclosed balance after: 0 Underlying: Class A Units · 990,347 shares Expires not disclosed F2 · derivative.exercise_price: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · kind: This Form 5 has been filed to report a transfer of 990,347 limited partnership units ("OCGH units") of Oaktree Capital Group Holdings, L.P. ("OCGH") in the aggregate by a grantor retained annuity trust to certain trusts controlled by Mr. Karsh in his capacity as trustee (the "Karsh Trusts") in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Karsh. For the avoidance of doubt, following such transaction, there was no change in the aggregate number of OCGH units beneficially owned by Mr. Karsh. F2 · derivative.exercise_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.expiration_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| November 17, 2016 Filed Nov 19, 2016 01:35 UTC |
Frank JohnDirector · Vice Chairman
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GiftClass A Units | 7,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-033979 · doc4.xml · nonDerivative · entry 2 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,185 Read SEC document |
| November 17, 2016 Filed Nov 18, 2016 20:35 UTC |
KAPLAN STEPHEN ADirector · Principal
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GiftClass A Units | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-033980 · doc4.xml · nonDerivative · entry 2 KAPLAN STEPHEN A · CIK 0001142409 · Director · Principal 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,181 Read SEC document |
| November 17, 2016 Filed Nov 19, 2016 01:34 UTC |
MARKS HOWARD SDirector · Co-Chairman
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GiftClass A Units | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-033978 · doc4.xml · nonDerivative · entry 3 MARKS HOWARD S · CIK 0001372705 · Director · Co-Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,826 Read SEC document |
| November 17, 2016 Filed Nov 19, 2016 01:34 UTC |
MARKS HOWARD SDirector · Co-Chairman
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GiftClass A Units | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-033978 · doc4.xml · nonDerivative · entry 2 MARKS HOWARD S · CIK 0001372705 · Director · Co-Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,826 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.