Last 12 months
Inside the activity.
9 purchase rows · 2 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 1 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 1 |
| May 2026 | 4 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 2 | 0 |
| Sep 2026 | 3 | 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 |
|---|---|---|---|---|---|---|
| November 13, 2023 Filed Nov 15, 2023 21:57 UTC |
OCM Growth Holdings LLCDirector · 10% owner
Brookfield Oaktree Holdings, LLCDirector · 10% owner
Oaktree Capital Group Holdings GP, LLCDirector · 10% owner
Oaktree Opportunities Fund Xb Holdings (Delaware), L.P.Director · 10% owner
|
SaleCommon Stock, par value $0.01 per share | 3,750,000 | $12.06 | $45,216,000.00 |
DisclosureSEC source: 0000950170-23-064328 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,304,668 F1 · balance_after: Includes shares acquired pursuant to the issuer's dividend reinvestment plan. F2 · balance_after: On November 13, 2023, OCMGH (as defined in Note 3 below), and Fund Xb Delaware (as defined in Note 3 below), sold 3,745,708 and 4,292 shares of the Issuer, respectively, pursuant to an underwriting agreement by and among OCMGH, Fund Xb Delaware, the Issuer, and the underwriters party thereto. F3 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 17,284,860 shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Oaktree Opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware"), directly owns 19,808 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) OCMGH; (ii) Fund Xb Delaware; F4 · ownership.direct: (continued from footnote 3) (iii) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as the manager of OCMGH and Fund Xb Delaware; (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of class B units of OCG; (v) Brookfield Corporation, a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and (vi) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| November 13, 2023 Filed Nov 16, 2023 22:46 UTC Amendment |
OCM Growth Holdings LLCDirector · 10% owner
Brookfield Oaktree Holdings, LLCDirector · 10% owner
Oaktree Capital Group Holdings GP, LLCDirector · 10% owner
Oaktree Opportunities Fund Xb Holdings (Delaware), L.P.Director · 10% owner
BROOKFIELD Corp /ON/Director · 10% owner
BAM Partners TrustDirector · 10% owner
|
SaleCommon Stock, par value $0.01 per share | 3,750,000 | $12.06 | $45,216,000.00 |
DisclosureSEC source: 0000950170-23-064585 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · Director · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,304,668 F1 · balance_after: Includes shares acquired pursuant to the issuer's dividend reinvestment plan. F2 · balance_after: On November 13, 2023, OCMGH (as defined in Note 3 below), and Fund Xb Delaware (as defined in Note 3 below), sold 3,745,708 and 4,292 shares of the Issuer, respectively, pursuant to an underwriting agreement by and among OCMGH, Fund Xb Delaware, the Issuer, and the underwriters party thereto. F3 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 17,284,860 shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer").Oaktree Opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware"), directly owns 19,808 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) OCMGH; (ii) Fund Xb Delaware; F4 · ownership.direct: (continued from footnote 3) (iii) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as the manager of OCMGH and Fund Xb Delaware; (iv) Oaktree Capital Group Holdings GP, LLC ("OCGHGP"), in its capacity as the indirect owner of class B units of OCG; (v) Brookfield Corporation, a Canadian corporation ("BN"), in its capacity as the indirect owner of the class A units of OCG and (vi) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BN. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. F8 · ownership.direct: This amendment and restatement of the Form 4 filed November 15, 2023 (the "Original Filing") is being filed solely to correct the omission of BN and BAM Partners Trust as reporting persons. Their indirect ownership was accurately described in footnotes 4 and 5 of the Original Filing. Read SEC document |
| June 06, 2023 Filed Jun 9, 2023 21:22 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 125 | $12.47 | $1,558.75 |
DisclosureSEC source: 0001104659-23-070013 · tm2318384-1_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 56,102.667 Read SEC document |
| May 12, 2023 Filed May 15, 2023 11:25 UTC |
Raterman Thomas B.See Remarks
|
PurchaseCommon Stock, par value $0.01 per share | 2,500 | $10.74 | $26,850.00 |
DisclosureSEC source: 0001104659-23-060170 · tm2315734d1_4.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,181.3 Read SEC document |
| March 29, 2023 Filed Mar 31, 2023 01:30 UTC |
Brookfield Multi-Strategy Master Fund LPDirector · 10% owner
BAM Partners Trust10% owner
BROOKFIELD Corp /ON/10% owner
OCM Growth Holdings LLCDirector · 10% owner
Oaktree Fund GP, LLC10% owner
OAKTREE FUND GP I, L.P.10% owner
Oaktree Capital I, L.P.10% owner
Brookfield OCM Holdings II, LLC10% owner
Brookfield OCM Holdings, LLC10% owner
Brookfield Oaktree Holdings, LLC10% owner
|
SaleCommon Stock, par value $0.01 per share | 50,256 | $11.94 | $599,805.36 |
DisclosureSEC source: 0000899243-23-010046 · doc4.xml · nonDerivative · entry 2 Brookfield Multi-Strategy Master Fund LP · CIK 0001909657 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,054,667 F1 · balance_after: Includes shares acquired pursuant to the issuer's dividend reinvestment plan. F2 · ownership.direct: Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns no shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer") following the transactions reported herein. OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC") ("OCMGH"), directly owns 21,030,578 shares of Common Stock of the Issuer. Oaktree opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware"), directly owns 24,089 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH and Fund Xb Delaware, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, F3 · ownership.direct: (Continued from Footnote 2) (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC("Holdings"),in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and F4 · ownership.direct: (Continued from Footnote 3) (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the 100% holder of Brookfield US's Class A Common Stock and 50% holder of Brookfield US's Class C Series 1 Preferred Shares; F5 · ownership.direct: (Continued from Footnote 4) (xiii) Brookfield BUSI Holdings ULC, a Canadian unlimited liability company ("BUSI Holdings"), in its capacity a holder of 100% Brookfield US's Class B Common Stock and 50% holder of Brookfield US's Class C Series 1 Preferred Shares; (xiv) Brookfield Asset Management ULC, a Canadian unlimited liability company ("BAM ULC"), in its capacity as the sole shareholder of Brookfield US Holdings; (xv) Brookfield Corporation, a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and holder of 75% of BAM ULC; (xvi) Brookfield Asset Management Ltd., a Canadian corporation ("BAM Ltd."), in its capacity as holder of 25% of BAM ULC; and (xvii) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F6 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F8 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| March 29, 2023 Filed Mar 30, 2023 21:46 UTC |
Brookfield Multi-Strategy Master Fund LPDirector · 10% owner
Brookfield Asset Management Ltd.10% owner
Brookfield Asset Management ULC10% owner
Brookfield US Holdings Inc.10% owner
Brookfield US Inc.10% owner
Brookfield BHS Advisors LLC10% owner
|
SaleCommon Stock, par value $0.01 per share | 50,256 | $11.94 | $599,805.36 |
DisclosureSEC source: 0000899243-23-010049 · doc4.xml · nonDerivative · entry 2 Brookfield Multi-Strategy Master Fund LP · CIK 0001909657 · Director · 10% owner Brookfield Asset Management Ltd. · CIK 0001937926 · 10% owner Brookfield Asset Management ULC · CIK 0001962420 · 10% owner Brookfield US Holdings Inc. · CIK 0001504722 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · 10% owner Brookfield US Inc. · CIK 0001768973 · 10% owner Brookfield Public Securities Group Holdings LLC · CIK 0001909269 · 10% owner Brookfield BHS Advisors LLC · CIK 0001760437 · 10% owner Brookfield Multi-Strategy Fund GP LLC · CIK 0001909267 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,054,667 F1 · balance_after: Includes shares acquired pursuant to the issuer's dividend reinvestment plan. F2 · ownership.direct: Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns no shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer") following the transactions reported herein. OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 21,030,578 shares of Common Stock of the Issuer. Oaktree opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware"), directly owns 24,089 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH and Fund Xb Delaware, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, F3 · ownership.direct: (Continued from Footnote 2) (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"),in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and F4 · ownership.direct: (Continued from Footnote 3) (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the 100% holder of Brookfield US's Class A Common Stock and 50% holder of Brookfield US's Class C Series 1 Preferred Shares; F5 · ownership.direct: (Continued from Footnote 4) (xiii) Brookfield Asset Management ULC, a Canadian unlimited liability company ("BAM ULC"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Corporation, a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and holder of 75% of BAM ULC; (xv) Brookfield Asset Management Ltd., a Canadian corporation ("BAM Ltd."), in its capacity as holder of 25% of BAM ULC; and (xvi) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F6 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F8 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| March 28, 2023 Filed Mar 31, 2023 01:30 UTC |
Brookfield Multi-Strategy Master Fund LPDirector · 10% owner
BAM Partners Trust10% owner
BROOKFIELD Corp /ON/10% owner
OCM Growth Holdings LLCDirector · 10% owner
Oaktree Fund GP, LLC10% owner
OAKTREE FUND GP I, L.P.10% owner
Oaktree Capital I, L.P.10% owner
Brookfield OCM Holdings II, LLC10% owner
Brookfield OCM Holdings, LLC10% owner
Brookfield Oaktree Holdings, LLC10% owner
|
SaleCommon Stock, par value $0.01 per share | 24,744 | $11.96 | $295,987.73 |
DisclosureSEC source: 0000899243-23-010046 · doc4.xml · nonDerivative · entry 1 Brookfield Multi-Strategy Master Fund LP · CIK 0001909657 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,104,923 F1 · balance_after: Includes shares acquired pursuant to the issuer's dividend reinvestment plan. F2 · ownership.direct: Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns no shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer") following the transactions reported herein. OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC") ("OCMGH"), directly owns 21,030,578 shares of Common Stock of the Issuer. Oaktree opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware"), directly owns 24,089 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH and Fund Xb Delaware, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, F3 · ownership.direct: (Continued from Footnote 2) (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC("Holdings"),in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and F4 · ownership.direct: (Continued from Footnote 3) (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the 100% holder of Brookfield US's Class A Common Stock and 50% holder of Brookfield US's Class C Series 1 Preferred Shares; F5 · ownership.direct: (Continued from Footnote 4) (xiii) Brookfield BUSI Holdings ULC, a Canadian unlimited liability company ("BUSI Holdings"), in its capacity a holder of 100% Brookfield US's Class B Common Stock and 50% holder of Brookfield US's Class C Series 1 Preferred Shares; (xiv) Brookfield Asset Management ULC, a Canadian unlimited liability company ("BAM ULC"), in its capacity as the sole shareholder of Brookfield US Holdings; (xv) Brookfield Corporation, a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and holder of 75% of BAM ULC; (xvi) Brookfield Asset Management Ltd., a Canadian corporation ("BAM Ltd."), in its capacity as holder of 25% of BAM ULC; and (xvii) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F6 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F8 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| March 28, 2023 Filed Mar 30, 2023 21:46 UTC |
Brookfield Multi-Strategy Master Fund LPDirector · 10% owner
Brookfield Asset Management Ltd.10% owner
Brookfield Asset Management ULC10% owner
Brookfield US Holdings Inc.10% owner
Brookfield US Inc.10% owner
Brookfield BHS Advisors LLC10% owner
|
SaleCommon Stock, par value $0.01 per share | 24,744 | $11.96 | $295,987.73 |
DisclosureSEC source: 0000899243-23-010049 · doc4.xml · nonDerivative · entry 1 Brookfield Multi-Strategy Master Fund LP · CIK 0001909657 · Director · 10% owner Brookfield Asset Management Ltd. · CIK 0001937926 · 10% owner Brookfield Asset Management ULC · CIK 0001962420 · 10% owner Brookfield US Holdings Inc. · CIK 0001504722 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · 10% owner Brookfield US Inc. · CIK 0001768973 · 10% owner Brookfield Public Securities Group Holdings LLC · CIK 0001909269 · 10% owner Brookfield BHS Advisors LLC · CIK 0001760437 · 10% owner Brookfield Multi-Strategy Fund GP LLC · CIK 0001909267 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,104,923 F1 · balance_after: Includes shares acquired pursuant to the issuer's dividend reinvestment plan. F2 · ownership.direct: Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns no shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer") following the transactions reported herein. OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 21,030,578 shares of Common Stock of the Issuer. Oaktree opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware"), directly owns 24,089 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH and Fund Xb Delaware, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, F3 · ownership.direct: (Continued from Footnote 2) (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"),in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and F4 · ownership.direct: (Continued from Footnote 3) (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the 100% holder of Brookfield US's Class A Common Stock and 50% holder of Brookfield US's Class C Series 1 Preferred Shares; F5 · ownership.direct: (Continued from Footnote 4) (xiii) Brookfield Asset Management ULC, a Canadian unlimited liability company ("BAM ULC"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Corporation, a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and holder of 75% of BAM ULC; (xv) Brookfield Asset Management Ltd., a Canadian corporation ("BAM Ltd."), in its capacity as holder of 25% of BAM ULC; and (xvi) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F6 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F8 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| March 17, 2023 Filed Mar 17, 2023 21:37 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 5,000 | $11.43 | $57,150.00 |
DisclosureSEC source: 0001104659-23-034020 · tm239890-1_4seq1.xml · nonDerivative · entry 2 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,977.667 Read SEC document |
| March 16, 2023 Filed Mar 17, 2023 21:37 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 9,596 | $11.34 | $108,799.45 |
DisclosureSEC source: 0001104659-23-034020 · tm239890-1_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 113,331.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Spreng by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Executive Officer thereof. Mr. Spreng disclaims any beneficial ownership of these securities. Read SEC document |
| March 16, 2023 Filed Mar 17, 2023 13:38 UTC |
Raterman Thomas B.See Remarks
|
PurchaseCommon Stock, par value $0.01 per share | 9,596 | $11.34 | $108,799.45 |
DisclosureSEC source: 0001104659-23-033629 · tm239828-1_4seq1.xml · nonDerivative · entry 2 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 113,331.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Raterman by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Financial Officer thereof. Mr. Raterman disclaims any beneficial ownership of these securities. Read SEC document |
| March 16, 2023 Filed Mar 17, 2023 13:38 UTC |
Raterman Thomas B.See Remarks
|
PurchaseCommon Stock, par value $0.01 per share | 3,000 | $11.35 | $34,050.00 |
DisclosureSEC source: 0001104659-23-033629 · tm239828-1_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,681.3 Read SEC document |
| December 16, 2022 Filed Dec 16, 2022 22:20 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 4,284 | $12.67 | $54,278.28 |
DisclosureSEC source: 0001104659-22-127925 · tm2232943-2_4seq1.xml · nonDerivative · entry 2 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 102,730.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Spreng by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Executive Officer thereof. Mr. Spreng disclaims any beneficial ownership of these securities. Read SEC document |
| December 16, 2022 Filed Dec 16, 2022 22:18 UTC |
Raterman Thomas B.See Remarks
|
PurchaseCommon Stock, par value $0.01 per share | 4,284 | $12.67 | $54,278.28 |
DisclosureSEC source: 0001104659-22-127923 · tm2232943-1_4seq1.xml · nonDerivative · entry 2 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 102,730.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Raterman by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Financial Officer thereof. Mr. Raterman disclaims any beneficial ownership of these securities. Read SEC document |
| December 15, 2022 Filed Dec 16, 2022 22:20 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 6,700 | $11.86 | $79,462.00 |
DisclosureSEC source: 0001104659-22-127925 · tm2232943-2_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 98,446.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Spreng by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Executive Officer thereof. Mr. Spreng disclaims any beneficial ownership of these securities. Read SEC document |
| December 15, 2022 Filed Dec 16, 2022 22:18 UTC |
Raterman Thomas B.See Remarks
|
PurchaseCommon Stock, par value $0.01 per share | 6,700 | $11.86 | $79,462.00 |
DisclosureSEC source: 0001104659-22-127923 · tm2232943-1_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 98,446.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Raterman by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Financial Officer thereof. Mr. Raterman disclaims any beneficial ownership of these securities. Read SEC document |
| December 14, 2022 Filed Dec 15, 2022 22:14 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 7,705 | $11.75 | $90,533.75 |
DisclosureSEC source: 0001104659-22-127415 · tm2232846-1_4seq1.xml · nonDerivative · entry 2 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 99,451.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Spreng by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Executive Officer thereof. Mr. Spreng disclaims any beneficial ownership of these securities. Read SEC document |
| December 14, 2022 Filed Dec 15, 2022 22:17 UTC |
Raterman Thomas B.See Remark
|
PurchaseCommon Stock, par value $0.01 per share | 7,705 | $11.75 | $90,533.75 |
DisclosureSEC source: 0001104659-22-127423 · tm2232846-2_4seq1.xml · nonDerivative · entry 2 Raterman Thomas B. · CIK 0001664300 · See Remark 10b5-1 filing: Not disclosed Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 99,451.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Raterman by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Financial Officer thereof. Mr. Raterman disclaims any beneficial ownership of these securities. Read SEC document |
| December 13, 2022 Filed Dec 15, 2022 22:14 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 6,415 | $11.73 | $75,247.95 |
DisclosureSEC source: 0001104659-22-127415 · tm2232846-1_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 91,746.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Spreng by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Executive Officer thereof. Mr. Spreng disclaims any beneficial ownership of these securities. Read SEC document |
| December 13, 2022 Filed Dec 15, 2022 22:17 UTC |
Raterman Thomas B.See Remark
|
PurchaseCommon Stock, par value $0.01 per share | 6,415 | $11.73 | $75,247.95 |
DisclosureSEC source: 0001104659-22-127423 · tm2232846-2_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remark 10b5-1 filing: Not disclosed Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 91,746.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Raterman by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Financial Officer thereof. Mr. Raterman disclaims any beneficial ownership of these securities. Read SEC document |
| November 15, 2022 Filed Nov 16, 2022 21:05 UTC |
Raterman Thomas B.See Remark
|
PurchaseCommon Stock, par value $0.01 per share | 1,000 | $11.98 | $11,980.00 |
DisclosureSEC source: 0001104659-22-119532 · tm2230757-1_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remark 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,681.3 Read SEC document |
| September 23, 2022 Filed Sep 23, 2022 21:09 UTC |
Raterman Thomas B.See Remark
|
PurchaseCommon Stock, par value $0.01 per share | 1,000 | $11.36 | $11,360.00 |
DisclosureSEC source: 0001104659-22-102722 · tm2226584-1_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remark 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,681.3 Read SEC document |
| September 13, 2022 Filed Sep 15, 2022 16:15 UTC |
Engel John F.Director
|
PurchaseCommon Stock, par value $0.01 per share | 8,178 | $12.23 | $100,016.94 |
DisclosureSEC source: 0001104659-22-100448 · tm2225901-1_4seq1.xml · nonDerivative · entry 1 Engel John F. · CIK 0001937238 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By John F. Engel Trust Disclosed balance after: 8,178 F1 · price: The weighted average price reported in Column 4 is rounded to the nearest hundredth. The price range for the purchases is $12.12 to $12.42 per share. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| August 29, 2022 Filed Aug 30, 2022 20:30 UTC |
Raterman Thomas B.See Remark
|
PurchaseCommon Stock, par value $0.01 per share | 1,000 | $12.45 | $12,450.00 |
DisclosureSEC source: 0001104659-22-096059 · tm2224782-1_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remark 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,681.3 F1 · price: The weighted average price reported in Column 4 is rounded to the nearest hundredth. The price range for the purchases is $12.415 to $12.48 per share. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price. F2 · balance_after: The number of shares includes shares acquired pursuant to the Runway Growth Finance Corp. automatic dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11. Read SEC document |
| August 24, 2022 Filed Aug 26, 2022 00:17 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 1,000 | $12.67 | $12,670.00 |
DisclosureSEC source: 0001104659-22-094518 · tm2224603-1_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,977.667 F1 · balance_after: Includes shares acquired pursuant to the Issuer's Dividend Reinvestment Plan. Read SEC document |
| June 21, 2022 Filed Jun 22, 2022 20:15 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 5,000 | $11.75 | $58,750.00 |
DisclosureSEC source: 0001104659-22-073512 · tm2219057d1_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,603.64 F1 · balance_after: Includes shares acquired pursuant to the Issuer's Dividend Reinvestment Plan. Read SEC document |
| May 11, 2022 Filed May 11, 2022 22:45 UTC |
Raterman Thomas B.See Remark
|
PurchaseCommon Stock, par value $0.01 per share | 1,000 | $13.26 | $13,260.00 |
DisclosureSEC source: 0001104659-22-058895 · tm2215294-1_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remark 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,276.21 F1 · price: The price reported in Column 4 is rounded to the nearest hundredth. F2 · balance_after: The number of shares includes shares acquired pursuant to the Runway Growth Finance Corp. automatic dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11. Read SEC document |
| May 10, 2022 Filed May 11, 2022 22:45 UTC |
Raterman Thomas B.See Remark
|
PurchaseCommon Stock, par value $0.01 per share | 1,000 | $12.72 | $12,720.00 |
DisclosureSEC source: 0001104659-22-058895 · tm2215294-1_4seq1.xml · nonDerivative · entry 2 Raterman Thomas B. · CIK 0001664300 · See Remark 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,124.77 F1 · price: The price reported in Column 4 is rounded to the nearest hundredth. Read SEC document |
| March 11, 2022 Filed Mar 14, 2022 17:27 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 25,000 | $12.35 | $308,750.00 |
DisclosureSEC source: 0001104659-22-033233 · tm229194-1_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,017.49 Read SEC document |
| March 11, 2022 Filed Mar 14, 2022 17:28 UTC |
Raterman Thomas B.See Remarks
|
PurchaseCommon Stock, par value $0.01 per share | 1,000 | $12.30 | $12,300.00 |
DisclosureSEC source: 0001104659-22-033236 · tm229194-2_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,124.77 Read SEC document |
| March 10, 2022 Filed Mar 14, 2022 17:27 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 5,000 | $12.35 | $61,750.00 |
DisclosureSEC source: 0001104659-22-033233 · tm229194-1_4seq1.xml · nonDerivative · entry 2 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,017.49 F1 · price: The price reported in Column 4 is rounded to the nearest hundredth. Read SEC document |
| March 08, 2022 Filed Mar 9, 2022 21:57 UTC |
Raterman Thomas B.See Remarks
|
PurchaseCommon Stock, par value $0.01 per share | 1,000 | $12.18 | $12,180.00 |
DisclosureSEC source: 0001104659-22-032060 · tm228837-1_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,124.77 Read SEC document |
| March 01, 2022 Filed Mar 1, 2022 21:50 UTC |
OCM Growth Holdings LLCDirector · 10% owner
BAM Partners Trust10% owner
BROOKFIELD Corp /ON/10% owner
Oaktree Fund GP, LLC10% owner
OAKTREE FUND GP I, L.P.10% owner
Oaktree Capital I, L.P.10% owner
Brookfield OCM Holdings II, LLC10% owner
Brookfield OCM Holdings, LLC10% owner
Brookfield Oaktree Holdings, LLC10% owner
|
PurchaseCommon Stock, par value $0.01 per share | 15,359 | $13.35 | $205,111.77 |
DisclosureSEC source: 0000899243-22-008344 · doc4.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,765,158 F1 · balance_after: Includes shares acquired pursuant to the issuer's dividend reinvestment plan. F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,690,158 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; F4 · ownership.direct: (Continued from Footnote 3) (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| March 01, 2022 Filed Mar 1, 2022 21:51 UTC |
OCM Growth Holdings LLCDirector · 10% owner
Brookfield US Holdings Inc.10% owner
Brookfield Holdings Canada Inc.10% owner
Brookfield US Inc.10% owner
Brookfield BHS Advisors LLC10% owner
|
PurchaseCommon Stock, par value $0.01 per share | 15,359 | $13.35 | $205,111.77 |
DisclosureSEC source: 0000899243-22-008345 · doc4.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Brookfield US Holdings Inc. · CIK 0001504722 · 10% owner Brookfield Holdings Canada Inc. · CIK 0001540230 · 10% owner Brookfield US Inc. · CIK 0001768973 · 10% owner Brookfield Public Securities Group Holdings LLC · CIK 0001909269 · 10% owner Brookfield BHS Advisors LLC · CIK 0001760437 · 10% owner Brookfield Multi-Strategy Fund GP LLC · CIK 0001909267 · 10% owner Brookfield Multi-Strategy Master Fund LP · CIK 0001909657 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,765,158 F1 · balance_after: Includes shares acquired pursuant to the issuer's dividend reinvestment plan. F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,690,158 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; F4 · ownership.direct: (Continued from Footnote 3) (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| February 28, 2022 Filed Feb 28, 2022 22:53 UTC |
OCM Growth Holdings LLCDirector · 10% owner
BAM Partners Trust10% owner
BROOKFIELD Corp /ON/10% owner
Oaktree Fund GP, LLC10% owner
OAKTREE FUND GP I, L.P.10% owner
Oaktree Capital I, L.P.10% owner
Brookfield OCM Holdings II, LLC10% owner
Brookfield OCM Holdings, LLC10% owner
Brookfield Oaktree Holdings, LLC10% owner
|
PurchaseCommon Stock, par value $0.01 per share | 11,672 | $12.73 | $148,620.74 |
DisclosureSEC source: 0000899243-22-008146 · doc4.xml · nonDerivative · entry 3 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,749,799 F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,674,799 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; F4 · ownership.direct: (Continued from footnote 3) (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| February 28, 2022 Filed Feb 28, 2022 22:57 UTC |
OCM Growth Holdings LLCDirector · 10% owner
Brookfield US Holdings Inc.10% owner
Brookfield Holdings Canada Inc.10% owner
Brookfield US Inc.10% owner
Brookfield BHS Advisors LLC10% owner
|
PurchaseCommon Stock, par value $0.01 per share | 11,672 | $12.73 | $148,620.74 |
DisclosureSEC source: 0000899243-22-008148 · doc4.xml · nonDerivative · entry 3 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Brookfield US Holdings Inc. · CIK 0001504722 · 10% owner Brookfield Holdings Canada Inc. · CIK 0001540230 · 10% owner Brookfield US Inc. · CIK 0001768973 · 10% owner Brookfield Public Securities Group Holdings LLC · CIK 0001909269 · 10% owner Brookfield BHS Advisors LLC · CIK 0001760437 · 10% owner Brookfield Multi-Strategy Fund GP LLC · CIK 0001909267 · 10% owner Brookfield Multi-Strategy Master Fund LP · CIK 0001909657 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,749,799 F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,674,799 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; F4 · ownership.direct: (Continued from footnote 3) (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| February 25, 2022 Filed Feb 28, 2022 22:53 UTC |
OCM Growth Holdings LLCDirector · 10% owner
BAM Partners Trust10% owner
BROOKFIELD Corp /ON/10% owner
Oaktree Fund GP, LLC10% owner
OAKTREE FUND GP I, L.P.10% owner
Oaktree Capital I, L.P.10% owner
Brookfield OCM Holdings II, LLC10% owner
Brookfield OCM Holdings, LLC10% owner
Brookfield Oaktree Holdings, LLC10% owner
|
PurchaseCommon Stock, par value $0.01 per share | 18,335 | $12.94 | $237,278.74 |
DisclosureSEC source: 0000899243-22-008146 · doc4.xml · nonDerivative · entry 2 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,738,127 F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,674,799 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; F4 · ownership.direct: (Continued from footnote 3) (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| February 25, 2022 Filed Feb 28, 2022 22:57 UTC |
OCM Growth Holdings LLCDirector · 10% owner
Brookfield US Holdings Inc.10% owner
Brookfield Holdings Canada Inc.10% owner
Brookfield US Inc.10% owner
Brookfield BHS Advisors LLC10% owner
|
PurchaseCommon Stock, par value $0.01 per share | 18,335 | $12.94 | $237,278.74 |
DisclosureSEC source: 0000899243-22-008148 · doc4.xml · nonDerivative · entry 2 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Brookfield US Holdings Inc. · CIK 0001504722 · 10% owner Brookfield Holdings Canada Inc. · CIK 0001540230 · 10% owner Brookfield US Inc. · CIK 0001768973 · 10% owner Brookfield Public Securities Group Holdings LLC · CIK 0001909269 · 10% owner Brookfield BHS Advisors LLC · CIK 0001760437 · 10% owner Brookfield Multi-Strategy Fund GP LLC · CIK 0001909267 · 10% owner Brookfield Multi-Strategy Master Fund LP · CIK 0001909657 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,738,127 F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,674,799 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; F4 · ownership.direct: (Continued from footnote 3) (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| February 24, 2022 Filed Feb 28, 2022 22:53 UTC |
OCM Growth Holdings LLCDirector · 10% owner
BAM Partners Trust10% owner
BROOKFIELD Corp /ON/10% owner
Oaktree Fund GP, LLC10% owner
OAKTREE FUND GP I, L.P.10% owner
Oaktree Capital I, L.P.10% owner
Brookfield OCM Holdings II, LLC10% owner
Brookfield OCM Holdings, LLC10% owner
Brookfield Oaktree Holdings, LLC10% owner
|
PurchaseCommon Stock, par value $0.01 per share | 16,268 | $12.96 | $210,823.52 |
DisclosureSEC source: 0000899243-22-008146 · doc4.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,719,792 F1 · balance_after: Includes shares acquired pursuant to the issuer's dividend reinvestment plan. F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,674,799 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; F4 · ownership.direct: (Continued from footnote 3) (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| February 24, 2022 Filed Feb 28, 2022 22:57 UTC |
OCM Growth Holdings LLCDirector · 10% owner
Brookfield US Holdings Inc.10% owner
Brookfield Holdings Canada Inc.10% owner
Brookfield US Inc.10% owner
Brookfield BHS Advisors LLC10% owner
|
PurchaseCommon Stock, par value $0.01 per share | 16,268 | $12.96 | $210,823.52 |
DisclosureSEC source: 0000899243-22-008148 · doc4.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Brookfield US Holdings Inc. · CIK 0001504722 · 10% owner Brookfield Holdings Canada Inc. · CIK 0001540230 · 10% owner Brookfield US Inc. · CIK 0001768973 · 10% owner Brookfield Public Securities Group Holdings LLC · CIK 0001909269 · 10% owner Brookfield BHS Advisors LLC · CIK 0001760437 · 10% owner Brookfield Multi-Strategy Fund GP LLC · CIK 0001909267 · 10% owner Brookfield Multi-Strategy Master Fund LP · CIK 0001909657 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,719,792 F1 · balance_after: Includes shares acquired pursuant to the issuer's dividend reinvestment plan. F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,674,799 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; F4 · ownership.direct: (Continued from footnote 3) (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| February 23, 2022 Filed Feb 23, 2022 22:45 UTC |
OCM Growth Holdings LLCDirector · 10% owner
BAM Partners Trust10% owner
BROOKFIELD Corp /ON/10% owner
Oaktree Fund GP, LLC10% owner
OAKTREE FUND GP I, L.P.10% owner
Oaktree Capital I, L.P.10% owner
Brookfield OCM Holdings II, LLC10% owner
Brookfield OCM Holdings, LLC10% owner
Brookfield Oaktree Holdings, LLC10% owner
|
PurchaseCommon Stock, par value $0.01 per share | 18,372 | $13.22 | $242,864.98 |
DisclosureSEC source: 0000899243-22-007422 · doc4.xml · nonDerivative · entry 3 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,703,524 F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,628,524 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), F4 · ownership.direct: (Continued from Footnote 3) in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| February 23, 2022 Filed Feb 23, 2022 22:48 UTC |
OCM Growth Holdings LLCDirector · 10% owner
Brookfield US Holdings Inc.10% owner
Brookfield Holdings Canada Inc.10% owner
Brookfield US Inc.10% owner
Brookfield BHS Advisors LLC10% owner
|
PurchaseCommon Stock, par value $0.01 per share | 18,372 | $13.22 | $242,864.98 |
DisclosureSEC source: 0000899243-22-007427 · doc4.xml · nonDerivative · entry 3 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Brookfield US Holdings Inc. · CIK 0001504722 · 10% owner Brookfield Holdings Canada Inc. · CIK 0001540230 · 10% owner Brookfield US Inc. · CIK 0001768973 · 10% owner Brookfield Public Securities Group Holdings LLC · CIK 0001909269 · 10% owner Brookfield BHS Advisors LLC · CIK 0001760437 · 10% owner Brookfield Multi-Strategy Fund GP LLC · CIK 0001909267 · 10% owner Brookfield Multi-Strategy Master Fund LP · CIK 0001909657 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,703,524 F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,628,524 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), F4 · ownership.direct: (Continued from Footnote 3) in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| February 22, 2022 Filed Feb 23, 2022 22:45 UTC |
OCM Growth Holdings LLCDirector · 10% owner
BAM Partners Trust10% owner
BROOKFIELD Corp /ON/10% owner
Oaktree Fund GP, LLC10% owner
OAKTREE FUND GP I, L.P.10% owner
Oaktree Capital I, L.P.10% owner
Brookfield OCM Holdings II, LLC10% owner
Brookfield OCM Holdings, LLC10% owner
Brookfield Oaktree Holdings, LLC10% owner
|
PurchaseCommon Stock, par value $0.01 per share | 18,141 | $13.39 | $242,927.95 |
DisclosureSEC source: 0000899243-22-007422 · doc4.xml · nonDerivative · entry 2 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,685,152 F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,628,524 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), F4 · ownership.direct: (Continued from Footnote 3) in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| February 22, 2022 Filed Feb 23, 2022 22:48 UTC |
OCM Growth Holdings LLCDirector · 10% owner
Brookfield US Holdings Inc.10% owner
Brookfield Holdings Canada Inc.10% owner
Brookfield US Inc.10% owner
Brookfield BHS Advisors LLC10% owner
|
PurchaseCommon Stock, par value $0.01 per share | 18,141 | $13.39 | $242,927.95 |
DisclosureSEC source: 0000899243-22-007427 · doc4.xml · nonDerivative · entry 2 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Brookfield US Holdings Inc. · CIK 0001504722 · 10% owner Brookfield Holdings Canada Inc. · CIK 0001540230 · 10% owner Brookfield US Inc. · CIK 0001768973 · 10% owner Brookfield Public Securities Group Holdings LLC · CIK 0001909269 · 10% owner Brookfield BHS Advisors LLC · CIK 0001760437 · 10% owner Brookfield Multi-Strategy Fund GP LLC · CIK 0001909267 · 10% owner Brookfield Multi-Strategy Master Fund LP · CIK 0001909657 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,685,152 F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,628,524 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), F4 · ownership.direct: (Continued from Footnote 3) in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| February 18, 2022 Filed Feb 23, 2022 22:45 UTC |
OCM Growth Holdings LLCDirector · 10% owner
BAM Partners Trust10% owner
BROOKFIELD Corp /ON/10% owner
Oaktree Fund GP, LLC10% owner
OAKTREE FUND GP I, L.P.10% owner
Oaktree Capital I, L.P.10% owner
Brookfield OCM Holdings II, LLC10% owner
Brookfield OCM Holdings, LLC10% owner
Brookfield Oaktree Holdings, LLC10% owner
|
PurchaseCommon Stock, par value $0.01 per share | 11,461 | $13.61 | $155,960.14 |
DisclosureSEC source: 0000899243-22-007422 · doc4.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,667,011 F1 · balance_after: Includes shares acquired pursuant to the issuer's dividend reinvestment plan. F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,628,524 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), F4 · ownership.direct: (Continued from Footnote 3) in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| February 18, 2022 Filed Feb 23, 2022 22:48 UTC |
OCM Growth Holdings LLCDirector · 10% owner
Brookfield US Holdings Inc.10% owner
Brookfield Holdings Canada Inc.10% owner
Brookfield US Inc.10% owner
Brookfield BHS Advisors LLC10% owner
|
PurchaseCommon Stock, par value $0.01 per share | 11,461 | $13.61 | $155,960.14 |
DisclosureSEC source: 0000899243-22-007427 · doc4.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Brookfield US Holdings Inc. · CIK 0001504722 · 10% owner Brookfield Holdings Canada Inc. · CIK 0001540230 · 10% owner Brookfield US Inc. · CIK 0001768973 · 10% owner Brookfield Public Securities Group Holdings LLC · CIK 0001909269 · 10% owner Brookfield BHS Advisors LLC · CIK 0001760437 · 10% owner Brookfield Multi-Strategy Fund GP LLC · CIK 0001909267 · 10% owner Brookfield Multi-Strategy Master Fund LP · CIK 0001909657 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,667,011 F1 · balance_after: Includes shares acquired pursuant to the issuer's dividend reinvestment plan. F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,628,524 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), F4 · ownership.direct: (Continued from Footnote 3) in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| February 17, 2022 Filed Feb 17, 2022 21:46 UTC |
OCM Growth Holdings LLCDirector · 10% owner
BAM Partners Trust10% owner
BROOKFIELD Corp /ON/10% owner
Oaktree Fund GP, LLC10% owner
OAKTREE FUND GP I, L.P.10% owner
Oaktree Capital I, L.P.10% owner
Brookfield OCM Holdings II, LLC10% owner
Brookfield OCM Holdings, LLC10% owner
Brookfield Oaktree Holdings, LLC10% owner
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PurchaseCommon Stock, par value $0.01 per share | 18,146 | $13.58 | $246,339.21 |
DisclosureSEC source: 0000899243-22-006801 · doc4.xml · nonDerivative · entry 3 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,655,550 F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,580,5503 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), F4 · ownership.direct: (Continued from Footnote 3) in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| February 17, 2022 Filed Feb 17, 2022 21:54 UTC |
OCM Growth Holdings LLCDirector · 10% owner
Brookfield US Holdings Inc.10% owner
Brookfield Holdings Canada Inc.10% owner
Brookfield US Inc.10% owner
Brookfield BHS Advisors LLC10% owner
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PurchaseCommon Stock, par value $0.01 per share | 18,146 | $13.58 | $246,339.21 |
DisclosureSEC source: 0000899243-22-006803 · doc4.xml · nonDerivative · entry 3 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Brookfield US Holdings Inc. · CIK 0001504722 · 10% owner Brookfield Holdings Canada Inc. · CIK 0001540230 · 10% owner Brookfield US Inc. · CIK 0001768973 · 10% owner Brookfield Public Securities Group Holdings LLC · CIK 0001909269 · 10% owner Brookfield BHS Advisors LLC · CIK 0001760437 · 10% owner Brookfield Multi-Strategy Fund GP LLC · CIK 0001909267 · 10% owner Brookfield Multi-Strategy Master Fund LP · CIK 0001909657 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,655,550 F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,580,5503 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), F4 · ownership.direct: (Continued from Footnote 3) in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| February 16, 2022 Filed Feb 17, 2022 21:46 UTC |
OCM Growth Holdings LLCDirector · 10% owner
BAM Partners Trust10% owner
BROOKFIELD Corp /ON/10% owner
Oaktree Fund GP, LLC10% owner
OAKTREE FUND GP I, L.P.10% owner
Oaktree Capital I, L.P.10% owner
Brookfield OCM Holdings II, LLC10% owner
Brookfield OCM Holdings, LLC10% owner
Brookfield Oaktree Holdings, LLC10% owner
|
PurchaseCommon Stock, par value $0.01 per share | 19,438 | $13.37 | $259,833.58 |
DisclosureSEC source: 0000899243-22-006801 · doc4.xml · nonDerivative · entry 2 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner BROOKFIELD ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,637,404 F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,580,5503 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), F4 · ownership.direct: (Continued from Footnote 3) in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| February 16, 2022 Filed Feb 17, 2022 21:54 UTC |
OCM Growth Holdings LLCDirector · 10% owner
Brookfield US Holdings Inc.10% owner
Brookfield Holdings Canada Inc.10% owner
Brookfield US Inc.10% owner
Brookfield BHS Advisors LLC10% owner
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PurchaseCommon Stock, par value $0.01 per share | 19,438 | $13.37 | $259,833.58 |
DisclosureSEC source: 0000899243-22-006803 · doc4.xml · nonDerivative · entry 2 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Brookfield US Holdings Inc. · CIK 0001504722 · 10% owner Brookfield Holdings Canada Inc. · CIK 0001540230 · 10% owner Brookfield US Inc. · CIK 0001768973 · 10% owner Brookfield Public Securities Group Holdings LLC · CIK 0001909269 · 10% owner Brookfield BHS Advisors LLC · CIK 0001760437 · 10% owner Brookfield Multi-Strategy Fund GP LLC · CIK 0001909267 · 10% owner Brookfield Multi-Strategy Master Fund LP · CIK 0001909657 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,637,404 F8 · balance_after: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,580,5503 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"), F3 · ownership.direct: (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), F4 · ownership.direct: (Continued from Footnote 3) in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. 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.