organization · Reporting owner
Oaktree Holdings, Inc.
Disclosed activity across 18 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Berry Corp (bry)BRY · Entity 71163 | 10% owner | June 12, 2019 | June 24, 2019 |
| DITECH HOLDING CorpDHCP · Entity 161436 | 10% owner | February 09, 2018 | April 13, 2018 |
| EXCO RESOURCES INCXCO · Entity 167238 | Director · 10% owner | November 18, 2016 | November 22, 2016 |
| Eagle Bulk Shipping Inc.EGLE · Entity 92053 | 10% owner | April 06, 2021 | April 07, 2021 |
| Energy XXI Gulf Coast, Inc.EXXI · Entity 162906 | 10% owner | December 30, 2016 | March 03, 2017 |
| Hims & Hers Health, Inc.OAC · Entity 1878 | 10% owner | July 17, 2019 | July 18, 2019 |
| Infinera CorpINFN · Entity 82602 | 10% owner | May 09, 2019 | May 10, 2019 |
| Infrastructure & Energy Alternatives, Inc.IEA · Entity 123160 | Director · 10% owner | March 26, 2020 | April 02, 2020 |
| Oaktree Acquisition Corp. IIOACB · Entity 142657 | 10% owner | September 21, 2020 | September 22, 2020 |
| Oaktree Specialty Lending CorpOCSL · Entity 4863 | 10% owner | December 13, 2017 | December 16, 2017 |
| Oaktree Strategic Income CorpOCSI · Entity 140960 | 10% owner | March 08, 2018 | March 12, 2018 |
| SunOpta Inc.STKL · Entity 49798 | 10% owner | December 15, 2017 | December 18, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Berry Corp (bry)
Report date June 12, 2019 · Filed June 24, 2019
Jointly reported with Oaktree Capital I, L.P., Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, OAKTREE CAPITAL MANAGEMENT LP, Brookfield Oaktree Holdings, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 12,891,717 |
Reported balance
Holding disclosure · report date 2019-06-12 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 12,891,717 F1: This Form 3 is being filed by the Reporting Persons (as defined below) to reflect the acquisition of beneficial ownership (as defined under Section 13D of the Securities Exchange Act of 1934, as amended) of more than 10% of the common stock, par value $0.001 per share (the "Common Stock") of the Issuer. The Reporting Persons had, prior to the above described acquisition on the date of the event requiring this Form 3, beneficially owned less than 10% of the Common Stock. F2: Consists of 5,540,247 shares of Common Stock held by Oaktree Opportunities Fund X Holdings (Delaware), L.P. ("Fund X Delaware"), 5,085,000 shares of Common Stock held by Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. ("Fund Xb Delaware") and 2,266,470 shares of Common Stock held by Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"). F3: This Form 3 is being filed jointly by (each "Reporting Person" and, collectively, the "Reporting Persons") (i) Fund X Delaware, (ii) Fund Xb Delaware, (iii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as the general partner of Fund X Delaware and Fund Xb Delaware, (iv) VOF Holdings, (v) Oaktree Value Opportunities Fund GP, L.P. ("VOF GP") in its capacity as the general partner of VOF Holdings, (vi) Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd.") in its capacity as the general partner of VOF GP, (vii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as the managing member of Fund GP and the sole shareholder of VOF GP Ltd., (viii) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I, (ix) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I, (x) Oaktree Holdings, LLC ("Holdings") in its capacity as the managing member of Holdings I, [cont'd in FN 4] F4: [cont'd from FN 3] (xi) Oaktree Capital Management, L.P. ("Management") in its capacity as the sole director of VOF GP Ltd, (xii) Oaktree Holdings, Inc. ("Holdings, Inc.") in its capacity as the general partner of Management, (xiii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings and the sole shareholder of Holdings, Inc. and (xiii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly elected manager of OCG. F5: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock and Series A Preferred Stock reported herein. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of the securities reported herein beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 3 is being filed by the Reporting Persons (as defined below) to reflect the acquisition of beneficial ownership (as defined under Section 13D of the Securities Exchange Act of 1934, as amended) of more than 10% of the common stock, par value $0.001 per share (the "Common Stock") of the Issuer. The Reporting Persons had, prior to the above described acquisition on the date of the event requiring this Form 3, beneficially owned less than 10% of the Common Stock.
F2: Consists of 5,540,247 shares of Common Stock held by Oaktree Opportunities Fund X Holdings (Delaware), L.P. ("Fund X Delaware"), 5,085,000 shares of Common Stock held by Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. ("Fund Xb Delaware") and 2,266,470 shares of Common Stock held by Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings").
F3: This Form 3 is being filed jointly by (each "Reporting Person" and, collectively, the "Reporting Persons") (i) Fund X Delaware, (ii) Fund Xb Delaware, (iii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as the general partner of Fund X Delaware and Fund Xb Delaware, (iv) VOF Holdings, (v) Oaktree Value Opportunities Fund GP, L.P. ("VOF GP") in its capacity as the general partner of VOF Holdings, (vi) Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd.") in its capacity as the general partner of VOF GP, (vii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as the managing member of Fund GP and the sole shareholder of VOF GP Ltd., (viii) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I, (ix) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I, (x) Oaktree Holdings, LLC ("Holdings") in its capacity as the managing member of Holdings I, [cont'd in FN 4]
F4: [cont'd from FN 3] (xi) Oaktree Capital Management, L.P. ("Management") in its capacity as the sole director of VOF GP Ltd, (xii) Oaktree Holdings, Inc. ("Holdings, Inc.") in its capacity as the general partner of Management, (xiii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings and the sole shareholder of Holdings, Inc. and (xiii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly elected manager of OCG.
F5: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock and Series A Preferred Stock reported herein. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of the securities reported herein beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein.
DITECH HOLDING Corp
Report date February 09, 2018 · Filed April 13, 2018 · Amendment
Jointly reported with OAKTREE CAPITAL MANAGEMENT LP, Brookfield Oaktree Holdings, LLC, Oaktree Capital Group Holdings GP, LLC
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Mandatorily Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2018-02-09 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance Not disclosed F1: The purpose of this amendment is to withdraw the Form 3 filed on 2/20/2018. The Reporting Persons (as defined below) are not (and at no time were) a 10% owner of the Issuer due to the application of exemptions under Rule 16a-1(a)(1) of the Securities Exchange Act of 1934. F2: N/A F3: This Form 3 is being filed jointly by (i) Oaktree Capital Management, L.P., a Delaware limited partnership and a registered investment adviser under the Investment Advisers Act of 1940, as amended ("Oaktree"), whose principal business is to provide investment advisory services to investment funds and accounts; (ii) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), whose principal business is to serve as, and perform the functions of, the general partner of certain entities affiliated with the Reporting Persons and to hold limited partnership interests in such entities; (iii) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), F4: (Continued from footnote 2) whose principal business is to act as the holding company and controlling entity of each of the general partner and investment adviser of certain investment funds and separately managed accounts; and (iv) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP" and, together with Oaktree, Holdings, Inc. and OCG, the "Reporting Persons"), whose principal business is to serve as, and perform the functions of, the manager of OCG. |
Filing footnotes · ownership attribution and instrument terms
F1: The purpose of this amendment is to withdraw the Form 3 filed on 2/20/2018. The Reporting Persons (as defined below) are not (and at no time were) a 10% owner of the Issuer due to the application of exemptions under Rule 16a-1(a)(1) of the Securities Exchange Act of 1934.
F2: N/A
F3: This Form 3 is being filed jointly by (i) Oaktree Capital Management, L.P., a Delaware limited partnership and a registered investment adviser under the Investment Advisers Act of 1940, as amended ("Oaktree"), whose principal business is to provide investment advisory services to investment funds and accounts; (ii) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), whose principal business is to serve as, and perform the functions of, the general partner of certain entities affiliated with the Reporting Persons and to hold limited partnership interests in such entities; (iii) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"),
F4: (Continued from footnote 2) whose principal business is to act as the holding company and controlling entity of each of the general partner and investment adviser of certain investment funds and separately managed accounts; and (iv) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP" and, together with Oaktree, Holdings, Inc. and OCG, the "Reporting Persons"), whose principal business is to serve as, and perform the functions of, the manager of OCG.
EXCO RESOURCES INC
Report date November 18, 2016 · Filed November 22, 2016
Jointly reported with OCM EXCO Holdings, LLC, OAKTREE CAPITAL MANAGEMENT LP, Brookfield Oaktree Holdings, LLC, Oaktree Capital Group Holdings, L.P., Oaktree Capital Group Holdings GP, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 30,778,682 |
Last balance in matching sequence
After 2016-11-18 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2016-11-18 · Sale · Disposed 909,453 · Balance 36,869,229 F8: On November 18, 2016, Fund III sold 909,453 shares of Common Stock in a privately negotiated transaction. F1: This Form 4 is being filed by (i) OCM Principal Opportunities Fund IV Delaware, L.P. ("Fund IV Delaware"); (ii) OCM Principal Opportunities Fund IV Delaware GP Inc. ("Fund IV Delaware GP"), in its capacity as general partner of Fund IV Delaware; (iii) OCM Principal Opportunities Fund IV, L.P. ("Fund IV"), in its capacity as sole shareholder of Fund IV Delaware GP; (iv) OCM Principal Opportunities Fund IV GP, L.P. ("Fund IV GP"), in its capacity as general partner of Fund IV; (v) OCM Principal Opportunities Fund IV GP Ltd. ("Fund IV GP Ltd."), in its capacity as general partner of Fund IV GP; (vi) OCM Principal Opportunities Fund III, L.P. ("Fund III"); (vii) OCM Principal Opportunities Fund IIIA, L.P. ("Fund IIIA"); and (viii) OCM Principal Opportunities Fund III GP, L.P. ("Fund III GP"), in its capacity as general partner of Fund III and Fund IIIA. F2: This Form 4 is also being filed by (i) Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings''); (ii) Oaktree Value Opportunities Fund GP, L.P. ("VOFGP"), in its capacity as general partner of VOF Holdings; (iii) Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd."), in its capacity as general partner of VOFGP; (iv) OCM FIE, LLC ("FIE"); (v) Oaktree Fund GP I, L.P. ("GP I"), in its capacity as sole shareholder of Fund IV GP Ltd. and VOF GP Ltd. and the general partner of Fund III GP; (vi) Oaktree Capital I, L.P. ("Capital I"), in its capacity as general partner of GP I; (vii) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I; and (viii) Oaktree Holdings, LLC ("Holdings"), in its capacity as managing member of Holdings I. F3: This Form 4 is also being filed by (i) OCM EXCO Holdings, LLC ("OCM EXCO"); (ii) Oaktree Capital Management, L.P. (formerly Oaktree Capital Management, LLC) ("Oaktree LP"), in its capacity as managing member of FIE, manager of OCM EXCO and director of Fund IV GP Ltd. and VOF GP Ltd.; (iii) Oaktree Holdings, Inc. ("Holdings Inc."), in its capacity as general partner of Oaktree LP; (iv) Oaktree Capital Group, LLC ("OCG"), in its capacity as managing member of Holdings and the sole shareholder of Holdings Inc.; and (v) Oaktree Capital Group Holdings, L.P. ("OCGH"), in its capacity as holder of a majority of the voting units of OCG. F4: This Form 4 is also being filed by Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as general partner of OCGH and manager of OCG (each of Fund IV Delaware, Fund IV Delaware GP, Fund IV, Fund IV GP, Fund IV GP Ltd., Fund III, Fund IIIA, Fund III GP, VOF Holdings, VOFGP, VOF GP Ltd., FIE, GP I, Capital I, Holdings I, Holdings, OCM EXCO, Oaktree LP, Holdings Inc., OCG, OCGH and OCGH GP, a "Reporting Person" and collectively, the "Reporting Persons"). F5: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person, other than Fund IV Delaware, Fund III, Fund IIIA, VOF Holdings and OCM EXCO with respect to their respective direct holdings, disclaims beneficial ownership for the securities reported herein except to the extent of their 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 securities covered by this Form 4. F6: OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, Sheldon M. Stone, Stephen A. Kaplan and David M. Kirchheimer (each, an "OCGH GP Member" and collectively, the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4. F7: The Reporting Persons, other than Fund III GP, Fund III and Fund IIIA, may be deemed a director by virtue of their right to designate a representative to be nominated by the Issuer to serve on the Issuer's board of directors. Row 2 · 2016-11-18 · Sale · Disposed 16,670 · Balance 36,852,559 F9: On November 18, 2016, Fund IIIA sold 16,670 shares of Common Stock in a privately negotiated transaction. F1: This Form 4 is being filed by (i) OCM Principal Opportunities Fund IV Delaware, L.P. ("Fund IV Delaware"); (ii) OCM Principal Opportunities Fund IV Delaware GP Inc. ("Fund IV Delaware GP"), in its capacity as general partner of Fund IV Delaware; (iii) OCM Principal Opportunities Fund IV, L.P. ("Fund IV"), in its capacity as sole shareholder of Fund IV Delaware GP; (iv) OCM Principal Opportunities Fund IV GP, L.P. ("Fund IV GP"), in its capacity as general partner of Fund IV; (v) OCM Principal Opportunities Fund IV GP Ltd. ("Fund IV GP Ltd."), in its capacity as general partner of Fund IV GP; (vi) OCM Principal Opportunities Fund III, L.P. ("Fund III"); (vii) OCM Principal Opportunities Fund IIIA, L.P. ("Fund IIIA"); and (viii) OCM Principal Opportunities Fund III GP, L.P. ("Fund III GP"), in its capacity as general partner of Fund III and Fund IIIA. F2: This Form 4 is also being filed by (i) Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings''); (ii) Oaktree Value Opportunities Fund GP, L.P. ("VOFGP"), in its capacity as general partner of VOF Holdings; (iii) Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd."), in its capacity as general partner of VOFGP; (iv) OCM FIE, LLC ("FIE"); (v) Oaktree Fund GP I, L.P. ("GP I"), in its capacity as sole shareholder of Fund IV GP Ltd. and VOF GP Ltd. and the general partner of Fund III GP; (vi) Oaktree Capital I, L.P. ("Capital I"), in its capacity as general partner of GP I; (vii) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I; and (viii) Oaktree Holdings, LLC ("Holdings"), in its capacity as managing member of Holdings I. F3: This Form 4 is also being filed by (i) OCM EXCO Holdings, LLC ("OCM EXCO"); (ii) Oaktree Capital Management, L.P. (formerly Oaktree Capital Management, LLC) ("Oaktree LP"), in its capacity as managing member of FIE, manager of OCM EXCO and director of Fund IV GP Ltd. and VOF GP Ltd.; (iii) Oaktree Holdings, Inc. ("Holdings Inc."), in its capacity as general partner of Oaktree LP; (iv) Oaktree Capital Group, LLC ("OCG"), in its capacity as managing member of Holdings and the sole shareholder of Holdings Inc.; and (v) Oaktree Capital Group Holdings, L.P. ("OCGH"), in its capacity as holder of a majority of the voting units of OCG. F4: This Form 4 is also being filed by Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as general partner of OCGH and manager of OCG (each of Fund IV Delaware, Fund IV Delaware GP, Fund IV, Fund IV GP, Fund IV GP Ltd., Fund III, Fund IIIA, Fund III GP, VOF Holdings, VOFGP, VOF GP Ltd., FIE, GP I, Capital I, Holdings I, Holdings, OCM EXCO, Oaktree LP, Holdings Inc., OCG, OCGH and OCGH GP, a "Reporting Person" and collectively, the "Reporting Persons"). F5: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person, other than Fund IV Delaware, Fund III, Fund IIIA, VOF Holdings and OCM EXCO with respect to their respective direct holdings, disclaims beneficial ownership for the securities reported herein except to the extent of their 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 securities covered by this Form 4. F6: OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, Sheldon M. Stone, Stephen A. Kaplan and David M. Kirchheimer (each, an "OCGH GP Member" and collectively, the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4. F7: The Reporting Persons, other than Fund III GP, Fund III and Fund IIIA, may be deemed a director by virtue of their right to designate a representative to be nominated by the Issuer to serve on the Issuer's board of directors. Row 3 · 2016-11-18 · Sale · Disposed 6,073,877 · Balance 30,778,682 F10: On November 18, 2016, Fund IV sold 6,073,877 shares of Common Stock in a privately negotiated transaction. F1: This Form 4 is being filed by (i) OCM Principal Opportunities Fund IV Delaware, L.P. ("Fund IV Delaware"); (ii) OCM Principal Opportunities Fund IV Delaware GP Inc. ("Fund IV Delaware GP"), in its capacity as general partner of Fund IV Delaware; (iii) OCM Principal Opportunities Fund IV, L.P. ("Fund IV"), in its capacity as sole shareholder of Fund IV Delaware GP; (iv) OCM Principal Opportunities Fund IV GP, L.P. ("Fund IV GP"), in its capacity as general partner of Fund IV; (v) OCM Principal Opportunities Fund IV GP Ltd. ("Fund IV GP Ltd."), in its capacity as general partner of Fund IV GP; (vi) OCM Principal Opportunities Fund III, L.P. ("Fund III"); (vii) OCM Principal Opportunities Fund IIIA, L.P. ("Fund IIIA"); and (viii) OCM Principal Opportunities Fund III GP, L.P. ("Fund III GP"), in its capacity as general partner of Fund III and Fund IIIA. F2: This Form 4 is also being filed by (i) Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings''); (ii) Oaktree Value Opportunities Fund GP, L.P. ("VOFGP"), in its capacity as general partner of VOF Holdings; (iii) Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd."), in its capacity as general partner of VOFGP; (iv) OCM FIE, LLC ("FIE"); (v) Oaktree Fund GP I, L.P. ("GP I"), in its capacity as sole shareholder of Fund IV GP Ltd. and VOF GP Ltd. and the general partner of Fund III GP; (vi) Oaktree Capital I, L.P. ("Capital I"), in its capacity as general partner of GP I; (vii) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I; and (viii) Oaktree Holdings, LLC ("Holdings"), in its capacity as managing member of Holdings I. F3: This Form 4 is also being filed by (i) OCM EXCO Holdings, LLC ("OCM EXCO"); (ii) Oaktree Capital Management, L.P. (formerly Oaktree Capital Management, LLC) ("Oaktree LP"), in its capacity as managing member of FIE, manager of OCM EXCO and director of Fund IV GP Ltd. and VOF GP Ltd.; (iii) Oaktree Holdings, Inc. ("Holdings Inc."), in its capacity as general partner of Oaktree LP; (iv) Oaktree Capital Group, LLC ("OCG"), in its capacity as managing member of Holdings and the sole shareholder of Holdings Inc.; and (v) Oaktree Capital Group Holdings, L.P. ("OCGH"), in its capacity as holder of a majority of the voting units of OCG. F4: This Form 4 is also being filed by Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as general partner of OCGH and manager of OCG (each of Fund IV Delaware, Fund IV Delaware GP, Fund IV, Fund IV GP, Fund IV GP Ltd., Fund III, Fund IIIA, Fund III GP, VOF Holdings, VOFGP, VOF GP Ltd., FIE, GP I, Capital I, Holdings I, Holdings, OCM EXCO, Oaktree LP, Holdings Inc., OCG, OCGH and OCGH GP, a "Reporting Person" and collectively, the "Reporting Persons"). F5: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person, other than Fund IV Delaware, Fund III, Fund IIIA, VOF Holdings and OCM EXCO with respect to their respective direct holdings, disclaims beneficial ownership for the securities reported herein except to the extent of their 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 securities covered by this Form 4. F6: OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, Sheldon M. Stone, Stephen A. Kaplan and David M. Kirchheimer (each, an "OCGH GP Member" and collectively, the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4. F7: The Reporting Persons, other than Fund III GP, Fund III and Fund IIIA, may be deemed a director by virtue of their right to designate a representative to be nominated by the Issuer to serve on the Issuer's board of directors. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed by (i) OCM Principal Opportunities Fund IV Delaware, L.P. ("Fund IV Delaware"); (ii) OCM Principal Opportunities Fund IV Delaware GP Inc. ("Fund IV Delaware GP"), in its capacity as general partner of Fund IV Delaware; (iii) OCM Principal Opportunities Fund IV, L.P. ("Fund IV"), in its capacity as sole shareholder of Fund IV Delaware GP; (iv) OCM Principal Opportunities Fund IV GP, L.P. ("Fund IV GP"), in its capacity as general partner of Fund IV; (v) OCM Principal Opportunities Fund IV GP Ltd. ("Fund IV GP Ltd."), in its capacity as general partner of Fund IV GP; (vi) OCM Principal Opportunities Fund III, L.P. ("Fund III"); (vii) OCM Principal Opportunities Fund IIIA, L.P. ("Fund IIIA"); and (viii) OCM Principal Opportunities Fund III GP, L.P. ("Fund III GP"), in its capacity as general partner of Fund III and Fund IIIA.
F2: This Form 4 is also being filed by (i) Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings''); (ii) Oaktree Value Opportunities Fund GP, L.P. ("VOFGP"), in its capacity as general partner of VOF Holdings; (iii) Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd."), in its capacity as general partner of VOFGP; (iv) OCM FIE, LLC ("FIE"); (v) Oaktree Fund GP I, L.P. ("GP I"), in its capacity as sole shareholder of Fund IV GP Ltd. and VOF GP Ltd. and the general partner of Fund III GP; (vi) Oaktree Capital I, L.P. ("Capital I"), in its capacity as general partner of GP I; (vii) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I; and (viii) Oaktree Holdings, LLC ("Holdings"), in its capacity as managing member of Holdings I.
F3: This Form 4 is also being filed by (i) OCM EXCO Holdings, LLC ("OCM EXCO"); (ii) Oaktree Capital Management, L.P. (formerly Oaktree Capital Management, LLC) ("Oaktree LP"), in its capacity as managing member of FIE, manager of OCM EXCO and director of Fund IV GP Ltd. and VOF GP Ltd.; (iii) Oaktree Holdings, Inc. ("Holdings Inc."), in its capacity as general partner of Oaktree LP; (iv) Oaktree Capital Group, LLC ("OCG"), in its capacity as managing member of Holdings and the sole shareholder of Holdings Inc.; and (v) Oaktree Capital Group Holdings, L.P. ("OCGH"), in its capacity as holder of a majority of the voting units of OCG.
F4: This Form 4 is also being filed by Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as general partner of OCGH and manager of OCG (each of Fund IV Delaware, Fund IV Delaware GP, Fund IV, Fund IV GP, Fund IV GP Ltd., Fund III, Fund IIIA, Fund III GP, VOF Holdings, VOFGP, VOF GP Ltd., FIE, GP I, Capital I, Holdings I, Holdings, OCM EXCO, Oaktree LP, Holdings Inc., OCG, OCGH and OCGH GP, a "Reporting Person" and collectively, the "Reporting Persons").
F5: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person, other than Fund IV Delaware, Fund III, Fund IIIA, VOF Holdings and OCM EXCO with respect to their respective direct holdings, disclaims beneficial ownership for the securities reported herein except to the extent of their 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 securities covered by this Form 4.
F6: OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, Sheldon M. Stone, Stephen A. Kaplan and David M. Kirchheimer (each, an "OCGH GP Member" and collectively, the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4.
F7: The Reporting Persons, other than Fund III GP, Fund III and Fund IIIA, may be deemed a director by virtue of their right to designate a representative to be nominated by the Issuer to serve on the Issuer's board of directors.
F8: On November 18, 2016, Fund III sold 909,453 shares of Common Stock in a privately negotiated transaction.
F9: On November 18, 2016, Fund IIIA sold 16,670 shares of Common Stock in a privately negotiated transaction.
F10: On November 18, 2016, Fund IV sold 6,073,877 shares of Common Stock in a privately negotiated transaction.
Eagle Bulk Shipping Inc.
Report date April 06, 2021 · Filed April 07, 2021
Jointly reported with Oaktree Capital Group Holdings GP, LLC, Partners Ltd, BROOKFIELD Corp /ON/, OAKTREE CAPITAL MANAGEMENT LP, Brookfield Oaktree Holdings, LLC, OCM Opps EB Holdings Ltd.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per share ("Common Stock")SEC Table I · non-derivative | IndirectSee Footnote | 3,781,561 |
Reported balance
After 2021-04-06 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-04-06 · Sale · Disposed 75,880 · Balance 3,781,561 F1: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to the 3,781,561 shares of the Issuer's common stock, par value 0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as the indirect owner of the class B units of OCG, (x) Brookfield Asset Management Inc. (?BAM?), as the indirect owner of the class A units of OCG and (cont'd on FN 2) F2: (cont'd from FN 1) (xi) Partners Limited (?Partners Limited?, and, together with EB Holdings, Management, Holdings, Inc., OCG, OCGH GP and BAM, the "Reporting Persons" and each a "Reporting Person") as the sole owner of Class B Limited Voting Shares of BAM. F3: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F4: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to the 3,781,561 shares of the Issuer's common stock, par value 0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as the indirect owner of the class B units of OCG, (x) Brookfield Asset Management Inc. (?BAM?), as the indirect owner of the class A units of OCG and (cont'd on FN 2)
F2: (cont'd from FN 1) (xi) Partners Limited (?Partners Limited?, and, together with EB Holdings, Management, Holdings, Inc., OCG, OCGH GP and BAM, the "Reporting Persons" and each a "Reporting Person") as the sole owner of Class B Limited Voting Shares of BAM.
F3: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4.
F4: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein.
Energy XXI Gulf Coast, Inc.
Report date December 30, 2016 · Filed March 03, 2017
Jointly reported with OAKTREE FUND GP I, L.P., Oaktree Capital I, L.P., Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, OAKTREE CAPITAL MANAGEMENT LP, Brookfield Oaktree Holdings, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,287,274 |
Reported balance
Holding disclosure · report date 2016-12-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 3,287,274 F1: This Form 3 is being filed by the following persons (collectively, the "Reporting Persons" and each a "Reporting Person"):(i) Oaktree-Forrest Multi-Strategy, LLC, a Delaware limited liability company ("Forrest"); (ii) Oaktree Opportunities Fund IX Delaware, L.P., a Delaware limited partnership ("Fund IX Delaware"); (iii) Oaktree Fund GP, LLC, a Delaware limited liability company ("Fund GP"), in its capacity as the general partner of Fund IX Delaware; (iv) Oaktree Value Opportunities Fund Holdings, L.P., a Delaware limited partnership ("VOF Holdings"); (v) Oaktree Value Opportunities Fund GP, L.P., a Cayman Islands limited partnership ("VOF GP"), in its capacity as the general partner of VOF Holdings; (vi) Oaktree Value Opportunities Fund GP Ltd., a Cayman Islands exempted company ("VOF GP Ltd."), in its capacity as the general partner of VOF GP; (vii) Oaktree Opportunities Fund IX (Parallel 2), L.P., a Cayman Islands limited partnership ("IX Parallel 2"); F2: (viii) Oaktree Opportunities Fund IX GP, L.P., a Cayman Islands limited partnership ("Fund IX GP"), in its capacity as the general partner of IX Parallel 2; (ix) Oaktree Opportunities Fund IX GP Ltd., a Cayman Islands exempted company ("Fund IX GP Ltd."), in its capacity as the general partner of Fund IX GP; (x) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as the managing member of Fund GP and as the sole shareholder of each of VOF GP Ltd. and Fund IX GP Ltd.; (xi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (xii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (xiii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings") in its capacity as the managing member of Holdings I; F3: (xiv) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of each of VOF GP Ltd. and Fund IX GP Ltd. and as the manager of Forrest; (xv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as the general partner of Management; (xvi) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the managing member of Holdings and as the sole shareholder of Holdings, Inc.; and (xvii) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP"), in its capacity as the duly elected manager of OCG. F4: Forrest directly holds 28,860 shares of Common Stock and has the sole power to vote and dispose of such securities. F5: Fund IX Delaware directly holds 2,669,003 shares of Common Stock and 64,995 Warrants and has the sole power to vote and dispose of such securities. Fund GP, in its capacity as the general partner of Fund IX Delaware, has the ability to direct the management of Fund IX Delaware's businesses, including the power to vote and dispose of securities held by Fund IX Delaware; therefore, Fund GP may be deemed to beneficially own the securities of the Issuer held by Fund IX Delaware. IX Parallel 2 directly holds 24,488 shares of Common Stock and 594 Warrants and has the sole power to vote and dispose of such securities. F6: Fund IX GP, in its capacity as the general partner of IX Parallel 2, has the ability to direct the management of IX Parallel 2's business, including the power to vote and dispose of securities held by IX Parallel 2; therefore, Fund IX GP may be deemed to beneficially own the securities of the Issuer held by IX Parallel 2. Fund IX GP Ltd., in its capacity as the general partner of Fund IX GP, has the ability to direct the management of Fund IX GP's business, including the power to direct the decisions of Fund IX GP regarding the vote and disposition of securities held by Fund IX GP; therefore, VOF GP Ltd. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by IX Parallel 2. VOF Holdings directly holds 564,923 shares of Common Stock and 22,113 Warrants and has the sole power to vote and dispose of such securities. F7: VOF GP, in its capacity as the general partner of VOF Holdings, has the ability to direct the management of VOF Holdings' business, including the power to vote and dispose of securities held by VOF Holdings; therefore, VOF GP may be deemed to beneficially own the securities of the Issuer held by VOF Holdings. VOF GP Ltd., in its capacity as the general partner of VOF GP, has the ability to direct the management of VOF GP's business, including the power to direct the decisions of VOF GP regarding the vote and disposition of securities held by VOF Holdings; therefore, VOF GP Ltd. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by VOF Holdings. F8: GP I, in its capacity as the sole shareholder of each of Fund IX GP Ltd. and VOF GP Ltd., has the ability to appoint and remove the directors and direct the management of the business of each of Fund IX GP Ltd. and VOF GP Ltd. As such, GP I has the power to direct the decisions of each of Fund IX GP Ltd. and VOF GP Ltd. regarding the vote and disposition of securities held by each of IX Parallel 2 and VOF Holdings. Additionally, GP I, in its capacity as the managing member of Fund GP, has the ability to direct the management of Fund GP's business, including the power to direct the decisions of Fund GP regarding the vote and disposition of securities held by Fund IX Delaware. Therefore, GP I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. F9: Capital I, in its capacity as the general partner of GP I, has the ability to direct the management of GP I's business, including the power to direct the decisions of GP I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Capital I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. Holdings I, in its capacity as the general partner of Capital I, has the ability to direct the management of Capital I's business, including the power to direct the decisions of Capital I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Holdings I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. F10: Holdings, in its capacity as the managing member of Holdings I, has the ability to direct the management of Holding I's business, including the power to direct the decisions of Holdings I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Holdings may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. Management, in its capacity as the sole director of each of Fund IX GP Ltd. and VOF GP Ltd., has the ability to direct the management of IX Parallel 2 and VOF Holdings, including the power to direct the decisions of IX Parallel 2 and VOF Holdings regarding the vote and disposition of securities held by each of IX Parallel 2 and VOF Holdings. F11: Additionally, Management, in its capacity as the manager of Forrest, has the ability to direct the management of Forrest's business, including the power to direct the decisions of Forrest regarding the vote and disposition of securities held by Forrest. Therefore, Management may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Forrest. Holdings, Inc., in its capacity as the general partner of Management, has the ability to direct the management of Management's business, including the power to vote and dispose of securities held by each of IX Parallel 2, VOF Holdings and Forrest; therefore, Holdings, Inc. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Forrest. F12: OCG, in its capacity as the sole shareholder of Holdings, Inc., has the ability to appoint and remove directors of Holdings, Inc. and, as such, may indirectly control the decisions of Holdings, Inc. regarding the vote and disposition of securities held by IX Parallel 2, VOF Holdings and Forrest. Additionally, OCG, in its capacity as the managing member of Holdings, has the ability to direct the management of Holdings' business, including the power to direct the decisions of Holdings regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. F13: Therefore, OCG may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware. OCGH GP, in its capacity as the duly appointed manager of OCG, has the ability appoint and remove directors of OCG and, as such, may indirectly control the decisions of OCG regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware; therefore, OCGH GP may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware. F14: Each Reporting Person disclaims beneficial ownership of all equity securities and derivative securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 3 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities or derivative securities covered by this Form 3. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $43.66 · Expires 2021-12-30 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2016-12-30 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F1: This Form 3 is being filed by the following persons (collectively, the "Reporting Persons" and each a "Reporting Person"):(i) Oaktree-Forrest Multi-Strategy, LLC, a Delaware limited liability company ("Forrest"); (ii) Oaktree Opportunities Fund IX Delaware, L.P., a Delaware limited partnership ("Fund IX Delaware"); (iii) Oaktree Fund GP, LLC, a Delaware limited liability company ("Fund GP"), in its capacity as the general partner of Fund IX Delaware; (iv) Oaktree Value Opportunities Fund Holdings, L.P., a Delaware limited partnership ("VOF Holdings"); (v) Oaktree Value Opportunities Fund GP, L.P., a Cayman Islands limited partnership ("VOF GP"), in its capacity as the general partner of VOF Holdings; (vi) Oaktree Value Opportunities Fund GP Ltd., a Cayman Islands exempted company ("VOF GP Ltd."), in its capacity as the general partner of VOF GP; (vii) Oaktree Opportunities Fund IX (Parallel 2), L.P., a Cayman Islands limited partnership ("IX Parallel 2"); F2: (viii) Oaktree Opportunities Fund IX GP, L.P., a Cayman Islands limited partnership ("Fund IX GP"), in its capacity as the general partner of IX Parallel 2; (ix) Oaktree Opportunities Fund IX GP Ltd., a Cayman Islands exempted company ("Fund IX GP Ltd."), in its capacity as the general partner of Fund IX GP; (x) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as the managing member of Fund GP and as the sole shareholder of each of VOF GP Ltd. and Fund IX GP Ltd.; (xi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (xii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (xiii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings") in its capacity as the managing member of Holdings I; F3: (xiv) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of each of VOF GP Ltd. and Fund IX GP Ltd. and as the manager of Forrest; (xv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as the general partner of Management; (xvi) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the managing member of Holdings and as the sole shareholder of Holdings, Inc.; and (xvii) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP"), in its capacity as the duly elected manager of OCG. F5: Fund IX Delaware directly holds 2,669,003 shares of Common Stock and 64,995 Warrants and has the sole power to vote and dispose of such securities. Fund GP, in its capacity as the general partner of Fund IX Delaware, has the ability to direct the management of Fund IX Delaware's businesses, including the power to vote and dispose of securities held by Fund IX Delaware; therefore, Fund GP may be deemed to beneficially own the securities of the Issuer held by Fund IX Delaware. IX Parallel 2 directly holds 24,488 shares of Common Stock and 594 Warrants and has the sole power to vote and dispose of such securities. F6: Fund IX GP, in its capacity as the general partner of IX Parallel 2, has the ability to direct the management of IX Parallel 2's business, including the power to vote and dispose of securities held by IX Parallel 2; therefore, Fund IX GP may be deemed to beneficially own the securities of the Issuer held by IX Parallel 2. Fund IX GP Ltd., in its capacity as the general partner of Fund IX GP, has the ability to direct the management of Fund IX GP's business, including the power to direct the decisions of Fund IX GP regarding the vote and disposition of securities held by Fund IX GP; therefore, VOF GP Ltd. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by IX Parallel 2. VOF Holdings directly holds 564,923 shares of Common Stock and 22,113 Warrants and has the sole power to vote and dispose of such securities. F7: VOF GP, in its capacity as the general partner of VOF Holdings, has the ability to direct the management of VOF Holdings' business, including the power to vote and dispose of securities held by VOF Holdings; therefore, VOF GP may be deemed to beneficially own the securities of the Issuer held by VOF Holdings. VOF GP Ltd., in its capacity as the general partner of VOF GP, has the ability to direct the management of VOF GP's business, including the power to direct the decisions of VOF GP regarding the vote and disposition of securities held by VOF Holdings; therefore, VOF GP Ltd. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by VOF Holdings. F8: GP I, in its capacity as the sole shareholder of each of Fund IX GP Ltd. and VOF GP Ltd., has the ability to appoint and remove the directors and direct the management of the business of each of Fund IX GP Ltd. and VOF GP Ltd. As such, GP I has the power to direct the decisions of each of Fund IX GP Ltd. and VOF GP Ltd. regarding the vote and disposition of securities held by each of IX Parallel 2 and VOF Holdings. Additionally, GP I, in its capacity as the managing member of Fund GP, has the ability to direct the management of Fund GP's business, including the power to direct the decisions of Fund GP regarding the vote and disposition of securities held by Fund IX Delaware. Therefore, GP I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. F9: Capital I, in its capacity as the general partner of GP I, has the ability to direct the management of GP I's business, including the power to direct the decisions of GP I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Capital I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. Holdings I, in its capacity as the general partner of Capital I, has the ability to direct the management of Capital I's business, including the power to direct the decisions of Capital I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Holdings I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. F10: Holdings, in its capacity as the managing member of Holdings I, has the ability to direct the management of Holding I's business, including the power to direct the decisions of Holdings I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Holdings may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. Management, in its capacity as the sole director of each of Fund IX GP Ltd. and VOF GP Ltd., has the ability to direct the management of IX Parallel 2 and VOF Holdings, including the power to direct the decisions of IX Parallel 2 and VOF Holdings regarding the vote and disposition of securities held by each of IX Parallel 2 and VOF Holdings. F11: Additionally, Management, in its capacity as the manager of Forrest, has the ability to direct the management of Forrest's business, including the power to direct the decisions of Forrest regarding the vote and disposition of securities held by Forrest. Therefore, Management may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Forrest. Holdings, Inc., in its capacity as the general partner of Management, has the ability to direct the management of Management's business, including the power to vote and dispose of securities held by each of IX Parallel 2, VOF Holdings and Forrest; therefore, Holdings, Inc. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Forrest. F12: OCG, in its capacity as the sole shareholder of Holdings, Inc., has the ability to appoint and remove directors of Holdings, Inc. and, as such, may indirectly control the decisions of Holdings, Inc. regarding the vote and disposition of securities held by IX Parallel 2, VOF Holdings and Forrest. Additionally, OCG, in its capacity as the managing member of Holdings, has the ability to direct the management of Holdings' business, including the power to direct the decisions of Holdings regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. F13: Therefore, OCG may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware. OCGH GP, in its capacity as the duly appointed manager of OCG, has the ability appoint and remove directors of OCG and, as such, may indirectly control the decisions of OCG regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware; therefore, OCGH GP may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware. F14: Each Reporting Person disclaims beneficial ownership of all equity securities and derivative securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 3 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities or derivative securities covered by this Form 3. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 3 is being filed by the following persons (collectively, the "Reporting Persons" and each a "Reporting Person"):(i) Oaktree-Forrest Multi-Strategy, LLC, a Delaware limited liability company ("Forrest"); (ii) Oaktree Opportunities Fund IX Delaware, L.P., a Delaware limited partnership ("Fund IX Delaware"); (iii) Oaktree Fund GP, LLC, a Delaware limited liability company ("Fund GP"), in its capacity as the general partner of Fund IX Delaware; (iv) Oaktree Value Opportunities Fund Holdings, L.P., a Delaware limited partnership ("VOF Holdings"); (v) Oaktree Value Opportunities Fund GP, L.P., a Cayman Islands limited partnership ("VOF GP"), in its capacity as the general partner of VOF Holdings; (vi) Oaktree Value Opportunities Fund GP Ltd., a Cayman Islands exempted company ("VOF GP Ltd."), in its capacity as the general partner of VOF GP; (vii) Oaktree Opportunities Fund IX (Parallel 2), L.P., a Cayman Islands limited partnership ("IX Parallel 2");
F2: (viii) Oaktree Opportunities Fund IX GP, L.P., a Cayman Islands limited partnership ("Fund IX GP"), in its capacity as the general partner of IX Parallel 2; (ix) Oaktree Opportunities Fund IX GP Ltd., a Cayman Islands exempted company ("Fund IX GP Ltd."), in its capacity as the general partner of Fund IX GP; (x) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as the managing member of Fund GP and as the sole shareholder of each of VOF GP Ltd. and Fund IX GP Ltd.; (xi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (xii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (xiii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings") in its capacity as the managing member of Holdings I;
F3: (xiv) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of each of VOF GP Ltd. and Fund IX GP Ltd. and as the manager of Forrest; (xv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as the general partner of Management; (xvi) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the managing member of Holdings and as the sole shareholder of Holdings, Inc.; and (xvii) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP"), in its capacity as the duly elected manager of OCG.
F4: Forrest directly holds 28,860 shares of Common Stock and has the sole power to vote and dispose of such securities.
F5: Fund IX Delaware directly holds 2,669,003 shares of Common Stock and 64,995 Warrants and has the sole power to vote and dispose of such securities. Fund GP, in its capacity as the general partner of Fund IX Delaware, has the ability to direct the management of Fund IX Delaware's businesses, including the power to vote and dispose of securities held by Fund IX Delaware; therefore, Fund GP may be deemed to beneficially own the securities of the Issuer held by Fund IX Delaware. IX Parallel 2 directly holds 24,488 shares of Common Stock and 594 Warrants and has the sole power to vote and dispose of such securities.
F6: Fund IX GP, in its capacity as the general partner of IX Parallel 2, has the ability to direct the management of IX Parallel 2's business, including the power to vote and dispose of securities held by IX Parallel 2; therefore, Fund IX GP may be deemed to beneficially own the securities of the Issuer held by IX Parallel 2. Fund IX GP Ltd., in its capacity as the general partner of Fund IX GP, has the ability to direct the management of Fund IX GP's business, including the power to direct the decisions of Fund IX GP regarding the vote and disposition of securities held by Fund IX GP; therefore, VOF GP Ltd. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by IX Parallel 2. VOF Holdings directly holds 564,923 shares of Common Stock and 22,113 Warrants and has the sole power to vote and dispose of such securities.
F7: VOF GP, in its capacity as the general partner of VOF Holdings, has the ability to direct the management of VOF Holdings' business, including the power to vote and dispose of securities held by VOF Holdings; therefore, VOF GP may be deemed to beneficially own the securities of the Issuer held by VOF Holdings. VOF GP Ltd., in its capacity as the general partner of VOF GP, has the ability to direct the management of VOF GP's business, including the power to direct the decisions of VOF GP regarding the vote and disposition of securities held by VOF Holdings; therefore, VOF GP Ltd. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by VOF Holdings.
F8: GP I, in its capacity as the sole shareholder of each of Fund IX GP Ltd. and VOF GP Ltd., has the ability to appoint and remove the directors and direct the management of the business of each of Fund IX GP Ltd. and VOF GP Ltd. As such, GP I has the power to direct the decisions of each of Fund IX GP Ltd. and VOF GP Ltd. regarding the vote and disposition of securities held by each of IX Parallel 2 and VOF Holdings. Additionally, GP I, in its capacity as the managing member of Fund GP, has the ability to direct the management of Fund GP's business, including the power to direct the decisions of Fund GP regarding the vote and disposition of securities held by Fund IX Delaware. Therefore, GP I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware.
F9: Capital I, in its capacity as the general partner of GP I, has the ability to direct the management of GP I's business, including the power to direct the decisions of GP I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Capital I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. Holdings I, in its capacity as the general partner of Capital I, has the ability to direct the management of Capital I's business, including the power to direct the decisions of Capital I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Holdings I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware.
F10: Holdings, in its capacity as the managing member of Holdings I, has the ability to direct the management of Holding I's business, including the power to direct the decisions of Holdings I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Holdings may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. Management, in its capacity as the sole director of each of Fund IX GP Ltd. and VOF GP Ltd., has the ability to direct the management of IX Parallel 2 and VOF Holdings, including the power to direct the decisions of IX Parallel 2 and VOF Holdings regarding the vote and disposition of securities held by each of IX Parallel 2 and VOF Holdings.
F11: Additionally, Management, in its capacity as the manager of Forrest, has the ability to direct the management of Forrest's business, including the power to direct the decisions of Forrest regarding the vote and disposition of securities held by Forrest. Therefore, Management may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Forrest. Holdings, Inc., in its capacity as the general partner of Management, has the ability to direct the management of Management's business, including the power to vote and dispose of securities held by each of IX Parallel 2, VOF Holdings and Forrest; therefore, Holdings, Inc. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Forrest.
F12: OCG, in its capacity as the sole shareholder of Holdings, Inc., has the ability to appoint and remove directors of Holdings, Inc. and, as such, may indirectly control the decisions of Holdings, Inc. regarding the vote and disposition of securities held by IX Parallel 2, VOF Holdings and Forrest. Additionally, OCG, in its capacity as the managing member of Holdings, has the ability to direct the management of Holdings' business, including the power to direct the decisions of Holdings regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware.
F13: Therefore, OCG may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware. OCGH GP, in its capacity as the duly appointed manager of OCG, has the ability appoint and remove directors of OCG and, as such, may indirectly control the decisions of OCG regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware; therefore, OCGH GP may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware.
F14: Each Reporting Person disclaims beneficial ownership of all equity securities and derivative securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 3 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities or derivative securities covered by this Form 3.
Hims & Hers Health, Inc.
Report date July 17, 2019 · Filed July 18, 2019
Jointly reported with Oaktree Acquisition Holdings, L.P., Oaktree Acquisition Holdings GP Ltd., OAKTREE CAPITAL MANAGEMENT LP, Brookfield Oaktree Holdings, LLC, Oaktree Capital Group Holdings GP, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B ordinary sharesSEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2019-07-17 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F3: As described in the issuer's registration statement on Form S-1 (File No. 333-232444) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001 will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date. F1: This Form 3 is being filed by Oaktree Acquisition Holdings, L.P. ("Holdings"). The general partner of Holdings is Oaktree Acquisition Holdings GP Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Holdings, Inc. ("Holdings Inc."). The sole shareholder of Holdings Inc. is Oaktree Capital Group, LLC ("OCG"). The duly appointed manager of OCG is Oaktree Capital Group Holdings GP, LLC ("OCGH GP"). OCGH GP is governed by its members. F2: (continued from footnote 1) The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, none of whom exercise voting or dispositive power with respect to the Class B ordinary shares alone or are deemed to have beneficial ownership. Each reporting person under this Form 3 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 3 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 3. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 3 is being filed by Oaktree Acquisition Holdings, L.P. ("Holdings"). The general partner of Holdings is Oaktree Acquisition Holdings GP Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Holdings, Inc. ("Holdings Inc."). The sole shareholder of Holdings Inc. is Oaktree Capital Group, LLC ("OCG"). The duly appointed manager of OCG is Oaktree Capital Group Holdings GP, LLC ("OCGH GP"). OCGH GP is governed by its members.
F2: (continued from footnote 1) The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, none of whom exercise voting or dispositive power with respect to the Class B ordinary shares alone or are deemed to have beneficial ownership. Each reporting person under this Form 3 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 3 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 3.
F3: As described in the issuer's registration statement on Form S-1 (File No. 333-232444) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001 will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.
Infinera Corp
Report date May 09, 2019 · Filed May 10, 2019
Jointly reported with OAKTREE CAPITAL MANAGEMENT LP, Brookfield Oaktree Holdings, LLC, Oaktree Capital Group Holdings GP, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 2.125% Convertible Senior Notes due 2024SEC Table II · derivative / convertible security | Direct | 2,000,000 |
Reported balance
After 2019-05-09 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-05-09 · Sale · Disposed 2,500,000 · Balance 2,000,000 F1: Between January 29, 2019 and February 4, 2019, Oaktree Capital Management, L.P. ("OCM") purchased on behalf of several third party accounts for which it serves as investment adviser and affiliated investment funds an aggregate of $4,500,000 principal amount of 2.125% Convertible Senior Notes due 2024 (the "Notes") in open market transactions. These purchases by OCM were made on behalf of several third party accounts and affiliated investment funds as part of Oaktree's convertibles strategy, which has a different set of investment professionals from those who are involved in Oaktree Optical Holdings, L.P., which holds 20,975,384 shares of the issuer's common stock, par value $0.001 per share. On May 9, 2019, the Notes were sold in open market transactions at the prices reported herein. F2: The conversion rate for the Notes is 101.2812 shares of common stock per $1,000 principal amount of Notes (equivalent to an initial conversion price of approximately $9.87 per share of issuer common stock), subject to adjustment. OCM expressly disclaims beneficial ownership of these Notes to the extent that its advisory arrangement does not result in a reportable pecuniary interest in such Notes under Section 16 of the Securities Exchange Act of 1934, as amended. F3: The Notes provide for conversion at any time prior to the close of business on the business day immediately preceding June 1, 2024 only under the following circumstances: (1) during any fiscal quarter, if the last reported sale price of the common stock for at least 20 trading days during a period of 30 consecutive trading days ending on the last trading day of the immediately preceding fiscal quarter is greater than or equal to 130% of the conversion price on each applicable trading day; F4: (continued from footnote 3) (2) during the five business day period after any five consecutive trading day period (the "measurement period") in which the trading price per $1,000 principal amount of notes for each trading day of the measurement period was less than 98% of the product of the last reported sale price of the issuer's common stock and the conversion rate on each such trading day; or (3) upon the occurrence of specified corporate events. F5: This Form 4 is also being filed by (i) Oaktree Holdings, Inc. ("Holdings") in its capacity as general partner of OCM; (ii) Oaktree Capital Group, LLC ("OCG") in its capacity as the sole shareholder of Holdings; and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG (each a "Reporting Person" and, collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the Notes 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 the Notes reported herein. F6: Holdings is the general partner of OCM. OCGH GP is a limited liability company 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"). Each OCGH GP Member expressly disclaims beneficial ownership of the Notes reported herein, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Notes reported herein. |
| 2.125% Convertible Senior Notes due 2024SEC Table II · derivative / convertible security | Direct | 1,000,000 |
Reported balance
After 2019-05-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-05-09 · Sale · Disposed 1,000,000 · Balance 1,000,000 F1: Between January 29, 2019 and February 4, 2019, Oaktree Capital Management, L.P. ("OCM") purchased on behalf of several third party accounts for which it serves as investment adviser and affiliated investment funds an aggregate of $4,500,000 principal amount of 2.125% Convertible Senior Notes due 2024 (the "Notes") in open market transactions. These purchases by OCM were made on behalf of several third party accounts and affiliated investment funds as part of Oaktree's convertibles strategy, which has a different set of investment professionals from those who are involved in Oaktree Optical Holdings, L.P., which holds 20,975,384 shares of the issuer's common stock, par value $0.001 per share. On May 9, 2019, the Notes were sold in open market transactions at the prices reported herein. F2: The conversion rate for the Notes is 101.2812 shares of common stock per $1,000 principal amount of Notes (equivalent to an initial conversion price of approximately $9.87 per share of issuer common stock), subject to adjustment. OCM expressly disclaims beneficial ownership of these Notes to the extent that its advisory arrangement does not result in a reportable pecuniary interest in such Notes under Section 16 of the Securities Exchange Act of 1934, as amended. F3: The Notes provide for conversion at any time prior to the close of business on the business day immediately preceding June 1, 2024 only under the following circumstances: (1) during any fiscal quarter, if the last reported sale price of the common stock for at least 20 trading days during a period of 30 consecutive trading days ending on the last trading day of the immediately preceding fiscal quarter is greater than or equal to 130% of the conversion price on each applicable trading day; F4: (continued from footnote 3) (2) during the five business day period after any five consecutive trading day period (the "measurement period") in which the trading price per $1,000 principal amount of notes for each trading day of the measurement period was less than 98% of the product of the last reported sale price of the issuer's common stock and the conversion rate on each such trading day; or (3) upon the occurrence of specified corporate events. F5: This Form 4 is also being filed by (i) Oaktree Holdings, Inc. ("Holdings") in its capacity as general partner of OCM; (ii) Oaktree Capital Group, LLC ("OCG") in its capacity as the sole shareholder of Holdings; and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG (each a "Reporting Person" and, collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the Notes 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 the Notes reported herein. F6: Holdings is the general partner of OCM. OCGH GP is a limited liability company 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"). Each OCGH GP Member expressly disclaims beneficial ownership of the Notes reported herein, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Notes reported herein. |
| 2.125% Convertible Senior Notes due 2024SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-05-09 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-05-09 · Sale · Disposed 1,000,000 · Balance 0 F1: Between January 29, 2019 and February 4, 2019, Oaktree Capital Management, L.P. ("OCM") purchased on behalf of several third party accounts for which it serves as investment adviser and affiliated investment funds an aggregate of $4,500,000 principal amount of 2.125% Convertible Senior Notes due 2024 (the "Notes") in open market transactions. These purchases by OCM were made on behalf of several third party accounts and affiliated investment funds as part of Oaktree's convertibles strategy, which has a different set of investment professionals from those who are involved in Oaktree Optical Holdings, L.P., which holds 20,975,384 shares of the issuer's common stock, par value $0.001 per share. On May 9, 2019, the Notes were sold in open market transactions at the prices reported herein. F2: The conversion rate for the Notes is 101.2812 shares of common stock per $1,000 principal amount of Notes (equivalent to an initial conversion price of approximately $9.87 per share of issuer common stock), subject to adjustment. OCM expressly disclaims beneficial ownership of these Notes to the extent that its advisory arrangement does not result in a reportable pecuniary interest in such Notes under Section 16 of the Securities Exchange Act of 1934, as amended. F3: The Notes provide for conversion at any time prior to the close of business on the business day immediately preceding June 1, 2024 only under the following circumstances: (1) during any fiscal quarter, if the last reported sale price of the common stock for at least 20 trading days during a period of 30 consecutive trading days ending on the last trading day of the immediately preceding fiscal quarter is greater than or equal to 130% of the conversion price on each applicable trading day; F4: (continued from footnote 3) (2) during the five business day period after any five consecutive trading day period (the "measurement period") in which the trading price per $1,000 principal amount of notes for each trading day of the measurement period was less than 98% of the product of the last reported sale price of the issuer's common stock and the conversion rate on each such trading day; or (3) upon the occurrence of specified corporate events. F5: This Form 4 is also being filed by (i) Oaktree Holdings, Inc. ("Holdings") in its capacity as general partner of OCM; (ii) Oaktree Capital Group, LLC ("OCG") in its capacity as the sole shareholder of Holdings; and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG (each a "Reporting Person" and, collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the Notes 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 the Notes reported herein. F6: Holdings is the general partner of OCM. OCGH GP is a limited liability company 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"). Each OCGH GP Member expressly disclaims beneficial ownership of the Notes reported herein, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Notes reported herein. |
Filing footnotes · ownership attribution and instrument terms
F1: Between January 29, 2019 and February 4, 2019, Oaktree Capital Management, L.P. ("OCM") purchased on behalf of several third party accounts for which it serves as investment adviser and affiliated investment funds an aggregate of $4,500,000 principal amount of 2.125% Convertible Senior Notes due 2024 (the "Notes") in open market transactions. These purchases by OCM were made on behalf of several third party accounts and affiliated investment funds as part of Oaktree's convertibles strategy, which has a different set of investment professionals from those who are involved in Oaktree Optical Holdings, L.P., which holds 20,975,384 shares of the issuer's common stock, par value $0.001 per share. On May 9, 2019, the Notes were sold in open market transactions at the prices reported herein.
F2: The conversion rate for the Notes is 101.2812 shares of common stock per $1,000 principal amount of Notes (equivalent to an initial conversion price of approximately $9.87 per share of issuer common stock), subject to adjustment. OCM expressly disclaims beneficial ownership of these Notes to the extent that its advisory arrangement does not result in a reportable pecuniary interest in such Notes under Section 16 of the Securities Exchange Act of 1934, as amended.
F3: The Notes provide for conversion at any time prior to the close of business on the business day immediately preceding June 1, 2024 only under the following circumstances: (1) during any fiscal quarter, if the last reported sale price of the common stock for at least 20 trading days during a period of 30 consecutive trading days ending on the last trading day of the immediately preceding fiscal quarter is greater than or equal to 130% of the conversion price on each applicable trading day;
F4: (continued from footnote 3) (2) during the five business day period after any five consecutive trading day period (the "measurement period") in which the trading price per $1,000 principal amount of notes for each trading day of the measurement period was less than 98% of the product of the last reported sale price of the issuer's common stock and the conversion rate on each such trading day; or (3) upon the occurrence of specified corporate events.
F5: This Form 4 is also being filed by (i) Oaktree Holdings, Inc. ("Holdings") in its capacity as general partner of OCM; (ii) Oaktree Capital Group, LLC ("OCG") in its capacity as the sole shareholder of Holdings; and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG (each a "Reporting Person" and, collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the Notes 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 the Notes reported herein.
F6: Holdings is the general partner of OCM. OCGH GP is a limited liability company 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"). Each OCGH GP Member expressly disclaims beneficial ownership of the Notes reported herein, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Notes reported herein.
Infrastructure & Energy Alternatives, Inc.
Report date March 26, 2020 · Filed April 02, 2020
Jointly reported with Brookfield Oaktree Holdings, LLC, Oaktree Capital Group Holdings GP, LLC, OAKTREE CAPITAL MANAGEMENT LP, OCM FIE, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnotes | 81,433 |
Reported balance
After 2020-03-26 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-03-26 · Grant · Acquired 34,529 · Balance 81,433 F1: Represents restricted stock units, which vest on March 26, 2021, granted to Peter Jonna, Senior Vice President of Oaktree Capital Management L.P. and director of Infrastructure and Energy Alternatives, Inc. ("IEA"). F2: Pursuant to the policies of the OCM LP, Mr. Jonna holds these securities for the benefit of OCM FIE, LLC ("FIE"). This Form 4 with respect to these securities is being filed by Oaktree Capital Group, LLC ("OCG") and (ii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the manager of OCG (iii) FIE, (iv) OCM LP, in its capacity as the managing member of FIE, and (v) Oaktree Holdings, Inc, ("Holdings") in its capacity as the general partner of OCM LP. OCG is the sole shareholder of Holdings. F3: Information with respect to the Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Concurrently with the filing of this Form 4, Mr. Jonna is filing a Form 4 with respect to the securities reported herein. F4: 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 (each, an "OCGH GP Member"). Each OCGH GP Member expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of his respective pecuniary interests 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. F5: The reporting person is filing this Form 4 pursuant to Rule 16a-3(j) under the Securities and Exchange Act of 1934, as amended. F6: As a result of Mr. Jonna's position as Senior Vice President of OCM LP and director of IEA, the Reporting Person may be deemed director by deputization. |
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectBy Infrastructure and Energy Alt., Inc. | 10,313,500 |
Reported balance
Holding disclosure · report date 2020-03-26 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 10,313,500 F7: Represents shares held of record by Infrastructure & Energy Alternatives, LLC ("IEA LLC"). Oaktree Power Opportunities Fund III Delaware, L.P. ("Fund III") is the controlling equity holder of IEA LLC. The general partner of Fund III is Oaktree Fund GP, LLC. The managing member of Oaktree Fund GP, LLC is Oaktree Fund GP I, L.P. The general partner of Oaktree Fund GP I, L.P. is Oaktree Capital I, L.P. The general partner of Oaktree Capital I, L.P. is OCM Holdings I, LLC. The managing member of OCM Holdings I, LLC is Oaktree Holdings, LLC. The managing member of Oaktree Holdings, LLC is OCG. The duly appointed manager of Oaktree Capital Group, LLC is OCGH GP. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units, which vest on March 26, 2021, granted to Peter Jonna, Senior Vice President of Oaktree Capital Management L.P. and director of Infrastructure and Energy Alternatives, Inc. ("IEA").
F2: Pursuant to the policies of the OCM LP, Mr. Jonna holds these securities for the benefit of OCM FIE, LLC ("FIE"). This Form 4 with respect to these securities is being filed by Oaktree Capital Group, LLC ("OCG") and (ii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the manager of OCG (iii) FIE, (iv) OCM LP, in its capacity as the managing member of FIE, and (v) Oaktree Holdings, Inc, ("Holdings") in its capacity as the general partner of OCM LP. OCG is the sole shareholder of Holdings.
F3: Information with respect to the Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Concurrently with the filing of this Form 4, Mr. Jonna is filing a Form 4 with respect to the securities reported herein.
F4: 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 (each, an "OCGH GP Member"). Each OCGH GP Member expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of his respective pecuniary interests 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.
F5: The reporting person is filing this Form 4 pursuant to Rule 16a-3(j) under the Securities and Exchange Act of 1934, as amended.
F6: As a result of Mr. Jonna's position as Senior Vice President of OCM LP and director of IEA, the Reporting Person may be deemed director by deputization.
F7: Represents shares held of record by Infrastructure & Energy Alternatives, LLC ("IEA LLC"). Oaktree Power Opportunities Fund III Delaware, L.P. ("Fund III") is the controlling equity holder of IEA LLC. The general partner of Fund III is Oaktree Fund GP, LLC. The managing member of Oaktree Fund GP, LLC is Oaktree Fund GP I, L.P. The general partner of Oaktree Fund GP I, L.P. is Oaktree Capital I, L.P. The general partner of Oaktree Capital I, L.P. is OCM Holdings I, LLC. The managing member of OCM Holdings I, LLC is Oaktree Holdings, LLC. The managing member of Oaktree Holdings, LLC is OCG. The duly appointed manager of Oaktree Capital Group, LLC is OCGH GP.
Oaktree Acquisition Corp. II
Report date September 21, 2020 · Filed September 22, 2020
Jointly reported with Oaktree Acquisition Holdings II, L.P., Oaktree Acquisition Holdings II GP, Ltd., OAKTREE CAPITAL MANAGEMENT LP, Brookfield Oaktree Holdings, LLC, Oaktree Capital Group Holdings GP, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Ordinary SharesSEC Table II · derivative / convertible security | Direct | 6,250,000 |
Reported balance
After 2020-09-21 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-09-21 · Other · Disposed 218,750 · Balance 6,250,000 F1: On September 21, 2020 Oaktree Acquisition Holdings II, L.P. forfeited at no cost 218,750 shares of Class B ordinary shares of the Issuer in connection with the election by the underwriters of the Issuer's initial public offering of units to exercise an option granted to them to cover over-allotments in part and not in full. F2: As described in the issuer's registration statement on Form S-1 (File No. 333-248508) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001 will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date. F3: This Form 4 is being filed by Oaktree Acquisition Holdings II, L.P. ("Holdings"). The general partner of Holdings is Oaktree Acquisition Holdings II GP Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Holdings, Inc. ("Holdings Inc."). The sole shareholder of Holdings Inc. is Oaktree Capital Group, LLC ("OCG"). The duly appointed manager of OCG is Oaktree Capital Group Holdings GP, LLC ("OCGH GP"). OCGH GP is governed by its members. F4: (Continued from footnote 3) The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, none of whom exercise voting or dispositive power with respect to the Class B ordinary shares alone or are deemed to have beneficial ownership. Each reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their 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 Class B ordinary share covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: On September 21, 2020 Oaktree Acquisition Holdings II, L.P. forfeited at no cost 218,750 shares of Class B ordinary shares of the Issuer in connection with the election by the underwriters of the Issuer's initial public offering of units to exercise an option granted to them to cover over-allotments in part and not in full.
F2: As described in the issuer's registration statement on Form S-1 (File No. 333-248508) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001 will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.
F3: This Form 4 is being filed by Oaktree Acquisition Holdings II, L.P. ("Holdings"). The general partner of Holdings is Oaktree Acquisition Holdings II GP Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Holdings, Inc. ("Holdings Inc."). The sole shareholder of Holdings Inc. is Oaktree Capital Group, LLC ("OCG"). The duly appointed manager of OCG is Oaktree Capital Group Holdings GP, LLC ("OCGH GP"). OCGH GP is governed by its members.
F4: (Continued from footnote 3) The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, none of whom exercise voting or dispositive power with respect to the Class B ordinary shares alone or are deemed to have beneficial ownership. Each reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their 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 Class B ordinary share covered by this Form 4.
Oaktree Specialty Lending Corp
Report date December 13, 2017 · Filed December 16, 2017
Jointly reported with OAKTREE CAPITAL MANAGEMENT LP, Brookfield Oaktree Holdings, LLC, Oaktree Capital Group Holdings GP, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Oaktree Capital I, L.P. | 276,000 |
Last balance in matching sequence
After 2017-12-14 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2017-12-13 · Purchase · Acquired 138,000 · Balance 138,000 F1: The shares reported as purchased on December 13, 2017 were purchased in multiple transactions at actual purchase prices ranging from $4.775 to $4.83 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake 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. F3: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I") purchased shares of the common stock (the "Common Stock") of Oaktree Specialty Lending Corporation ("Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG. F4: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings, L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation, the Tannenbaum Family 2012 Trust and 777 West Putnam Avenue LLC (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information. Row 2 · 2017-12-14 · Purchase · Acquired 138,000 · Balance 276,000 F2: The shares reported as purchased on December 14, 2017 were purchased in multiple transactions at actual purchase prices ranging from $4.68 to $4.84 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake 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. F3: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I") purchased shares of the common stock (the "Common Stock") of Oaktree Specialty Lending Corporation ("Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG. F4: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings, L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation, the Tannenbaum Family 2012 Trust and 777 West Putnam Avenue LLC (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares reported as purchased on December 13, 2017 were purchased in multiple transactions at actual purchase prices ranging from $4.775 to $4.83 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake 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: The shares reported as purchased on December 14, 2017 were purchased in multiple transactions at actual purchase prices ranging from $4.68 to $4.84 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake 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.
F3: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I") purchased shares of the common stock (the "Common Stock") of Oaktree Specialty Lending Corporation ("Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG.
F4: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings, L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation, the Tannenbaum Family 2012 Trust and 777 West Putnam Avenue LLC (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information.
Oaktree Strategic Income Corp
Report date March 08, 2018 · Filed March 12, 2018
Jointly reported with OAKTREE CAPITAL MANAGEMENT LP, Brookfield Oaktree Holdings, LLC, Oaktree Capital Group Holdings GP, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Oaktree Capital I, L.P. | 392,000 |
Reported balance
After 2018-03-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-03-08 · Purchase · Acquired 26,900 · Balance 392,000 F1: The shares reported as purchased on March 8, 2018 were purchased in multiple transactions at actual purchase prices ranging from $7.80 to $7.98 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake 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: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), purchased the shares of the common stock (the "Common Stock") of Oaktree Strategic Income Corporation (the "Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG. F3: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation and the Tannenbaum Family 2012 Trust (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares reported as purchased on March 8, 2018 were purchased in multiple transactions at actual purchase prices ranging from $7.80 to $7.98 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake 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: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), purchased the shares of the common stock (the "Common Stock") of Oaktree Strategic Income Corporation (the "Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG.
F3: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation and the Tannenbaum Family 2012 Trust (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information.
SunOpta Inc.
Report date December 15, 2017 · Filed December 18, 2017
Jointly reported with Oaktree Huntington Investment Fund II, L.P., Oaktree Huntington Investment Fund II GP, L.P., Oaktree Fund GP, LLC, OAKTREE FUND GP I, L.P., Oaktree Capital I, L.P., Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, OAKTREE CAPITAL MANAGEMENT LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,358,565 |
Reported balance
After 2017-05-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-05-12 · Purchase · Acquired 644,540 · Balance 1,358,565 F1: This Form 4 is also being filed by: (i) Oaktree Huntington Investment Fund II GP, L.P., a Delaware limited partnership ("OHIF II GP"), in its capacity as general partner of Oaktree Huntington Investment Fund II, L.P. ("OHIF II"); (ii) Oaktree Fund GP, LLC, a Delaware limited liability company ("GP LLC"), in its capacity as general partner of OHIF II GP; (iii) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as managing member of GP LLC; (iv) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I; (v) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as general partner of Capital I; (vi) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), in its capacity as managing member of Holdings I; (continued in footnote 2); F2: (Continued from footnote 1) (vii) Oaktree Capital Management, L.P., a Delaware limited partnership and a registered investment adviser under the Investment Advisers Act of 1940, as amended ("Management"), in its capacity as investment manager of OHIF II; (viii) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as general partner of Management; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings, Inc. and managing member of Holdings; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP" and together with OHIF II, OHIF II GP, GP LLC, GP I, Capital I, Holdings I, Holdings, Management, Holdings, Inc. and OCG, collectively, the "Reporting Persons"), in its capacity as the duly elected manager of OCG. F3: Each Reporting Person disclaims beneficial ownership of the Common Stock 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 the Common Stock covered by this Form 4. F4: 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 reported herein. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock reported herein, 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 the Common Stock covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is also being filed by: (i) Oaktree Huntington Investment Fund II GP, L.P., a Delaware limited partnership ("OHIF II GP"), in its capacity as general partner of Oaktree Huntington Investment Fund II, L.P. ("OHIF II"); (ii) Oaktree Fund GP, LLC, a Delaware limited liability company ("GP LLC"), in its capacity as general partner of OHIF II GP; (iii) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as managing member of GP LLC; (iv) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I; (v) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as general partner of Capital I; (vi) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), in its capacity as managing member of Holdings I; (continued in footnote 2);
F2: (Continued from footnote 1) (vii) Oaktree Capital Management, L.P., a Delaware limited partnership and a registered investment adviser under the Investment Advisers Act of 1940, as amended ("Management"), in its capacity as investment manager of OHIF II; (viii) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as general partner of Management; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings, Inc. and managing member of Holdings; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP" and together with OHIF II, OHIF II GP, GP LLC, GP I, Capital I, Holdings I, Holdings, Management, Holdings, Inc. and OCG, collectively, the "Reporting Persons"), in its capacity as the duly elected manager of OCG.
F3: Each Reporting Person disclaims beneficial ownership of the Common Stock 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 the Common Stock covered by this Form 4.
F4: 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 reported herein. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock reported herein, 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 the Common Stock covered by this Form 4.
Past disclosures · reporting ended (6)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Euronav MI II Inc.
Report date June 12, 2018 · Filed June 13, 2018
Jointly reported with Oaktree Capital Group Holdings GP, LLC, Brookfield Oaktree Holdings, LLC, OAKTREE CAPITAL MANAGEMENT LP
Section 16 reporting ended · disclosed 2018-06-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-06-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-06-12 · Disposition to issuer · Disposed 11,923,244 · Balance 0 F1: Disposed of pursuant to a merger agreement among GNRT, Euronav NV ("Euronav") and Euronav MI Inc., a direct wholly owned subsidiary of Euronav, whereby each GNRT Common Share will be exchanged for 0.7272 ordinary shares of Euronav, such ordinary shares of Euronav having a market value of $9.20 per share on the effective date of the merger. GNRT Common Stock entitled to a fraction of a Euronav ordinary share will be entitled to receive an amount of cash (without interest, rounded to the nearest whole cent) determined by a formula outlined in the merger agreement. F2: OCM Marine Holdings TP, L.P. ("OCM Marine") directly owns the GNRT Common Stock. This Form 4 is also being filed by: (i) OCM Marine GP CTB, Ltd. ("OCM Marine GP") in its capacity as the general partner of OCM Marine; (ii) Oaktree Principal Fund V, L.P. ("PFV") in its capacity as the majority shareholder of OCM Marine GP; (iii) Oaktree Principal Fund V GP, L.P. ("PFV GP") in its capacity as the general partner of PFV; (iv) Oaktree Principal Fund V GP Ltd. ("PFV GP GP") in its capacity as the general partner of PFV GP; (v) Oaktree Fund GP I, L.P. ("GP I") in its capacity as the sole shareholder of PFV GP GP; (vi) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (vii) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F3: (cont'd from footnote 2) (ix) Oaktree Capital Management, L.P. ("OCM LP") in its capacity as the sole director of OCM Marine, GP; (x) Oaktree Holdings, Inc. ("Holdings, Inc.") in its capacity as the general partner of OCM LP; (xi) Oaktree Capital Group, LLC ("OCG") in its capacity as the sole shareholder of Holdings, Inc. and the managing member of Oaktree Holdings, LLC ("Holdings LLC"); and (xii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG (each a "Reporting Person" and, collectively, the "Reporting Persons"). F4: Each Reporting Person disclaims beneficial ownership of all Common Stock 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 Common Stock covered by this Form 4. F5: OCGH GP is a limited liability company 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 held directly by OCM Marine. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock held directly by OCM Marine, except to the extent of his respective pecuniary interests 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 Common Stock covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to a merger agreement among GNRT, Euronav NV ("Euronav") and Euronav MI Inc., a direct wholly owned subsidiary of Euronav, whereby each GNRT Common Share will be exchanged for 0.7272 ordinary shares of Euronav, such ordinary shares of Euronav having a market value of $9.20 per share on the effective date of the merger. GNRT Common Stock entitled to a fraction of a Euronav ordinary share will be entitled to receive an amount of cash (without interest, rounded to the nearest whole cent) determined by a formula outlined in the merger agreement.
F2: OCM Marine Holdings TP, L.P. ("OCM Marine") directly owns the GNRT Common Stock. This Form 4 is also being filed by: (i) OCM Marine GP CTB, Ltd. ("OCM Marine GP") in its capacity as the general partner of OCM Marine; (ii) Oaktree Principal Fund V, L.P. ("PFV") in its capacity as the majority shareholder of OCM Marine GP; (iii) Oaktree Principal Fund V GP, L.P. ("PFV GP") in its capacity as the general partner of PFV; (iv) Oaktree Principal Fund V GP Ltd. ("PFV GP GP") in its capacity as the general partner of PFV GP; (v) Oaktree Fund GP I, L.P. ("GP I") in its capacity as the sole shareholder of PFV GP GP; (vi) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (vii) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I;
F3: (cont'd from footnote 2) (ix) Oaktree Capital Management, L.P. ("OCM LP") in its capacity as the sole director of OCM Marine, GP; (x) Oaktree Holdings, Inc. ("Holdings, Inc.") in its capacity as the general partner of OCM LP; (xi) Oaktree Capital Group, LLC ("OCG") in its capacity as the sole shareholder of Holdings, Inc. and the managing member of Oaktree Holdings, LLC ("Holdings LLC"); and (xii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG (each a "Reporting Person" and, collectively, the "Reporting Persons").
F4: Each Reporting Person disclaims beneficial ownership of all Common Stock 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 Common Stock covered by this Form 4.
F5: OCGH GP is a limited liability company 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 held directly by OCM Marine. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock held directly by OCM Marine, except to the extent of his respective pecuniary interests 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 Common Stock covered by this Form 4.
FIRST BANCORP /PR/
Report date August 07, 2017 · Filed August 09, 2017
Jointly reported with Oaktree Principal Fund V (Delaware), L.P., Oaktree Fund AIF Series, L.P., Oaktree Fund GP AIF, LLC, Oaktree Fund GP III, L.P., Oaktree AIF Investments, L.P., Oaktree AIF Investment GP, LLC, OAKTREE CAPITAL MANAGEMENT LP, Oaktree FF Investment Fund AIF (Delaware), L.P.
Section 16 reporting ended · disclosed 2017-08-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.10 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 10,051,733 |
Reported balance
After 2017-08-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-08-07 · Sale · Disposed 10,000,000 · Balance 10,051,733 F1: On August 7, 2017, Oaktree Principal Fund V (Delaware), L.P. (the "PF V Fund") sold 8,273,000 shares of Common Stock of the Issuer and Oaktree FF Investment Fund AIF (Delaware), L.P. (the "AIF Fund") sold 1,727,000 shares of Common Stock of the Issuer pursuant to the Underwriting Agreement, dated as of August 2, 2017, among Goldman Sachs & Co. LLC, the Issuer and the selling stockholders named therein, including the PF V Fund and the AIF Fund (the "Sale"). F2: After giving effect to the Sale, the PF V Fund holds 8,267,689 shares of Common Stock of the Issuer and the AIF Fund holds 1,725,892 shares of Common Stock of the Issuer. OCM FIE, LLC ("FIE") also holds 58,152 shares of Common Stock and restricted stock. F3: This Form 4 is being filed by (i) the PF V Fund, (ii) the AIF Fund, (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacities as manager of Oaktree Capital Group, LLC ("OCG") and general partner of Oaktree Capital Group Holdings, L.P. ("OCGH LP"), (iv) OCG, in its capacities as managing member of Oaktree Holdings, LLC ("Oaktree Holdings") and sole stockholder of Oaktree Holdings, Inc. ("Holdings"), (v) Oaktree Holdings, in its capacity as managing member of OCM Holdings I, LLC ("Oaktree Holdings I"), (vi) Oaktree Holdings I, in its capacity as general partner of Oaktree Capital I, L.P. ("Oaktree Capital I"), (vii) Oaktree Capital I, in its capacity as general partner of Oaktree Fund GP I, L.P. ("Oaktree Fund GP I"), (viii) Oaktree Fund GP I, in its capacity as managing member of Oaktree Fund GP, LLC ("Oaktree Fund GP"), (ix) Oaktree Fund GP, in its capacity as general partner of the PF V Fund, F4: (Continued from Footnote 3) (x) OCGH LP in its capacity as controlling shareholder of Oaktree AIF Holdings, Inc. ("Oaktree AIF Holdings"), (xi) Oaktree AIF Holdings, in its capacity as general partner of Oaktree AIF Investments, L.P. ("Oaktree AIF Investments"), (xii) Oaktree AIF Investments, in its capacity as general partner of Oaktree Fund GP III, L.P. ("Oaktree GP III"), (xiii) Oaktree GP III, in its capacity as the managing member of Oaktree Fund GP AIF, LLC ("Oaktree GP AIF"), (xiv) Oaktree GP AIF, in its capacity as general partner of Oaktree Fund AIF Series, L.P. - Series I ("Oaktree AIF" and, collectively with the PF Fund, the AIF Fund, OCGH GP, OCGH LP, OCG, Oaktree Holdings, Oaktree Holdings I, Oaktree Capital I, Oaktree Fund GP I, Oaktree Fund GP, Oaktree AIF Holdings, Oaktree AIF Investments, Oaktree GP III, Oaktree GP AIF, Oaktree AIF, FIE and Holdings, the "Reporting Persons" and each, a "Reporting Person"), F5: (Continued from Footnote 4) (xv) Oaktree AIF, in its capacity as general partner of the AIF Fund, (xvi) FIE, (xvii) Oaktree Capital Management, L.P. ("OCM"), in its capacity as the managing member of FIE, and (xviii) Holdings, in its capacity as the general partner of OCM. F6: OCGH GP may be deemed to have a beneficial ownership interest in the 10,051,733 shares of Common Stock that are held and collectively owned by the PF V Fund, the AIF Fund and FIE. Each of OCG, Oaktree Holdings, Oaktree Holdings I, Oaktree Capital I, Oaktree Fund GP I and Oaktree Fund GP may be deemed to have a beneficial ownership interest in the 8,325,841 shares of Common Stock that are held and collectively owned by the PF V Fund and FIE. Each of OCG, Holdings and OCM may be deemed to have a beneficial ownership interest in the 58,152 shares of Common Stock that are held by FIE. Each of OCGH LP, Oaktree AIF Holdings, Oaktree AIF Investments, Oaktree GP III, Oaktree GP AIF and Oaktree AIF may be deemed to have a beneficial ownership interest in the 1,725,892 shares of Common Stock that are held by the AIF Fund. F7: (Continued from Footnote 6) Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person disclaims beneficial ownership of all shares reported herein except to the extent of their 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 shares covered by this Form 4. F8: OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 7, 2017, Oaktree Principal Fund V (Delaware), L.P. (the "PF V Fund") sold 8,273,000 shares of Common Stock of the Issuer and Oaktree FF Investment Fund AIF (Delaware), L.P. (the "AIF Fund") sold 1,727,000 shares of Common Stock of the Issuer pursuant to the Underwriting Agreement, dated as of August 2, 2017, among Goldman Sachs & Co. LLC, the Issuer and the selling stockholders named therein, including the PF V Fund and the AIF Fund (the "Sale").
F2: After giving effect to the Sale, the PF V Fund holds 8,267,689 shares of Common Stock of the Issuer and the AIF Fund holds 1,725,892 shares of Common Stock of the Issuer. OCM FIE, LLC ("FIE") also holds 58,152 shares of Common Stock and restricted stock.
F3: This Form 4 is being filed by (i) the PF V Fund, (ii) the AIF Fund, (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacities as manager of Oaktree Capital Group, LLC ("OCG") and general partner of Oaktree Capital Group Holdings, L.P. ("OCGH LP"), (iv) OCG, in its capacities as managing member of Oaktree Holdings, LLC ("Oaktree Holdings") and sole stockholder of Oaktree Holdings, Inc. ("Holdings"), (v) Oaktree Holdings, in its capacity as managing member of OCM Holdings I, LLC ("Oaktree Holdings I"), (vi) Oaktree Holdings I, in its capacity as general partner of Oaktree Capital I, L.P. ("Oaktree Capital I"), (vii) Oaktree Capital I, in its capacity as general partner of Oaktree Fund GP I, L.P. ("Oaktree Fund GP I"), (viii) Oaktree Fund GP I, in its capacity as managing member of Oaktree Fund GP, LLC ("Oaktree Fund GP"), (ix) Oaktree Fund GP, in its capacity as general partner of the PF V Fund,
F4: (Continued from Footnote 3) (x) OCGH LP in its capacity as controlling shareholder of Oaktree AIF Holdings, Inc. ("Oaktree AIF Holdings"), (xi) Oaktree AIF Holdings, in its capacity as general partner of Oaktree AIF Investments, L.P. ("Oaktree AIF Investments"), (xii) Oaktree AIF Investments, in its capacity as general partner of Oaktree Fund GP III, L.P. ("Oaktree GP III"), (xiii) Oaktree GP III, in its capacity as the managing member of Oaktree Fund GP AIF, LLC ("Oaktree GP AIF"), (xiv) Oaktree GP AIF, in its capacity as general partner of Oaktree Fund AIF Series, L.P. - Series I ("Oaktree AIF" and, collectively with the PF Fund, the AIF Fund, OCGH GP, OCGH LP, OCG, Oaktree Holdings, Oaktree Holdings I, Oaktree Capital I, Oaktree Fund GP I, Oaktree Fund GP, Oaktree AIF Holdings, Oaktree AIF Investments, Oaktree GP III, Oaktree GP AIF, Oaktree AIF, FIE and Holdings, the "Reporting Persons" and each, a "Reporting Person"),
F5: (Continued from Footnote 4) (xv) Oaktree AIF, in its capacity as general partner of the AIF Fund, (xvi) FIE, (xvii) Oaktree Capital Management, L.P. ("OCM"), in its capacity as the managing member of FIE, and (xviii) Holdings, in its capacity as the general partner of OCM.
F6: OCGH GP may be deemed to have a beneficial ownership interest in the 10,051,733 shares of Common Stock that are held and collectively owned by the PF V Fund, the AIF Fund and FIE. Each of OCG, Oaktree Holdings, Oaktree Holdings I, Oaktree Capital I, Oaktree Fund GP I and Oaktree Fund GP may be deemed to have a beneficial ownership interest in the 8,325,841 shares of Common Stock that are held and collectively owned by the PF V Fund and FIE. Each of OCG, Holdings and OCM may be deemed to have a beneficial ownership interest in the 58,152 shares of Common Stock that are held by FIE. Each of OCGH LP, Oaktree AIF Holdings, Oaktree AIF Investments, Oaktree GP III, Oaktree GP AIF and Oaktree AIF may be deemed to have a beneficial ownership interest in the 1,725,892 shares of Common Stock that are held by the AIF Fund.
F7: (Continued from Footnote 6) Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person disclaims beneficial ownership of all shares reported herein except to the extent of their 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 shares covered by this Form 4.
F8: OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4.
NGL Energy Partners LP
Report date May 10, 2019 · Filed May 14, 2019
Jointly reported with OAKTREE FUND GP II, L.P., Oaktree Capital II, L.P., Brookfield Oaktree Holdings, LLC, Oaktree Capital Group Holdings GP, LLC
Section 16 reporting ended · disclosed 2019-05-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 10.75% Class A Convertible Preferred UnitsSEC Table II · derivative / convertible security | IndirectSee footnotes | 0 |
Reported balance
After 2019-05-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-05-10 · Disposition to issuer · Disposed 12,473,191 · Balance 0 F1: The 10.75% Class A Convertible Preferred Units (the "Preferred Units") are convertible at the quotient (the "Conversion Rate"), per unit and subject to certain adjustments, of (i) $12.035 (the "Class A Preferred Unit Price") and (ii) the Class A Preferred Unit Price; provided, however, that if the volume-weighted average trading price (the "VWAP Price") for the fifteen (15) consecutive trading days ending on the trading day immediately preceding the Initial Conversion Date is less than the Class A Preferred Unit Price (such price, the "Adjusted VWAP Price"), then at all times on and after the Initial Conversion Date, the figure used in clause (ii) shall be the greater of (A) the Adjusted VWAP Price and (B) $5.00 (subject to adjustment for any splits, combinations or recapitalizations). F2: On May 10, 2019, the Issuer redeemed all outstanding Preferred Units for consideration of $13.2385 per unit. F3: The Form 4 filed by the Reporting Persons on April 9, 2019 incorrectly stated the number of securities beneficially owned following the reported redemption of Preferred Units. F4: Highstar Capital NGL Co-Invest Manager LLC ("Highstar Co-Invest") is the managing member of NGL CIV A, LLC ("NGL CIV") and as a result may be deemed to share beneficial ownership of the securities held of record by NGL CIV. Highstar Capital GP IV, L.P. ("Highstar GP IV") is one of two members of Highstar NGL Prism/IV-A Interco LLC ("Highstar Prism") and is the non-member manager of the other member. In addition, Highstar GP IV is the non-member manager of Highstar NGL Main Interco LLC ("Highstar Main") and is the managing member of NGL Prism/IV-A Blocker LLC ("NGL Blocker") and Highstar Co-Invest. As a result, Highstar GP IV may deemed to share beneficial ownership of the securities held of record by Highstar Prism, Highstar Main, NGL CIV and NGL Blocker. F5: Oaktree Capital Group Holdings GP, LLC is the duly elected manager of Oaktree Capital Group, LLC, which is the sole shareholder of Oaktree Holdings, Inc., which is the general partner of Oaktree Capital II, L.P., which is the general partner of Oaktree Fund GP II, L.P., which is the sole shareholder of Highstar Capital GP IV Holdings, which is the sole member of Highstar Capital GP IV, LLC, which is the general partner of Highstar GP IV. Oaktree Capital Group Holdings GP, LLC is managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone who, by virtue of their membership interests in Oaktree Capital Group Holdings GP, LLC, may be deemed to share voting and dispositive power with respect to the Preferred Units and Warrants held by Highstar Prism, Highstar Main, NGL CIV A, LLC and NGL Prism/IV-A Blocker LLC. Each such entity or person disclaims any such beneficial ownership of such securities. |
Filing footnotes · ownership attribution and instrument terms
F1: The 10.75% Class A Convertible Preferred Units (the "Preferred Units") are convertible at the quotient (the "Conversion Rate"), per unit and subject to certain adjustments, of (i) $12.035 (the "Class A Preferred Unit Price") and (ii) the Class A Preferred Unit Price; provided, however, that if the volume-weighted average trading price (the "VWAP Price") for the fifteen (15) consecutive trading days ending on the trading day immediately preceding the Initial Conversion Date is less than the Class A Preferred Unit Price (such price, the "Adjusted VWAP Price"), then at all times on and after the Initial Conversion Date, the figure used in clause (ii) shall be the greater of (A) the Adjusted VWAP Price and (B) $5.00 (subject to adjustment for any splits, combinations or recapitalizations).
F2: On May 10, 2019, the Issuer redeemed all outstanding Preferred Units for consideration of $13.2385 per unit.
F3: The Form 4 filed by the Reporting Persons on April 9, 2019 incorrectly stated the number of securities beneficially owned following the reported redemption of Preferred Units.
F4: Highstar Capital NGL Co-Invest Manager LLC ("Highstar Co-Invest") is the managing member of NGL CIV A, LLC ("NGL CIV") and as a result may be deemed to share beneficial ownership of the securities held of record by NGL CIV. Highstar Capital GP IV, L.P. ("Highstar GP IV") is one of two members of Highstar NGL Prism/IV-A Interco LLC ("Highstar Prism") and is the non-member manager of the other member. In addition, Highstar GP IV is the non-member manager of Highstar NGL Main Interco LLC ("Highstar Main") and is the managing member of NGL Prism/IV-A Blocker LLC ("NGL Blocker") and Highstar Co-Invest. As a result, Highstar GP IV may deemed to share beneficial ownership of the securities held of record by Highstar Prism, Highstar Main, NGL CIV and NGL Blocker.
F5: Oaktree Capital Group Holdings GP, LLC is the duly elected manager of Oaktree Capital Group, LLC, which is the sole shareholder of Oaktree Holdings, Inc., which is the general partner of Oaktree Capital II, L.P., which is the general partner of Oaktree Fund GP II, L.P., which is the sole shareholder of Highstar Capital GP IV Holdings, which is the sole member of Highstar Capital GP IV, LLC, which is the general partner of Highstar GP IV. Oaktree Capital Group Holdings GP, LLC is managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone who, by virtue of their membership interests in Oaktree Capital Group Holdings GP, LLC, may be deemed to share voting and dispositive power with respect to the Preferred Units and Warrants held by Highstar Prism, Highstar Main, NGL CIV A, LLC and NGL Prism/IV-A Blocker LLC. Each such entity or person disclaims any such beneficial ownership of such securities.
STONEMOR PARTNERS LP
Report date October 24, 2019 · Filed October 30, 2019
Jointly reported with OAKTREE CAPITAL MANAGEMENT LP, OAKTREE FUND GP I, L.P., Oaktree Capital I, L.P., Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, Brookfield Oaktree Holdings, LLC
Section 16 reporting ended · disclosed 2019-10-30. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common units representing partnership interestsSEC Table I · non-derivative | Direct | 3,950,660 |
Last balance in matching sequence
After 2019-10-28 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2019-10-24 · Sale · Disposed 470,482 · Balance 4,007,375 F4: The price reported in Column 4 is a weighted average price. These Common Units were disposed of in multiple transactions at prices ranging from $1.03 to $1.15, inclusive. The reporting persons undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Units sold at each separate price within the ranges set forth in this footnote (5). F1: By Oaktree Value Equity Holdings, L.P., a Delaware limited partnership ("VE Holdings"). This Form 4 is also being filed by (i) Oaktree Value Equity Fund GP, L.P., a Cayman Islands exempted limited partnership ("VEF GP"), in its capacity as the general partner of VE Holdings; (ii) Oaktree Value Equity Fund GP Ltd., a Cayman Islands exempted company ("VEF Ltd."), in its capacity as the general partner of VEF GP; (iii) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of VEF Ltd.; (iv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings"), in its capacity as the general partner of Management; (v) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as sole shareholder of VEF Ltd.; (vi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (continue on footnote 2) F2: (continued from footnote 1) (vii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC") in its capacity as the managing member of Holdings I; and (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), which is managed by its ten-member board of directors, in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC. F3: Each Reporting Person disclaims beneficial ownership of the Common Units 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 the Common Units covered by this Form 4. Row 2 · 2019-10-28 · Sale · Disposed 56,715 · Balance 3,950,660 F1: By Oaktree Value Equity Holdings, L.P., a Delaware limited partnership ("VE Holdings"). This Form 4 is also being filed by (i) Oaktree Value Equity Fund GP, L.P., a Cayman Islands exempted limited partnership ("VEF GP"), in its capacity as the general partner of VE Holdings; (ii) Oaktree Value Equity Fund GP Ltd., a Cayman Islands exempted company ("VEF Ltd."), in its capacity as the general partner of VEF GP; (iii) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of VEF Ltd.; (iv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings"), in its capacity as the general partner of Management; (v) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as sole shareholder of VEF Ltd.; (vi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (continue on footnote 2) F2: (continued from footnote 1) (vii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC") in its capacity as the managing member of Holdings I; and (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), which is managed by its ten-member board of directors, in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC. F3: Each Reporting Person disclaims beneficial ownership of the Common Units 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 the Common Units covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: By Oaktree Value Equity Holdings, L.P., a Delaware limited partnership ("VE Holdings"). This Form 4 is also being filed by (i) Oaktree Value Equity Fund GP, L.P., a Cayman Islands exempted limited partnership ("VEF GP"), in its capacity as the general partner of VE Holdings; (ii) Oaktree Value Equity Fund GP Ltd., a Cayman Islands exempted company ("VEF Ltd."), in its capacity as the general partner of VEF GP; (iii) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of VEF Ltd.; (iv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings"), in its capacity as the general partner of Management; (v) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as sole shareholder of VEF Ltd.; (vi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (continue on footnote 2)
F2: (continued from footnote 1) (vii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC") in its capacity as the managing member of Holdings I; and (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), which is managed by its ten-member board of directors, in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC.
F3: Each Reporting Person disclaims beneficial ownership of the Common Units 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 the Common Units covered by this Form 4.
F4: The price reported in Column 4 is a weighted average price. These Common Units were disposed of in multiple transactions at prices ranging from $1.03 to $1.15, inclusive. The reporting persons undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Units sold at each separate price within the ranges set forth in this footnote (5).
Taylor Morrison Home Corp
Report date January 17, 2018 · Filed January 20, 2018
Jointly reported with OCM TMM Holdings II, L.P., OCM TMM Holdings II GP, ULC, OCM TMM Holdings LP, Inc., Oaktree TM Holdings CTB, Ltd., OAKTREE CAPITAL MANAGEMENT LP, Oaktree Opportunities Fund VIII, L.P., Oaktree Opportunities Fund VIII (Parallel), L.P., Oaktree Opportunities Fund VIII (Parallel 2), L.P., Oaktree Opportunities Fund VIII GP, L.P.
Section 16 reporting ended · disclosed 2018-01-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Partnership Units and Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Explanation of Responses | 1,875,000 |
Reported balance
After 2018-01-17 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-01-17 · Other · Disposed 8,853,462 · Balance 1,875,000 F1: OCM TMM Holdings II, L.P. ("OCM TMM Holdings") no longer holds any common partnership units (the "New TMM Units") of TMM Holdings II Limited Partnership ("New TMM") or any shares of Class B Common Stock (the "Class B Shares") of Taylor Morrison Home Corporation (the "Issuer"). Pursuant to the terms of the Exchange Agreement dated as of April 9, 2013, New TMM Units (along with an equal number of Class B Shares) may be exchanged at any time for shares of Class A Common Stock (the "Class A Shares") of the Issuer on a one-for-one basis. F2: Represents the sale of New TMM Units and Class B common stock by OCM TMM Holdings to the Issuer pursuant to the Purchase Agreement, dated January 11, 2018, by and among the Issuer and certain stockholders named therein, as approved by the board of directors of the Issuer. F3: The general partner of OCM TMM Holdings is OCM TMM Holdings II GP, ULC. The sole shareholder of OCM TMM Holdings II GP, ULC is OCM TMM Holdings LP, Inc. The sole shareholder of OCM TMM Holdings LP, Inc. is Oaktree TM Holdings CTB, Ltd. The sole director of Oaktree TM Holdings CTB, Ltd. is Oaktree Capital Management, L.P., and the shareholders of Oaktree TM Holdings CTB, Ltd. controlling a majority of the vote are Oaktree Opportunities Fund VIII, L.P., Oaktree Opportunities Fund VIII (Parallel), L.P. and Oaktree Opportunities Fund VIII (Parallel 2), L.P., with the remaining shareholders being Oaktree Huntington Investment Fund, L.P., Oaktree FF Investment Fund, L.P., Oaktree Real Estate Opportunities Fund V, L.P. and Oaktree Remington Investment Fund, L.P. The general partner of Oaktree Capital Management, L.P. is Oaktree Holdings, Inc. F4: The general partner of each of Oaktree Opportunities Fund VIII, L.P., Oaktree Opportunities Fund VIII (Parallel), L.P. and Oaktree Opportunities Fund VIII (Parallel 2), L.P. is Oaktree Opportunities Fund VIII GP, L.P. The general partner of Oaktree Opportunities Fund VIII GP, L.P. is Oaktree Opportunities Fund VIII GP Ltd. The sole director of Oaktree Opportunities Fund VIII GP Ltd. is Oaktree Capital Management, L.P., and the sole shareholder of Oaktree Opportunities Fund VIII GP Ltd. is Oaktree Fund GP I, L.P. The general partner of Oaktree Fund GP I, L.P. is Oaktree Capital I, L.P. The general partner of Oaktree Capital I, L.P. is OCM Holdings I, LLC. The managing member of OCM Holdings I, LLC is Oaktree Holdings, LLC. The sole shareholder of Oaktree Holdings, Inc. and the managing member of Oaktree Holdings, LLC is Oaktree Capital Group, LLC. The duly elected manager of Oaktree Capital Group, LLC is Oaktree Capital Group Holdings GP, LLC. F5: The members of Oaktree Capital Group Holdings GP, LLC are Howard Marks, Bruce Karsh, Jay Wintrob, John Frank and Sheldon Stone, who, by virtue of their membership interests in Oaktree Capital Group Holdings GP, LLC, may be deemed to share voting and dispositive power with respect to the Class B shares held by OCM TMM Holdings. Each of the directors, shareholders, general partners, managing members and member described above disclaims beneficial ownership of any new TMM units and shares of Class B common stock owned beneficially or of record by OCM TMM Holdings except to the extent of any indirect pecuniary interest therein, and the inclusion of these securities in this Form 4 shall not be deemed an admission that any such person has beneficial ownership of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F6: The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. |
| Common Partnership Units and Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Explanation of Responses | 0 |
Reported balance
After 2018-01-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-01-17 · Other · Disposed 1,875,000 · Balance 0 F1: OCM TMM Holdings II, L.P. ("OCM TMM Holdings") no longer holds any common partnership units (the "New TMM Units") of TMM Holdings II Limited Partnership ("New TMM") or any shares of Class B Common Stock (the "Class B Shares") of Taylor Morrison Home Corporation (the "Issuer"). Pursuant to the terms of the Exchange Agreement dated as of April 9, 2013, New TMM Units (along with an equal number of Class B Shares) may be exchanged at any time for shares of Class A Common Stock (the "Class A Shares") of the Issuer on a one-for-one basis. F7: Represents the sale of New TMM Units and Class B common stock by OCM TMM Holdings to the Issuer pursuant to the Purchase Agreement, dated January 11, 2018, by and among the Issuer and certain stockholders named therein, as approved by the board of directors of the Issuer. F3: The general partner of OCM TMM Holdings is OCM TMM Holdings II GP, ULC. The sole shareholder of OCM TMM Holdings II GP, ULC is OCM TMM Holdings LP, Inc. The sole shareholder of OCM TMM Holdings LP, Inc. is Oaktree TM Holdings CTB, Ltd. The sole director of Oaktree TM Holdings CTB, Ltd. is Oaktree Capital Management, L.P., and the shareholders of Oaktree TM Holdings CTB, Ltd. controlling a majority of the vote are Oaktree Opportunities Fund VIII, L.P., Oaktree Opportunities Fund VIII (Parallel), L.P. and Oaktree Opportunities Fund VIII (Parallel 2), L.P., with the remaining shareholders being Oaktree Huntington Investment Fund, L.P., Oaktree FF Investment Fund, L.P., Oaktree Real Estate Opportunities Fund V, L.P. and Oaktree Remington Investment Fund, L.P. The general partner of Oaktree Capital Management, L.P. is Oaktree Holdings, Inc. F4: The general partner of each of Oaktree Opportunities Fund VIII, L.P., Oaktree Opportunities Fund VIII (Parallel), L.P. and Oaktree Opportunities Fund VIII (Parallel 2), L.P. is Oaktree Opportunities Fund VIII GP, L.P. The general partner of Oaktree Opportunities Fund VIII GP, L.P. is Oaktree Opportunities Fund VIII GP Ltd. The sole director of Oaktree Opportunities Fund VIII GP Ltd. is Oaktree Capital Management, L.P., and the sole shareholder of Oaktree Opportunities Fund VIII GP Ltd. is Oaktree Fund GP I, L.P. The general partner of Oaktree Fund GP I, L.P. is Oaktree Capital I, L.P. The general partner of Oaktree Capital I, L.P. is OCM Holdings I, LLC. The managing member of OCM Holdings I, LLC is Oaktree Holdings, LLC. The sole shareholder of Oaktree Holdings, Inc. and the managing member of Oaktree Holdings, LLC is Oaktree Capital Group, LLC. The duly elected manager of Oaktree Capital Group, LLC is Oaktree Capital Group Holdings GP, LLC. F5: The members of Oaktree Capital Group Holdings GP, LLC are Howard Marks, Bruce Karsh, Jay Wintrob, John Frank and Sheldon Stone, who, by virtue of their membership interests in Oaktree Capital Group Holdings GP, LLC, may be deemed to share voting and dispositive power with respect to the Class B shares held by OCM TMM Holdings. Each of the directors, shareholders, general partners, managing members and member described above disclaims beneficial ownership of any new TMM units and shares of Class B common stock owned beneficially or of record by OCM TMM Holdings except to the extent of any indirect pecuniary interest therein, and the inclusion of these securities in this Form 4 shall not be deemed an admission that any such person has beneficial ownership of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F6: The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. |
Filing footnotes · ownership attribution and instrument terms
F1: OCM TMM Holdings II, L.P. ("OCM TMM Holdings") no longer holds any common partnership units (the "New TMM Units") of TMM Holdings II Limited Partnership ("New TMM") or any shares of Class B Common Stock (the "Class B Shares") of Taylor Morrison Home Corporation (the "Issuer"). Pursuant to the terms of the Exchange Agreement dated as of April 9, 2013, New TMM Units (along with an equal number of Class B Shares) may be exchanged at any time for shares of Class A Common Stock (the "Class A Shares") of the Issuer on a one-for-one basis.
F2: Represents the sale of New TMM Units and Class B common stock by OCM TMM Holdings to the Issuer pursuant to the Purchase Agreement, dated January 11, 2018, by and among the Issuer and certain stockholders named therein, as approved by the board of directors of the Issuer.
F3: The general partner of OCM TMM Holdings is OCM TMM Holdings II GP, ULC. The sole shareholder of OCM TMM Holdings II GP, ULC is OCM TMM Holdings LP, Inc. The sole shareholder of OCM TMM Holdings LP, Inc. is Oaktree TM Holdings CTB, Ltd. The sole director of Oaktree TM Holdings CTB, Ltd. is Oaktree Capital Management, L.P., and the shareholders of Oaktree TM Holdings CTB, Ltd. controlling a majority of the vote are Oaktree Opportunities Fund VIII, L.P., Oaktree Opportunities Fund VIII (Parallel), L.P. and Oaktree Opportunities Fund VIII (Parallel 2), L.P., with the remaining shareholders being Oaktree Huntington Investment Fund, L.P., Oaktree FF Investment Fund, L.P., Oaktree Real Estate Opportunities Fund V, L.P. and Oaktree Remington Investment Fund, L.P. The general partner of Oaktree Capital Management, L.P. is Oaktree Holdings, Inc.
F4: The general partner of each of Oaktree Opportunities Fund VIII, L.P., Oaktree Opportunities Fund VIII (Parallel), L.P. and Oaktree Opportunities Fund VIII (Parallel 2), L.P. is Oaktree Opportunities Fund VIII GP, L.P. The general partner of Oaktree Opportunities Fund VIII GP, L.P. is Oaktree Opportunities Fund VIII GP Ltd. The sole director of Oaktree Opportunities Fund VIII GP Ltd. is Oaktree Capital Management, L.P., and the sole shareholder of Oaktree Opportunities Fund VIII GP Ltd. is Oaktree Fund GP I, L.P. The general partner of Oaktree Fund GP I, L.P. is Oaktree Capital I, L.P. The general partner of Oaktree Capital I, L.P. is OCM Holdings I, LLC. The managing member of OCM Holdings I, LLC is Oaktree Holdings, LLC. The sole shareholder of Oaktree Holdings, Inc. and the managing member of Oaktree Holdings, LLC is Oaktree Capital Group, LLC. The duly elected manager of Oaktree Capital Group, LLC is Oaktree Capital Group Holdings GP, LLC.
F5: The members of Oaktree Capital Group Holdings GP, LLC are Howard Marks, Bruce Karsh, Jay Wintrob, John Frank and Sheldon Stone, who, by virtue of their membership interests in Oaktree Capital Group Holdings GP, LLC, may be deemed to share voting and dispositive power with respect to the Class B shares held by OCM TMM Holdings. Each of the directors, shareholders, general partners, managing members and member described above disclaims beneficial ownership of any new TMM units and shares of Class B common stock owned beneficially or of record by OCM TMM Holdings except to the extent of any indirect pecuniary interest therein, and the inclusion of these securities in this Form 4 shall not be deemed an admission that any such person has beneficial ownership of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F6: The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act.
F7: Represents the sale of New TMM Units and Class B common stock by OCM TMM Holdings to the Issuer pursuant to the Purchase Agreement, dated January 11, 2018, by and among the Issuer and certain stockholders named therein, as approved by the board of directors of the Issuer.
Vistra Corp.
Report date November 19, 2021 · Filed November 23, 2021
Jointly reported with Oaktree Capital Group Holdings GP, LLC, OAKTREE CAPITAL MANAGEMENT LP, Brookfield Oaktree Holdings, LLC
Section 16 reporting ended · disclosed 2021-11-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee footnotes | 28,899,812 |
Reported balance
After 2021-11-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-11-19 · Sale · Disposed 1,041,573 · Balance 28,899,812 F1: The Reporting Persons inadvertently omitted to report 4,783 shares received on October 30, 2020 in connection with a distribution from the First Lien Dispute Escrow Account in the Energy Future Holdings Chapter 11 Cases. F2: This Form 4 is being filed by Oaktree Capital Management, L.P. ("Management"), on behalf of certain of its managed funds and accounts (the "Funds"), with respect to shares of the Issuer's common stock, par value $0.01 per share ("Common Stock") that may be deemed to be beneficially owned by the Reporting Persons (as defined below). This Form 4 is also being filed by each of (i) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (ii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F3: 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. F4: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons inadvertently omitted to report 4,783 shares received on October 30, 2020 in connection with a distribution from the First Lien Dispute Escrow Account in the Energy Future Holdings Chapter 11 Cases.
F2: This Form 4 is being filed by Oaktree Capital Management, L.P. ("Management"), on behalf of certain of its managed funds and accounts (the "Funds"), with respect to shares of the Issuer's common stock, par value $0.01 per share ("Common Stock") that may be deemed to be beneficially owned by the Reporting Persons (as defined below). This Form 4 is also being filed by each of (i) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (ii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG.
F3: 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.
F4: 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.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 01, 2019 Filed Feb 11, 2019 13:12 UTC | Infinera Corp INFN · Entity 82602 | Purchase2.125% Convertible Senior Notes due 2024 · Derivative | 1,000,000 | $788,860.00 | $788,860,000,000.00 |
DisclosureSEC source: 0000899243-19-003104 · doc4.xml · derivative · entry 2 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 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: 3,500,000 Underlying: Common Stock, par value $0.001 per share · 100,000 shares Expires not disclosed F1 · derivative.exercise_price: Between January 29, 2019 and February 4, 2019, Oaktree Capital Management, L.P. ("OCM") purchased on behalf of several third party accounts for which it serves as investment adviser and affiliated investment funds an aggregate of $4,500,000 principal amount of 2.125% Convertible Senior Notes due 2024 (the "Notes") in open market transactions. These purchases by OCM were made on behalf of several third party accounts and affiliated investment funds as part of Oaktree's convertibles strategy, which has a different set of investment professionals from those who are involved in Oaktree Optical Holdings, L.P., which holds 20,975,384 shares of the issuer's common stock, par value $0.001 per share. F2 · derivative.exercise_price: The conversion rate for the Notes is initially 101.2812 shares of common stock per $1,000 principal amount of Notes (equivalent to an initial conversion price of approximately $9.87 per share of issuer common stock), subject to adjustment. OCM expressly disclaims beneficial ownership of these Notes to the extent that its advisory arrangement does not result in a reportable pecuniary interest in such Notes under Section 16 of the Securities Exchange Act of 1934, as amended. F3 · derivative.exercise_date: The registrant may convert the Notes at any time prior to the close of business on the business day immediately preceding June 1, 2024 only under the following circumstances: (1) during any fiscal quarter, if the last reported sale price of the common stock for at least 20 trading days during a period of 30 consecutive trading days ending on the last trading day of the immediately preceding fiscal quarter is greater than or equal to 130% of the conversion price on each applicable trading day; F4 · derivative.exercise_date: (continued from footnote 3) (2) during the five business day period after any five consecutive trading day period (the "measurement period") in which the trading price per $1,000 principal amount of notes for each trading day of the measurement period was less than 98% of the product of the last reported sale price of the issuer's common stock and the conversion rate on each such trading day; or (3) upon the occurrence of specified corporate events. F3 · derivative.expiration_date: The registrant may convert the Notes at any time prior to the close of business on the business day immediately preceding June 1, 2024 only under the following circumstances: (1) during any fiscal quarter, if the last reported sale price of the common stock for at least 20 trading days during a period of 30 consecutive trading days ending on the last trading day of the immediately preceding fiscal quarter is greater than or equal to 130% of the conversion price on each applicable trading day; F4 · derivative.expiration_date: (continued from footnote 3) (2) during the five business day period after any five consecutive trading day period (the "measurement period") in which the trading price per $1,000 principal amount of notes for each trading day of the measurement period was less than 98% of the product of the last reported sale price of the issuer's common stock and the conversion rate on each such trading day; or (3) upon the occurrence of specified corporate events. F1 · ownership.direct: Between January 29, 2019 and February 4, 2019, Oaktree Capital Management, L.P. ("OCM") purchased on behalf of several third party accounts for which it serves as investment adviser and affiliated investment funds an aggregate of $4,500,000 principal amount of 2.125% Convertible Senior Notes due 2024 (the "Notes") in open market transactions. These purchases by OCM were made on behalf of several third party accounts and affiliated investment funds as part of Oaktree's convertibles strategy, which has a different set of investment professionals from those who are involved in Oaktree Optical Holdings, L.P., which holds 20,975,384 shares of the issuer's common stock, par value $0.001 per share. F2 · ownership.direct: The conversion rate for the Notes is initially 101.2812 shares of common stock per $1,000 principal amount of Notes (equivalent to an initial conversion price of approximately $9.87 per share of issuer common stock), subject to adjustment. OCM expressly disclaims beneficial ownership of these Notes to the extent that its advisory arrangement does not result in a reportable pecuniary interest in such Notes under Section 16 of the Securities Exchange Act of 1934, as amended. F5 · ownership.direct: This Form 4 is also being filed by (i) Oaktree Holdings, Inc. ("Holdings") in its capacity as general partner of OCM; (ii) Oaktree Capital Group, LLC ("OCG") in its capacity as the sole shareholder of Holdings; and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG (each a "Reporting Person" and, collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the Notes 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 the Notes reported herein. F6 · ownership.direct: Holdings is the general partner of OCM. OCGH GP is a limited liability company 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 Notes reported herein. Each OCGH GP Member expressly disclaims beneficial ownership of the Notes reported herein, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Notes reported herein. Read SEC document |
| January 29, 2019 Filed Feb 11, 2019 13:12 UTC | Infinera Corp INFN · Entity 82602 | Purchase2.125% Convertible Senior Notes due 2024 · Derivative | 2,500,000 | $1,883,100.00 | $4,707,750,000,000.00 |
DisclosureSEC source: 0000899243-19-003104 · doc4.xml · derivative · entry 1 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 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: 2,500,000 Underlying: Common Stock, par value $0.001 per share · 250,000 shares Expires not disclosed F1 · derivative.exercise_price: Between January 29, 2019 and February 4, 2019, Oaktree Capital Management, L.P. ("OCM") purchased on behalf of several third party accounts for which it serves as investment adviser and affiliated investment funds an aggregate of $4,500,000 principal amount of 2.125% Convertible Senior Notes due 2024 (the "Notes") in open market transactions. These purchases by OCM were made on behalf of several third party accounts and affiliated investment funds as part of Oaktree's convertibles strategy, which has a different set of investment professionals from those who are involved in Oaktree Optical Holdings, L.P., which holds 20,975,384 shares of the issuer's common stock, par value $0.001 per share. F2 · derivative.exercise_price: The conversion rate for the Notes is initially 101.2812 shares of common stock per $1,000 principal amount of Notes (equivalent to an initial conversion price of approximately $9.87 per share of issuer common stock), subject to adjustment. OCM expressly disclaims beneficial ownership of these Notes to the extent that its advisory arrangement does not result in a reportable pecuniary interest in such Notes under Section 16 of the Securities Exchange Act of 1934, as amended. F3 · derivative.exercise_date: The registrant may convert the Notes at any time prior to the close of business on the business day immediately preceding June 1, 2024 only under the following circumstances: (1) during any fiscal quarter, if the last reported sale price of the common stock for at least 20 trading days during a period of 30 consecutive trading days ending on the last trading day of the immediately preceding fiscal quarter is greater than or equal to 130% of the conversion price on each applicable trading day; F4 · derivative.exercise_date: (continued from footnote 3) (2) during the five business day period after any five consecutive trading day period (the "measurement period") in which the trading price per $1,000 principal amount of notes for each trading day of the measurement period was less than 98% of the product of the last reported sale price of the issuer's common stock and the conversion rate on each such trading day; or (3) upon the occurrence of specified corporate events. F3 · derivative.expiration_date: The registrant may convert the Notes at any time prior to the close of business on the business day immediately preceding June 1, 2024 only under the following circumstances: (1) during any fiscal quarter, if the last reported sale price of the common stock for at least 20 trading days during a period of 30 consecutive trading days ending on the last trading day of the immediately preceding fiscal quarter is greater than or equal to 130% of the conversion price on each applicable trading day; F4 · derivative.expiration_date: (continued from footnote 3) (2) during the five business day period after any five consecutive trading day period (the "measurement period") in which the trading price per $1,000 principal amount of notes for each trading day of the measurement period was less than 98% of the product of the last reported sale price of the issuer's common stock and the conversion rate on each such trading day; or (3) upon the occurrence of specified corporate events. F1 · ownership.direct: Between January 29, 2019 and February 4, 2019, Oaktree Capital Management, L.P. ("OCM") purchased on behalf of several third party accounts for which it serves as investment adviser and affiliated investment funds an aggregate of $4,500,000 principal amount of 2.125% Convertible Senior Notes due 2024 (the "Notes") in open market transactions. These purchases by OCM were made on behalf of several third party accounts and affiliated investment funds as part of Oaktree's convertibles strategy, which has a different set of investment professionals from those who are involved in Oaktree Optical Holdings, L.P., which holds 20,975,384 shares of the issuer's common stock, par value $0.001 per share. F2 · ownership.direct: The conversion rate for the Notes is initially 101.2812 shares of common stock per $1,000 principal amount of Notes (equivalent to an initial conversion price of approximately $9.87 per share of issuer common stock), subject to adjustment. OCM expressly disclaims beneficial ownership of these Notes to the extent that its advisory arrangement does not result in a reportable pecuniary interest in such Notes under Section 16 of the Securities Exchange Act of 1934, as amended. F5 · ownership.direct: This Form 4 is also being filed by (i) Oaktree Holdings, Inc. ("Holdings") in its capacity as general partner of OCM; (ii) Oaktree Capital Group, LLC ("OCG") in its capacity as the sole shareholder of Holdings; and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG (each a "Reporting Person" and, collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the Notes 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 the Notes reported herein. F6 · ownership.direct: Holdings is the general partner of OCM. OCGH GP is a limited liability company 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 Notes reported herein. Each OCGH GP Member expressly disclaims beneficial ownership of the Notes reported herein, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Notes reported herein. Read SEC document |
| December 28, 2018 Filed Dec 31, 2018 21:31 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 110,000 | $4.52 | $497,200.00 |
DisclosureSEC source: 0000950142-18-002484 · es1801351_4-eaglebulk.xml · nonDerivative · entry 6 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 26,219,538 F1 · date: The price in column 4 is a weighted average price. On December 20, 2018, 200,000 shares were purchased in multiple transactions, at prices ranging from $4.49 to $4.20, inclusive. On December 21, 2018, 300,000 shares were purchased in multiple transactions, at prices ranging from $4.50 to $4.20, inclusive. On December 24, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.23 to $4.10, inclusive. On December 26, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.30 to $4.15, inclusive. On December 27, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.45 to $4.35, inclusive. On December 28, 2018, 110,000 shares were purchased in multiple transactions, at prices ranging from $4.53 to $4.42, inclusive. F1 · price: The price in column 4 is a weighted average price. On December 20, 2018, 200,000 shares were purchased in multiple transactions, at prices ranging from $4.49 to $4.20, inclusive. On December 21, 2018, 300,000 shares were purchased in multiple transactions, at prices ranging from $4.50 to $4.20, inclusive. On December 24, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.23 to $4.10, inclusive. On December 26, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.30 to $4.15, inclusive. On December 27, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.45 to $4.35, inclusive. On December 28, 2018, 110,000 shares were purchased in multiple transactions, at prices ranging from $4.53 to $4.42, inclusive. F2 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 25,259,538 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F3 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F4 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F5 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| December 27, 2018 Filed Dec 31, 2018 21:31 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 150,000 | $4.39 | $658,440.00 |
DisclosureSEC source: 0000950142-18-002484 · es1801351_4-eaglebulk.xml · nonDerivative · entry 5 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 26,109,538 F1 · date: The price in column 4 is a weighted average price. On December 20, 2018, 200,000 shares were purchased in multiple transactions, at prices ranging from $4.49 to $4.20, inclusive. On December 21, 2018, 300,000 shares were purchased in multiple transactions, at prices ranging from $4.50 to $4.20, inclusive. On December 24, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.23 to $4.10, inclusive. On December 26, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.30 to $4.15, inclusive. On December 27, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.45 to $4.35, inclusive. On December 28, 2018, 110,000 shares were purchased in multiple transactions, at prices ranging from $4.53 to $4.42, inclusive. F1 · price: The price in column 4 is a weighted average price. On December 20, 2018, 200,000 shares were purchased in multiple transactions, at prices ranging from $4.49 to $4.20, inclusive. On December 21, 2018, 300,000 shares were purchased in multiple transactions, at prices ranging from $4.50 to $4.20, inclusive. On December 24, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.23 to $4.10, inclusive. On December 26, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.30 to $4.15, inclusive. On December 27, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.45 to $4.35, inclusive. On December 28, 2018, 110,000 shares were purchased in multiple transactions, at prices ranging from $4.53 to $4.42, inclusive. F2 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 25,259,538 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F3 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F4 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F5 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| December 26, 2018 Filed Dec 31, 2018 21:31 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 150,000 | $4.24 | $636,000.00 |
DisclosureSEC source: 0000950142-18-002484 · es1801351_4-eaglebulk.xml · nonDerivative · entry 4 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 25,959,538 F1 · date: The price in column 4 is a weighted average price. On December 20, 2018, 200,000 shares were purchased in multiple transactions, at prices ranging from $4.49 to $4.20, inclusive. On December 21, 2018, 300,000 shares were purchased in multiple transactions, at prices ranging from $4.50 to $4.20, inclusive. On December 24, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.23 to $4.10, inclusive. On December 26, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.30 to $4.15, inclusive. On December 27, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.45 to $4.35, inclusive. On December 28, 2018, 110,000 shares were purchased in multiple transactions, at prices ranging from $4.53 to $4.42, inclusive. F1 · price: The price in column 4 is a weighted average price. On December 20, 2018, 200,000 shares were purchased in multiple transactions, at prices ranging from $4.49 to $4.20, inclusive. On December 21, 2018, 300,000 shares were purchased in multiple transactions, at prices ranging from $4.50 to $4.20, inclusive. On December 24, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.23 to $4.10, inclusive. On December 26, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.30 to $4.15, inclusive. On December 27, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.45 to $4.35, inclusive. On December 28, 2018, 110,000 shares were purchased in multiple transactions, at prices ranging from $4.53 to $4.42, inclusive. F2 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 25,259,538 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F3 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F4 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F5 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| December 24, 2018 Filed Dec 31, 2018 21:31 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 50,000 | $4.18 | $209,220.00 |
DisclosureSEC source: 0000950142-18-002484 · es1801351_4-eaglebulk.xml · nonDerivative · entry 3 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 25,809,538 F1 · date: The price in column 4 is a weighted average price. On December 20, 2018, 200,000 shares were purchased in multiple transactions, at prices ranging from $4.49 to $4.20, inclusive. On December 21, 2018, 300,000 shares were purchased in multiple transactions, at prices ranging from $4.50 to $4.20, inclusive. On December 24, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.23 to $4.10, inclusive. On December 26, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.30 to $4.15, inclusive. On December 27, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.45 to $4.35, inclusive. On December 28, 2018, 110,000 shares were purchased in multiple transactions, at prices ranging from $4.53 to $4.42, inclusive. F1 · price: The price in column 4 is a weighted average price. On December 20, 2018, 200,000 shares were purchased in multiple transactions, at prices ranging from $4.49 to $4.20, inclusive. On December 21, 2018, 300,000 shares were purchased in multiple transactions, at prices ranging from $4.50 to $4.20, inclusive. On December 24, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.23 to $4.10, inclusive. On December 26, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.30 to $4.15, inclusive. On December 27, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.45 to $4.35, inclusive. On December 28, 2018, 110,000 shares were purchased in multiple transactions, at prices ranging from $4.53 to $4.42, inclusive. F2 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 25,259,538 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F3 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F4 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F5 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| December 21, 2018 Filed Dec 31, 2018 21:31 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 300,000 | $4.44 | $1,332,000.00 |
DisclosureSEC source: 0000950142-18-002484 · es1801351_4-eaglebulk.xml · nonDerivative · entry 2 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 25,759,538 F1 · date: The price in column 4 is a weighted average price. On December 20, 2018, 200,000 shares were purchased in multiple transactions, at prices ranging from $4.49 to $4.20, inclusive. On December 21, 2018, 300,000 shares were purchased in multiple transactions, at prices ranging from $4.50 to $4.20, inclusive. On December 24, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.23 to $4.10, inclusive. On December 26, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.30 to $4.15, inclusive. On December 27, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.45 to $4.35, inclusive. On December 28, 2018, 110,000 shares were purchased in multiple transactions, at prices ranging from $4.53 to $4.42, inclusive. F1 · price: The price in column 4 is a weighted average price. On December 20, 2018, 200,000 shares were purchased in multiple transactions, at prices ranging from $4.49 to $4.20, inclusive. On December 21, 2018, 300,000 shares were purchased in multiple transactions, at prices ranging from $4.50 to $4.20, inclusive. On December 24, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.23 to $4.10, inclusive. On December 26, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.30 to $4.15, inclusive. On December 27, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.45 to $4.35, inclusive. On December 28, 2018, 110,000 shares were purchased in multiple transactions, at prices ranging from $4.53 to $4.42, inclusive. F2 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 25,259,538 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F3 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F4 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F5 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| December 20, 2018 Filed Dec 31, 2018 21:31 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock, par value $0.01 per share (""Common Stock"") | 200,000 | $4.42 | $884,000.00 |
DisclosureSEC source: 0000950142-18-002484 · es1801351_4-eaglebulk.xml · nonDerivative · entry 1 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 25,459,538 F1 · date: The price in column 4 is a weighted average price. On December 20, 2018, 200,000 shares were purchased in multiple transactions, at prices ranging from $4.49 to $4.20, inclusive. On December 21, 2018, 300,000 shares were purchased in multiple transactions, at prices ranging from $4.50 to $4.20, inclusive. On December 24, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.23 to $4.10, inclusive. On December 26, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.30 to $4.15, inclusive. On December 27, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.45 to $4.35, inclusive. On December 28, 2018, 110,000 shares were purchased in multiple transactions, at prices ranging from $4.53 to $4.42, inclusive. F1 · price: The price in column 4 is a weighted average price. On December 20, 2018, 200,000 shares were purchased in multiple transactions, at prices ranging from $4.49 to $4.20, inclusive. On December 21, 2018, 300,000 shares were purchased in multiple transactions, at prices ranging from $4.50 to $4.20, inclusive. On December 24, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.23 to $4.10, inclusive. On December 26, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.30 to $4.15, inclusive. On December 27, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.45 to $4.35, inclusive. On December 28, 2018, 110,000 shares were purchased in multiple transactions, at prices ranging from $4.53 to $4.42, inclusive. F2 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 25,259,538 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F3 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F4 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F5 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| December 19, 2018 Filed Dec 19, 2018 22:31 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 100,000 | $4.49 | $449,050.00 |
DisclosureSEC source: 0000950142-18-002426 · es1801316_4-eaglebulk.xml · nonDerivative · entry 10 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 25,259,902 F1 · date: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · date: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F1 · price: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · price: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F3 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 25,259,538 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F4 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F5 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F6 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| December 18, 2018 Filed Dec 19, 2018 22:31 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 100,000 | $4.34 | $434,000.00 |
DisclosureSEC source: 0000950142-18-002426 · es1801316_4-eaglebulk.xml · nonDerivative · entry 9 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 25,159,538 F1 · date: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · date: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F1 · price: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · price: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F3 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 25,259,538 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F4 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F5 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F6 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| December 17, 2018 Filed Dec 19, 2018 22:31 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 150,000 | $4.38 | $657,000.00 |
DisclosureSEC source: 0000950142-18-002426 · es1801316_4-eaglebulk.xml · nonDerivative · entry 8 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 25,059,538 F1 · date: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · date: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F1 · price: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · price: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F3 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 25,259,538 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F4 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F5 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F6 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| December 14, 2018 Filed Dec 19, 2018 22:31 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 150,000 | $4.69 | $703,950.00 |
DisclosureSEC source: 0000950142-18-002426 · es1801316_4-eaglebulk.xml · nonDerivative · entry 7 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 24,909,538 F1 · date: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · date: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F1 · price: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · price: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F3 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 25,259,538 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F4 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F5 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F6 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| December 13, 2018 Filed Dec 19, 2018 22:31 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 163,210 | $4.57 | $745,869.70 |
DisclosureSEC source: 0000950142-18-002426 · es1801316_4-eaglebulk.xml · nonDerivative · entry 6 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 24,759,538 F1 · date: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · date: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F1 · price: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · price: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F3 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 25,259,538 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F4 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F5 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F6 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| December 10, 2018 Filed Dec 19, 2018 22:31 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 18,400 | $4.64 | $85,376.00 |
DisclosureSEC source: 0000950142-18-002426 · es1801316_4-eaglebulk.xml · nonDerivative · entry 5 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 24,596,328 F1 · date: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · date: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F1 · price: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · price: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F3 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 25,259,538 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F4 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F5 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F6 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| December 07, 2018 Filed Dec 19, 2018 22:31 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 100,000 | $4.76 | $476,000.00 |
DisclosureSEC source: 0000950142-18-002426 · es1801316_4-eaglebulk.xml · nonDerivative · entry 4 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 24,577,928 F1 · date: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · date: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F1 · price: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · price: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F3 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 25,259,538 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F4 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F5 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F6 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| December 06, 2018 Filed Dec 19, 2018 22:31 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 50,000 | $4.70 | $235,000.00 |
DisclosureSEC source: 0000950142-18-002426 · es1801316_4-eaglebulk.xml · nonDerivative · entry 3 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 24,477,928 F1 · date: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · date: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F1 · price: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · price: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F3 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 25,259,538 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F4 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F5 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F6 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| November 27, 2018 Filed Dec 19, 2018 22:31 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 115,000 | $4.71 | $541,201.50 |
DisclosureSEC source: 0000950142-18-002426 · es1801316_4-eaglebulk.xml · nonDerivative · entry 2 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 24,427,928 F1 · date: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · date: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F1 · price: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · price: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F3 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 25,259,538 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F4 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F5 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F6 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| November 26, 2018 Filed Dec 19, 2018 22:31 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock, par value $0.01 per share ("Common Stock") | 75,000 | $4.51 | $338,505.00 |
DisclosureSEC source: 0000950142-18-002426 · es1801316_4-eaglebulk.xml · nonDerivative · entry 1 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 24,312,928 F1 · date: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · date: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F1 · price: The price in column 4 is a weighted average price On November 26, 2018, 75,000 shares were purchased in multiple transactions, at prices ranging from $4.56 to $4.42, inclusive. On November 27, 2018, 115,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.50, inclusive. On December 6, 2018, 50,000 shares were purchased in multiple transactions, at prices ranging from $4.75 to $4.68, inclusive. On December 7, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.82 to $4.75, inclusive. On December 10, 2018, 18,400 shares were purchased in multiple transactions, at prices ranging from $4.70 to $4.60, inclusive. On December 13, 2018, 163,210 shares were purchased in multiple transactions, at prices ranging from $4.60 to $4.51, inclusive. (Cont'd in FN 2) F2 · price: (Cont'd from FN 1) On December 14, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.73 to $4.63, inclusive. On December 17, 2018, 150,000 shares were purchased in multiple transactions, at prices ranging from $4.68 to $4.28, inclusive. On December 18, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.40 to $4.18, inclusive. On December 19, 2018, 100,000 shares were purchased in multiple transactions, at prices ranging from $4.55 to $4.35, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F3 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 25,259,538 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F4 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F5 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F6 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| November 21, 2018 Filed Nov 23, 2018 22:25 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 151,479 | $4.61 | $698,545.41 |
DisclosureSEC source: 0000950142-18-002304 · es1801265_4-eaglebulk.xml · nonDerivative · entry 6 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 24,237,928 F1 · date: The price in column 4 is a weighted average price. On November 13, 2018, 82,639 shares were purchased in multiple transactions, at prices ranging from $4.5450 to $4.72, inclusive. On November 14, 2018, 271,291 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.6350, inclusive. On November 15, 2018, 186,418 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.7250, inclusive. On November 16, 2018, 119,652 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.73, inclusive. (cont'd in FN 2) F2 · date: (cont'd from FN 1) On November 20, 2018, 408,521 shares were purchased in multiple transactions, at prices ranging from $4.28 to $4.51, inclusive. On November 21, 2018, 151,479 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.72, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F1 · price: The price in column 4 is a weighted average price. On November 13, 2018, 82,639 shares were purchased in multiple transactions, at prices ranging from $4.5450 to $4.72, inclusive. On November 14, 2018, 271,291 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.6350, inclusive. On November 15, 2018, 186,418 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.7250, inclusive. On November 16, 2018, 119,652 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.73, inclusive. (cont'd in FN 2) F2 · price: (cont'd from FN 1) On November 20, 2018, 408,521 shares were purchased in multiple transactions, at prices ranging from $4.28 to $4.51, inclusive. On November 21, 2018, 151,479 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.72, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F3 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 24,086,449 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F4 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F5 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, Sheldon M. Stone, Stephen A. Kaplan, and David M. Kirchheimer, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F6 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| November 20, 2018 Filed Nov 23, 2018 22:25 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 408,521 | $4.41 | $1,801,577.61 |
DisclosureSEC source: 0000950142-18-002304 · es1801265_4-eaglebulk.xml · nonDerivative · entry 5 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 24,086,449 F1 · date: The price in column 4 is a weighted average price. On November 13, 2018, 82,639 shares were purchased in multiple transactions, at prices ranging from $4.5450 to $4.72, inclusive. On November 14, 2018, 271,291 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.6350, inclusive. On November 15, 2018, 186,418 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.7250, inclusive. On November 16, 2018, 119,652 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.73, inclusive. (cont'd in FN 2) F2 · date: (cont'd from FN 1) On November 20, 2018, 408,521 shares were purchased in multiple transactions, at prices ranging from $4.28 to $4.51, inclusive. On November 21, 2018, 151,479 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.72, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F1 · price: The price in column 4 is a weighted average price. On November 13, 2018, 82,639 shares were purchased in multiple transactions, at prices ranging from $4.5450 to $4.72, inclusive. On November 14, 2018, 271,291 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.6350, inclusive. On November 15, 2018, 186,418 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.7250, inclusive. On November 16, 2018, 119,652 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.73, inclusive. (cont'd in FN 2) F2 · price: (cont'd from FN 1) On November 20, 2018, 408,521 shares were purchased in multiple transactions, at prices ranging from $4.28 to $4.51, inclusive. On November 21, 2018, 151,479 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.72, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F3 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 24,086,449 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F4 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F5 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, Sheldon M. Stone, Stephen A. Kaplan, and David M. Kirchheimer, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F6 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| November 16, 2018 Filed Nov 23, 2018 22:25 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 119,652 | $4.69 | $561,167.88 |
DisclosureSEC source: 0000950142-18-002304 · es1801265_4-eaglebulk.xml · nonDerivative · entry 4 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 23,677,928 F1 · date: The price in column 4 is a weighted average price. On November 13, 2018, 82,639 shares were purchased in multiple transactions, at prices ranging from $4.5450 to $4.72, inclusive. On November 14, 2018, 271,291 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.6350, inclusive. On November 15, 2018, 186,418 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.7250, inclusive. On November 16, 2018, 119,652 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.73, inclusive. (cont'd in FN 2) F2 · date: (cont'd from FN 1) On November 20, 2018, 408,521 shares were purchased in multiple transactions, at prices ranging from $4.28 to $4.51, inclusive. On November 21, 2018, 151,479 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.72, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F1 · price: The price in column 4 is a weighted average price. On November 13, 2018, 82,639 shares were purchased in multiple transactions, at prices ranging from $4.5450 to $4.72, inclusive. On November 14, 2018, 271,291 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.6350, inclusive. On November 15, 2018, 186,418 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.7250, inclusive. On November 16, 2018, 119,652 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.73, inclusive. (cont'd in FN 2) F2 · price: (cont'd from FN 1) On November 20, 2018, 408,521 shares were purchased in multiple transactions, at prices ranging from $4.28 to $4.51, inclusive. On November 21, 2018, 151,479 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.72, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F3 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 24,086,449 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F4 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F5 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, Sheldon M. Stone, Stephen A. Kaplan, and David M. Kirchheimer, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F6 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| November 15, 2018 Filed Nov 23, 2018 22:25 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 186,418 | $4.74 | $883,621.32 |
DisclosureSEC source: 0000950142-18-002304 · es1801265_4-eaglebulk.xml · nonDerivative · entry 3 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 23,558,276 F1 · date: The price in column 4 is a weighted average price. On November 13, 2018, 82,639 shares were purchased in multiple transactions, at prices ranging from $4.5450 to $4.72, inclusive. On November 14, 2018, 271,291 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.6350, inclusive. On November 15, 2018, 186,418 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.7250, inclusive. On November 16, 2018, 119,652 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.73, inclusive. (cont'd in FN 2) F2 · date: (cont'd from FN 1) On November 20, 2018, 408,521 shares were purchased in multiple transactions, at prices ranging from $4.28 to $4.51, inclusive. On November 21, 2018, 151,479 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.72, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F1 · price: The price in column 4 is a weighted average price. On November 13, 2018, 82,639 shares were purchased in multiple transactions, at prices ranging from $4.5450 to $4.72, inclusive. On November 14, 2018, 271,291 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.6350, inclusive. On November 15, 2018, 186,418 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.7250, inclusive. On November 16, 2018, 119,652 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.73, inclusive. (cont'd in FN 2) F2 · price: (cont'd from FN 1) On November 20, 2018, 408,521 shares were purchased in multiple transactions, at prices ranging from $4.28 to $4.51, inclusive. On November 21, 2018, 151,479 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.72, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F3 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 24,086,449 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F4 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F5 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, Sheldon M. Stone, Stephen A. Kaplan, and David M. Kirchheimer, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F6 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| November 14, 2018 Filed Nov 23, 2018 22:25 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock | 271,291 | $4.59 | $1,245,225.69 |
DisclosureSEC source: 0000950142-18-002304 · es1801265_4-eaglebulk.xml · nonDerivative · entry 2 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 23,371,858 F1 · date: The price in column 4 is a weighted average price. On November 13, 2018, 82,639 shares were purchased in multiple transactions, at prices ranging from $4.5450 to $4.72, inclusive. On November 14, 2018, 271,291 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.6350, inclusive. On November 15, 2018, 186,418 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.7250, inclusive. On November 16, 2018, 119,652 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.73, inclusive. (cont'd in FN 2) F2 · date: (cont'd from FN 1) On November 20, 2018, 408,521 shares were purchased in multiple transactions, at prices ranging from $4.28 to $4.51, inclusive. On November 21, 2018, 151,479 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.72, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F1 · price: The price in column 4 is a weighted average price. On November 13, 2018, 82,639 shares were purchased in multiple transactions, at prices ranging from $4.5450 to $4.72, inclusive. On November 14, 2018, 271,291 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.6350, inclusive. On November 15, 2018, 186,418 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.7250, inclusive. On November 16, 2018, 119,652 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.73, inclusive. (cont'd in FN 2) F2 · price: (cont'd from FN 1) On November 20, 2018, 408,521 shares were purchased in multiple transactions, at prices ranging from $4.28 to $4.51, inclusive. On November 21, 2018, 151,479 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.72, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F3 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 24,086,449 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F4 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F5 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, Sheldon M. Stone, Stephen A. Kaplan, and David M. Kirchheimer, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F6 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| November 13, 2018 Filed Nov 23, 2018 22:25 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | PurchaseCommon Stock, par value $0.01 per share ("Common Stock") | 82,639 | $4.64 | $383,444.96 |
DisclosureSEC source: 0000950142-18-002304 · es1801265_4-eaglebulk.xml · nonDerivative · entry 1 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 23,100,567 F1 · date: The price in column 4 is a weighted average price. On November 13, 2018, 82,639 shares were purchased in multiple transactions, at prices ranging from $4.5450 to $4.72, inclusive. On November 14, 2018, 271,291 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.6350, inclusive. On November 15, 2018, 186,418 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.7250, inclusive. On November 16, 2018, 119,652 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.73, inclusive. (cont'd in FN 2) F2 · date: (cont'd from FN 1) On November 20, 2018, 408,521 shares were purchased in multiple transactions, at prices ranging from $4.28 to $4.51, inclusive. On November 21, 2018, 151,479 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.72, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F1 · price: The price in column 4 is a weighted average price. On November 13, 2018, 82,639 shares were purchased in multiple transactions, at prices ranging from $4.5450 to $4.72, inclusive. On November 14, 2018, 271,291 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.6350, inclusive. On November 15, 2018, 186,418 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.7250, inclusive. On November 16, 2018, 119,652 shares were purchased in multiple transactions, at prices ranging from $4.5750 to $4.73, inclusive. (cont'd in FN 2) F2 · price: (cont'd from FN 1) On November 20, 2018, 408,521 shares were purchased in multiple transactions, at prices ranging from $4.28 to $4.51, inclusive. On November 21, 2018, 151,479 shares were purchased in multiple transactions, at prices ranging from $4.4650 to $4.72, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. F3 · ownership.nature: This Form 4 is being filed by OCM Opps EB Holdings, Ltd ("EB Holdings") with respect to (i) the 24,086,449 shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), that may be deemed to be beneficially owned by the Reporting Persons (as defined below) and (ii) the 364 warrants exercisable for shares of Common Stock (the "Warrants"), all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Capital Management, L.P. ("Management") as the sole director of EB Holdings; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with EB Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F4 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their 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 Common Stock covered by this Form 4. F5 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, Sheldon M. Stone, Stephen A. Kaplan, and David M. Kirchheimer, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F6 · ownership.nature: Common Stock held directly by EB Holdings. Read SEC document |
| July 30, 2018 Filed Aug 1, 2018 23:56 UTC | Berry Corp (bry) BRY · Entity 71163 | Disposition to issuerCommon Stock | 410,229 | $13.16 | $5,398,613.64 |
DisclosureSEC source: 0000950142-18-001658 · es1800916_4-bpc2.xml · nonDerivative · entry 2 Oaktree Capital I, L.P. · CIK 0001403530 · Director · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · Director · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · Director · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · Director · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · Director · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,678,671 F1 · ownership.direct: This Form 4 is being filed jointly by (each "Reporting Person" and, collectively, the "Reporting Persons") (i) Oaktree Opportunities Fund X Holdings (Delaware), L.P. ("Fund X Delaware"), (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as the general partner of Fund X Delaware, (iii) Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), (iv) Oaktree Value Opportunities Fund GP, L.P. ("VOF GP") in its capacity as the general partner of VOF Holdings, (v) Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd.") in its capacity as the general partner of VOF GP, (vi) Oaktree Fund GP I, L.P. ("GP I") in its capacity as the managing member of Fund GP and the sole shareholder of VOF GP Ltd., (vii) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I, (viii) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I, [continued in FN 2] F2 · ownership.direct: [continued from FN 1] (ix) Oaktree Holdings, LLC ("Holdings") in its capacity as the managing member of Holdings I, (x) Oaktree Capital Management, L.P. ("Management") in its capacity as the sole director of VOF GP Ltd, (xi) Oaktree Holdings, Inc. ("Holdings, Inc.") in its capacity as the general partner of Management, (xii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings and the sole shareholder of Holdings, Inc. and (xiii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly elected manager of OCG. F3 · ownership.direct: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of common stock, $0.001 par value per share, of the Issuer (the "Common Stock") reported herein. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of the Common Stock reported herein beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F4 · ownership.direct: The Reporting Persons are deemed a director by deputization by virtue of their right to designate a person to serve on the Issuer's board of directors. F6 · ownership.direct: Reflects the sale by the Reporting Persons to the Issuer of 410,229 shares of Common Stock in connection with the Issuer's initial public offering in a transaction exempt from Section 16(b) pursuant to Section 16b-3. F7 · ownership.direct: Consists of 5,449,492 shares of Common Stock held by Fund X Delaware and 2,229,179 shares of Common Stock held by VOF Holdings. Read SEC document |
| July 25, 2018 Filed Aug 1, 2018 23:56 UTC | Berry Corp (bry) BRY · Entity 71163 | ConversionSeries A Convertible Preferred Stock · Derivative | 5,155,976 | $0.00 | $0.00 |
DisclosureSEC source: 0000950142-18-001658 · es1800916_4-bpc2.xml · derivative · entry 3 Oaktree Capital I, L.P. · CIK 0001403530 · Director · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · Director · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · Director · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · Director · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · Director · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,413,772 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: Reflects the conversion (the "Conversion") in connection with the Issuer's initial public offering of all outstanding shares of Series A Preferred Stock of the Issuer into (i) shares of Common Stock on a 1-for-1.05 basis and (ii) the right to receive $1.75, minus the amount of any cash dividend paid by the Issuer on such share of Series A Preferred Stock in respect of any period commencing on or after April 1, 2018. The acquisition of the Common Stock and the disposition of the Series A Preferred Stock by the Reporting Persons pursuant to the Conversion are exempt from Section 16(b) pursuant to Section 16b-3 and Section 16b-6. F5 · kind: Reflects the conversion (the "Conversion") in connection with the Issuer's initial public offering of all outstanding shares of Series A Preferred Stock of the Issuer into (i) shares of Common Stock on a 1-for-1.05 basis and (ii) the right to receive $1.75, minus the amount of any cash dividend paid by the Issuer on such share of Series A Preferred Stock in respect of any period commencing on or after April 1, 2018. The acquisition of the Common Stock and the disposition of the Series A Preferred Stock by the Reporting Persons pursuant to the Conversion are exempt from Section 16(b) pursuant to Section 16b-3 and Section 16b-6. F5 · derivative.exercise_date: Reflects the conversion (the "Conversion") in connection with the Issuer's initial public offering of all outstanding shares of Series A Preferred Stock of the Issuer into (i) shares of Common Stock on a 1-for-1.05 basis and (ii) the right to receive $1.75, minus the amount of any cash dividend paid by the Issuer on such share of Series A Preferred Stock in respect of any period commencing on or after April 1, 2018. The acquisition of the Common Stock and the disposition of the Series A Preferred Stock by the Reporting Persons pursuant to the Conversion are exempt from Section 16(b) pursuant to Section 16b-3 and Section 16b-6. F5 · derivative.expiration_date: Reflects the conversion (the "Conversion") in connection with the Issuer's initial public offering of all outstanding shares of Series A Preferred Stock of the Issuer into (i) shares of Common Stock on a 1-for-1.05 basis and (ii) the right to receive $1.75, minus the amount of any cash dividend paid by the Issuer on such share of Series A Preferred Stock in respect of any period commencing on or after April 1, 2018. The acquisition of the Common Stock and the disposition of the Series A Preferred Stock by the Reporting Persons pursuant to the Conversion are exempt from Section 16(b) pursuant to Section 16b-3 and Section 16b-6. F5 · ownership.direct: Reflects the conversion (the "Conversion") in connection with the Issuer's initial public offering of all outstanding shares of Series A Preferred Stock of the Issuer into (i) shares of Common Stock on a 1-for-1.05 basis and (ii) the right to receive $1.75, minus the amount of any cash dividend paid by the Issuer on such share of Series A Preferred Stock in respect of any period commencing on or after April 1, 2018. The acquisition of the Common Stock and the disposition of the Series A Preferred Stock by the Reporting Persons pursuant to the Conversion are exempt from Section 16(b) pursuant to Section 16b-3 and Section 16b-6. Read SEC document |
| July 25, 2018 Filed Aug 1, 2018 23:56 UTC | Berry Corp (bry) BRY · Entity 71163 | ConversionCommon Stock | 5,413,772 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950142-18-001658 · es1800916_4-bpc2.xml · nonDerivative · entry 1 Oaktree Capital I, L.P. · CIK 0001403530 · Director · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · Director · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · Director · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · Director · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · Director · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,088,900 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · kind: Reflects the conversion (the "Conversion") in connection with the Issuer's initial public offering of all outstanding shares of Series A Preferred Stock of the Issuer into (i) shares of Common Stock on a 1-for-1.05 basis and (ii) the right to receive $1.75, minus the amount of any cash dividend paid by the Issuer on such share of Series A Preferred Stock in respect of any period commencing on or after April 1, 2018. The acquisition of the Common Stock and the disposition of the Series A Preferred Stock by the Reporting Persons pursuant to the Conversion are exempt from Section 16(b) pursuant to Section 16b-3 and Section 16b-6. F5 · price: Reflects the conversion (the "Conversion") in connection with the Issuer's initial public offering of all outstanding shares of Series A Preferred Stock of the Issuer into (i) shares of Common Stock on a 1-for-1.05 basis and (ii) the right to receive $1.75, minus the amount of any cash dividend paid by the Issuer on such share of Series A Preferred Stock in respect of any period commencing on or after April 1, 2018. The acquisition of the Common Stock and the disposition of the Series A Preferred Stock by the Reporting Persons pursuant to the Conversion are exempt from Section 16(b) pursuant to Section 16b-3 and Section 16b-6. F1 · ownership.direct: This Form 4 is being filed jointly by (each "Reporting Person" and, collectively, the "Reporting Persons") (i) Oaktree Opportunities Fund X Holdings (Delaware), L.P. ("Fund X Delaware"), (ii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as the general partner of Fund X Delaware, (iii) Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), (iv) Oaktree Value Opportunities Fund GP, L.P. ("VOF GP") in its capacity as the general partner of VOF Holdings, (v) Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd.") in its capacity as the general partner of VOF GP, (vi) Oaktree Fund GP I, L.P. ("GP I") in its capacity as the managing member of Fund GP and the sole shareholder of VOF GP Ltd., (vii) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I, (viii) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I, [continued in FN 2] F2 · ownership.direct: [continued from FN 1] (ix) Oaktree Holdings, LLC ("Holdings") in its capacity as the managing member of Holdings I, (x) Oaktree Capital Management, L.P. ("Management") in its capacity as the sole director of VOF GP Ltd, (xi) Oaktree Holdings, Inc. ("Holdings, Inc.") in its capacity as the general partner of Management, (xii) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings and the sole shareholder of Holdings, Inc. and (xiii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly elected manager of OCG. F3 · ownership.direct: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of common stock, $0.001 par value per share, of the Issuer (the "Common Stock") reported herein. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of the Common Stock reported herein beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. F4 · ownership.direct: The Reporting Persons are deemed a director by deputization by virtue of their right to designate a person to serve on the Issuer's board of directors. F5 · ownership.direct: Reflects the conversion (the "Conversion") in connection with the Issuer's initial public offering of all outstanding shares of Series A Preferred Stock of the Issuer into (i) shares of Common Stock on a 1-for-1.05 basis and (ii) the right to receive $1.75, minus the amount of any cash dividend paid by the Issuer on such share of Series A Preferred Stock in respect of any period commencing on or after April 1, 2018. The acquisition of the Common Stock and the disposition of the Series A Preferred Stock by the Reporting Persons pursuant to the Conversion are exempt from Section 16(b) pursuant to Section 16b-3 and Section 16b-6. Read SEC document |
| June 12, 2018 Filed Jun 13, 2018 00:50 UTC | Euronav MI II Inc. GNRT · Entity 165745 | Disposition to issuerCommon Stock | 11,923,244 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-039696 · a4.xml · nonDerivative · entry 1 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · Director · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · Director · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of pursuant to a merger agreement among GNRT, Euronav NV ("Euronav") and Euronav MI Inc., a direct wholly owned subsidiary of Euronav, whereby each GNRT Common Share will be exchanged for 0.7272 ordinary shares of Euronav, such ordinary shares of Euronav having a market value of $9.20 per share on the effective date of the merger. GNRT Common Stock entitled to a fraction of a Euronav ordinary share will be entitled to receive an amount of cash (without interest, rounded to the nearest whole cent) determined by a formula outlined in the merger agreement. F2 · ownership.direct: OCM Marine Holdings TP, L.P. ("OCM Marine") directly owns the GNRT Common Stock. This Form 4 is also being filed by: (i) OCM Marine GP CTB, Ltd. ("OCM Marine GP") in its capacity as the general partner of OCM Marine; (ii) Oaktree Principal Fund V, L.P. ("PFV") in its capacity as the majority shareholder of OCM Marine GP; (iii) Oaktree Principal Fund V GP, L.P. ("PFV GP") in its capacity as the general partner of PFV; (iv) Oaktree Principal Fund V GP Ltd. ("PFV GP GP") in its capacity as the general partner of PFV GP; (v) Oaktree Fund GP I, L.P. ("GP I") in its capacity as the sole shareholder of PFV GP GP; (vi) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (vii) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F3 · ownership.direct: (cont'd from footnote 2) (ix) Oaktree Capital Management, L.P. ("OCM LP") in its capacity as the sole director of OCM Marine, GP; (x) Oaktree Holdings, Inc. ("Holdings, Inc.") in its capacity as the general partner of OCM LP; (xi) Oaktree Capital Group, LLC ("OCG") in its capacity as the sole shareholder of Holdings, Inc. and the managing member of Oaktree Holdings, LLC ("Holdings LLC"); and (xii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG (each a "Reporting Person" and, collectively, the "Reporting Persons"). F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all Common Stock 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 Common Stock covered by this Form 4. F5 · ownership.direct: OCGH GP is a limited liability company 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 held directly by OCM Marine. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock held directly by OCM Marine, except to the extent of his respective pecuniary interests 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 Common Stock covered by this Form 4. Read SEC document |
| June 12, 2018 Filed Jun 13, 2018 00:48 UTC | Euronav MI II Inc. GNRT · Entity 165745 | Disposition to issuerCommon Stock | 1,129,290 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-039692 · a4.xml · nonDerivative · entry 1 Opps Marine Holdings TP, L.P. · CIK 0001646104 · Director · 10% owner Oaktree Fund GP 2A Ltd · CIK 0001646344 · Director · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · Director · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · Director · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of pursuant to a merger agreement among GNRT, Euronav NV ("Euronav") and Euronav MI Inc., a direct wholly owned subsidiary of Euronav, whereby each GNRT Common Share will be exchanged for 0.7272 ordinary shares of Euronav, such ordinary shares of Euronav having a market value of $9.20 per share on the effective date of the merger. GNRT Common Stock entitled to a fraction of a Euronav ordinary share will be entitled to receive an amount of cash (without interest, rounded to the nearest whole cent) determined by a formula outlined in the merger agreement. F2 · ownership.direct: Opps Marine Holdings TP, L.P. ("Opps Marine") directly owns the GNRT Common Stock. This Form 4 is also being filed by: (i) Oaktree Fund GP 2A, Ltd. ("Fund GP") in its capacity as the general partner of Opps Marine; (ii) Oaktree Capital Management, L.P. ("OCM LP") in its capacity as the sole director of Fund GP; (iii) Oaktree Holdings, Inc. ("OH") in its capacity as the general partner of OCM LP; (iv) Oaktree Capital Group, LLC ("OCG") in its capacity as the sole shareholder of OH; (v) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG (each a "Reporting Person" and, collectively, the "Reporting Persons"). F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all Common Stock 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 Common Stock covered by this Form 4. F4 · ownership.direct: OCGH GP is a limited liability company 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 held directly by Opps Marine. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock held directly by OCM Marine, except to the extent of his respective pecuniary interests 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 Common Stock covered by this Form 4. Read SEC document |
| June 12, 2018 Filed Jun 13, 2018 00:40 UTC | Euronav MI II Inc. GNRT · Entity 165745 | Disposition to issuerRestricted Stock Units · Derivative | 11,214 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-039688 · a4.xml · derivative · entry 2 OCM FIE, LLC · CIK 0001498954 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · Director · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · Director · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 11,214 shares Expires not disclosed F6 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of GNRT common stock, or in the sole discretion of GNRT's Compensation Committee, the cash value of a share of GNRT common stock on the date that the restricted stock unit vests. F7 · derivative.exercise_date: Pursuant to the Merger Agreement, each restricted stock unit of GNRT became fully vested and was terminated and canceled in exchange for the right to receive 0.7272 of a Euronav ordinary share in the following manner: (i) each GNRT restricted stock unit was converted into one share of common stock, par value $0.01 per share, of the Surviving Corporation and (ii) each such share of the Surviving Corporation was contributed to Euronav in exchange for 0.7272 of a Euronav ordinary share, such ordinary shares of Euronav having a market value of $9.20 per share on the effective date of the merger. F7 · derivative.expiration_date: Pursuant to the Merger Agreement, each restricted stock unit of GNRT became fully vested and was terminated and canceled in exchange for the right to receive 0.7272 of a Euronav ordinary share in the following manner: (i) each GNRT restricted stock unit was converted into one share of common stock, par value $0.01 per share, of the Surviving Corporation and (ii) each such share of the Surviving Corporation was contributed to Euronav in exchange for 0.7272 of a Euronav ordinary share, such ordinary shares of Euronav having a market value of $9.20 per share on the effective date of the merger. F2 · ownership.nature: This Form 4 is being filed by (i) FIE, (ii) Oaktree Capital Management, L.P. ("OCM LP"), in its capacity as the managing member of FIE, (iii) Oaktree Holdings, Inc, ("Holdings") in its capacity as the general partner of OCM LP, (iv) Oaktree Capital Group, LLC ("OCG"), in its capacity as the sole shareholder of Holdings, and (v) Oaktree Capital Group Holdings GP, LLC ("OCGH GP," and together with OCM LP, Holdings, and OCG, each a "Reporting Person" and collectively, the "Reporting Persons"), in its capacity as the manager of OCG. F3 · ownership.nature: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Concurrently with the filing of this Form 4, Mr. Pierce is filing a Form 4 with respect to the securities reported herein. Pursuant to the policies of OCM LP, Mr. Pierce must hold the securities on behalf of and for the benefit of FIE and is assigning all economic, pecuniary and voting rights to FIE. The Reporting Persons disclaim beneficial ownership of these securities, and the filing of this Form 4 shall not be construed as an admission that such persons are beneficial owners of such securities covered by this Form 4, except to the extent of any indirect pecuniary interest therein. F4 · ownership.nature: OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the securities reported herein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4. F5 · ownership.nature: As a result of Mr. Pierce's position as Managing Director of OCM LP and director of GNRT, the Reporting Persons may be deemed directors by deputization. Read SEC document |
| June 12, 2018 Filed Jun 13, 2018 00:40 UTC | Euronav MI II Inc. GNRT · Entity 165745 | Disposition to issuerCommon Stock | 9,584 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-039688 · a4.xml · nonDerivative · entry 1 OCM FIE, LLC · CIK 0001498954 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · Director · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · Director · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · price: Euronav NV, ("Euronav"), Euronav MI Inc., a direct wholly-owned subsidiary of Euronav ("Merger Sub"), and GNRT are parties to the Agreement and Plan of Merger, dated as of December 20, 2017 (the "Merger Agreement"), pursuant to which Merger Sub merged with and into GNRT with GNRT as the surviving company and a wholly owned subsidiary of Euronav ("Surviving Corporation"). Pursuant to the Merger Agreement, each issued and outstanding Gener8 common share was canceled and exchanged for the right to receive 0.7272 of a Euronav ordinary share in the following manner: (i) each Gener8 common share was converted into one share of common stock, par value $0.01 per share, of the Surviving Corporation and (ii) each such share of the Surviving Corporation was contributed to Euronav in exchange for 0.7272 of a Euronav ordinary share. F2 · ownership.nature: This Form 4 is being filed by (i) FIE, (ii) Oaktree Capital Management, L.P. ("OCM LP"), in its capacity as the managing member of FIE, (iii) Oaktree Holdings, Inc, ("Holdings") in its capacity as the general partner of OCM LP, (iv) Oaktree Capital Group, LLC ("OCG"), in its capacity as the sole shareholder of Holdings, and (v) Oaktree Capital Group Holdings GP, LLC ("OCGH GP," and together with OCM LP, Holdings, and OCG, each a "Reporting Person" and collectively, the "Reporting Persons"), in its capacity as the manager of OCG. F3 · ownership.nature: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Concurrently with the filing of this Form 4, Mr. Pierce is filing a Form 4 with respect to the securities reported herein. Pursuant to the policies of OCM LP, Mr. Pierce must hold the securities on behalf of and for the benefit of FIE and is assigning all economic, pecuniary and voting rights to FIE. The Reporting Persons disclaim beneficial ownership of these securities, and the filing of this Form 4 shall not be construed as an admission that such persons are beneficial owners of such securities covered by this Form 4, except to the extent of any indirect pecuniary interest therein. F4 · ownership.nature: OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the securities reported herein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4. F5 · ownership.nature: As a result of Mr. Pierce's position as Managing Director of OCM LP and director of GNRT, the Reporting Persons may be deemed directors by deputization. Read SEC document |
| May 16, 2018 Filed May 16, 2018 22:17 UTC | STONEMOR PARTNERS LP STON · Entity 152652 | PurchaseCommon units representing partnership interests | 5,634 | $6.09 | $34,311.06 |
DisclosureSEC source: 0001144204-18-029302 · tv494413_4.xml · nonDerivative · entry 3 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 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 Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,477,857 F6 · price: The price reported in Column 4 is a weighted average price. These Common Units were acquired in multiple transactions at prices ranging from $6.08 to $6.10, inclusive. F1 · ownership.direct: By Oaktree Value Equity Holdings, L.P., a Delaware limited partnership ("VE Holdings"). This Form 4 is also being filed by (i) Oaktree Value Equity Fund GP, L.P., a Cayman Islands exempted limited partnership ("VEF GP"), in its capacity as the general partner of VE Holdings; (ii) Oaktree Value Equity Fund GP Ltd., a Cayman Islands exempted company ("VEF Ltd."), in its capacity as the general partner of VEF GP; (iii) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of VEF Ltd.; (iv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings"), in its capacity as the general partner of Management; (v) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as sole shareholder of VEF Ltd.; (vi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (continue on footnote 2) F2 · ownership.direct: (continued from footnote 1) (vii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC") in its capacity as the managing member of Holdings I; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH"), in its capacity as the duly elected manager of OCG. F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Units 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 the Common Units covered by this Form 4. F4 · ownership.direct: OCGH 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 Members"). In such capacity, the OCGH Members may be deemed to have indirect beneficial ownership of the Common Units reported herein. Each OCGH Member expressly disclaims beneficial ownership of the Common Units reported herein, 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 the Common Units covered by this Form 4. Read SEC document |
| May 15, 2018 Filed May 16, 2018 22:17 UTC | STONEMOR PARTNERS LP STON · Entity 152652 | PurchaseCommon units representing partnership interests | 12,956 | $6.05 | $78,383.80 |
DisclosureSEC source: 0001144204-18-029302 · tv494413_4.xml · nonDerivative · entry 2 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 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 Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,472,223 F5 · price: The price reported in Column 4 is a weighted average price. These Common Units were acquired in multiple transactions at prices ranging from $6.00 to $6.08, inclusive. The reporting persons undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Units sold at each separate price within the ranges set forth in footnotes (5), (6) and (7) to this Form 4. F1 · ownership.direct: By Oaktree Value Equity Holdings, L.P., a Delaware limited partnership ("VE Holdings"). This Form 4 is also being filed by (i) Oaktree Value Equity Fund GP, L.P., a Cayman Islands exempted limited partnership ("VEF GP"), in its capacity as the general partner of VE Holdings; (ii) Oaktree Value Equity Fund GP Ltd., a Cayman Islands exempted company ("VEF Ltd."), in its capacity as the general partner of VEF GP; (iii) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of VEF Ltd.; (iv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings"), in its capacity as the general partner of Management; (v) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as sole shareholder of VEF Ltd.; (vi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (continue on footnote 2) F2 · ownership.direct: (continued from footnote 1) (vii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC") in its capacity as the managing member of Holdings I; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH"), in its capacity as the duly elected manager of OCG. F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Units 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 the Common Units covered by this Form 4. F4 · ownership.direct: OCGH 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 Members"). In such capacity, the OCGH Members may be deemed to have indirect beneficial ownership of the Common Units reported herein. Each OCGH Member expressly disclaims beneficial ownership of the Common Units reported herein, 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 the Common Units covered by this Form 4. Read SEC document |
| May 14, 2018 Filed May 16, 2018 22:17 UTC | STONEMOR PARTNERS LP STON · Entity 152652 | PurchaseCommon units representing partnership interests | 1,866 | $6.00 | $11,196.00 |
DisclosureSEC source: 0001144204-18-029302 · tv494413_4.xml · nonDerivative · entry 1 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 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 Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,459,267 F1 · ownership.direct: By Oaktree Value Equity Holdings, L.P., a Delaware limited partnership ("VE Holdings"). This Form 4 is also being filed by (i) Oaktree Value Equity Fund GP, L.P., a Cayman Islands exempted limited partnership ("VEF GP"), in its capacity as the general partner of VE Holdings; (ii) Oaktree Value Equity Fund GP Ltd., a Cayman Islands exempted company ("VEF Ltd."), in its capacity as the general partner of VEF GP; (iii) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of VEF Ltd.; (iv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings"), in its capacity as the general partner of Management; (v) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as sole shareholder of VEF Ltd.; (vi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (continue on footnote 2) F2 · ownership.direct: (continued from footnote 1) (vii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC") in its capacity as the managing member of Holdings I; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH"), in its capacity as the duly elected manager of OCG. F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Units 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 the Common Units covered by this Form 4. F4 · ownership.direct: OCGH 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 Members"). In such capacity, the OCGH Members may be deemed to have indirect beneficial ownership of the Common Units reported herein. Each OCGH Member expressly disclaims beneficial ownership of the Common Units reported herein, 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 the Common Units covered by this Form 4. Read SEC document |
| May 09, 2018 Filed May 11, 2018 22:45 UTC | STONEMOR PARTNERS LP STON · Entity 152652 | PurchaseCommon units representing partnership interests | 10,000 | $6.00 | $60,000.00 |
DisclosureSEC source: 0001144204-18-027750 · tv493967_4.xml · nonDerivative · entry 1 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 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 Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,457,401 F1 · ownership.direct: By Oaktree Value Equity Holdings, L.P., a Delaware limited partnership ("VE Holdings"). This Form 4 is also being filed by (i) Oaktree Value Equity Fund GP, L.P., a Cayman Islands exempted limited partnership ("VEF GP"), in its capacity as the general partner of VE Holdings; (ii) Oaktree Value Equity Fund GP Ltd., a Cayman Islands exempted company ("VEF Ltd."), in its capacity as the general partner of VEF GP; (iii) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of VEF Ltd.; (iv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings"), in its capacity as the general partner of Management; (v) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as sole shareholder of VEF Ltd.; (vi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (continue on footnote 2) F2 · ownership.direct: (continued from footnote 1) (vii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC") in its capacity as the managing member of Holdings I; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH"), in its capacity as the duly elected manager of OCG. F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Units 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 the Common Units covered by this Form 4. F4 · ownership.direct: OCGH 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 Members"). In such capacity, the OCGH Members may be deemed to have indirect beneficial ownership of the Common Units reported herein. Each OCGH Member expressly disclaims beneficial ownership of the Common Units reported herein, 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 the Common Units covered by this Form 4. Read SEC document |
| May 03, 2018 Filed May 4, 2018 01:15 UTC | STONEMOR PARTNERS LP STON · Entity 152652 | PurchaseCommon units representing partnership interests | 3,831 | $6.03 | $23,100.93 |
DisclosureSEC source: 0001144204-18-025185 · tv493065_4.xml · nonDerivative · entry 3 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 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 Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,447,401 F7 · price: The price reported in Column 4 is a weighted average price. These Common Units were acquired in multiple transactions at prices ranging from $5.99 to $6.05, inclusive. F1 · ownership.direct: By Oaktree Value Equity Holdings, L.P., a Delaware limited partnership ("VE Holdings"). This Form 4 is also being filed by (i) Oaktree Value Equity Fund GP, L.P., a Cayman Islands exempted limited partnership ("VEF GP"), in its capacity as the general partner of VE Holdings; (ii) Oaktree Value Equity Fund GP Ltd., a Cayman Islands exempted company ("VEF Ltd."), in its capacity as the general partner of VEF GP; (iii) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of VEF Ltd.; (iv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings"), in its capacity as the general partner of Management; (v) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as sole shareholder of VEF Ltd.; (vi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (continue on footnote 2) F2 · ownership.direct: (continued from footnote 1) (vii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC") in its capacity as the managing member of Holdings I; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH"), in its capacity as the duly elected manager of OCG. F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Units 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 the Common Units covered by this Form 4. F4 · ownership.direct: OCGH 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 Members"). In such capacity, the OCGH Members may be deemed to have indirect beneficial ownership of the Common Units reported herein. Each OCGH Member expressly disclaims beneficial ownership of the Common Units reported herein, 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 the Common Units covered by this Form 4. Read SEC document |
| May 02, 2018 Filed May 4, 2018 01:15 UTC | STONEMOR PARTNERS LP STON · Entity 152652 | PurchaseCommon units representing partnership interests | 20,428 | $6.08 | $124,202.24 |
DisclosureSEC source: 0001144204-18-025185 · tv493065_4.xml · nonDerivative · entry 2 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 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 Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,443,570 F6 · price: The price reported in Column 4 is a weighted average price. These Common Units were acquired in multiple transactions at prices ranging from $5.95 to $6.15, inclusive. F1 · ownership.direct: By Oaktree Value Equity Holdings, L.P., a Delaware limited partnership ("VE Holdings"). This Form 4 is also being filed by (i) Oaktree Value Equity Fund GP, L.P., a Cayman Islands exempted limited partnership ("VEF GP"), in its capacity as the general partner of VE Holdings; (ii) Oaktree Value Equity Fund GP Ltd., a Cayman Islands exempted company ("VEF Ltd."), in its capacity as the general partner of VEF GP; (iii) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of VEF Ltd.; (iv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings"), in its capacity as the general partner of Management; (v) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as sole shareholder of VEF Ltd.; (vi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (continue on footnote 2) F2 · ownership.direct: (continued from footnote 1) (vii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC") in its capacity as the managing member of Holdings I; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH"), in its capacity as the duly elected manager of OCG. F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Units 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 the Common Units covered by this Form 4. F4 · ownership.direct: OCGH 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 Members"). In such capacity, the OCGH Members may be deemed to have indirect beneficial ownership of the Common Units reported herein. Each OCGH Member expressly disclaims beneficial ownership of the Common Units reported herein, 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 the Common Units covered by this Form 4. Read SEC document |
| May 01, 2018 Filed May 4, 2018 01:15 UTC | STONEMOR PARTNERS LP STON · Entity 152652 | PurchaseCommon units representing partnership interests | 5,600 | $5.93 | $33,208.00 |
DisclosureSEC source: 0001144204-18-025185 · tv493065_4.xml · nonDerivative · entry 1 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 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 Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,423,142 F5 · price: The price reported in Column 4 is a weighted average price. These Common Units were acquired in multiple transactions at prices ranging from $5.85 to $5.95, inclusive. The reporting persons undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Units sold at each separate price within the ranges set forth in footnotes (5), (6) and (7) to this Form 4. F1 · ownership.direct: By Oaktree Value Equity Holdings, L.P., a Delaware limited partnership ("VE Holdings"). This Form 4 is also being filed by (i) Oaktree Value Equity Fund GP, L.P., a Cayman Islands exempted limited partnership ("VEF GP"), in its capacity as the general partner of VE Holdings; (ii) Oaktree Value Equity Fund GP Ltd., a Cayman Islands exempted company ("VEF Ltd."), in its capacity as the general partner of VEF GP; (iii) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of VEF Ltd.; (iv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings"), in its capacity as the general partner of Management; (v) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as sole shareholder of VEF Ltd.; (vi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (continue on footnote 2) F2 · ownership.direct: (continued from footnote 1) (vii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC") in its capacity as the managing member of Holdings I; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH"), in its capacity as the duly elected manager of OCG. F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Units 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 the Common Units covered by this Form 4. F4 · ownership.direct: OCGH 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 Members"). In such capacity, the OCGH Members may be deemed to have indirect beneficial ownership of the Common Units reported herein. Each OCGH Member expressly disclaims beneficial ownership of the Common Units reported herein, 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 the Common Units covered by this Form 4. Read SEC document |
| April 09, 2018 Filed May 4, 2018 21:28 UTC | Vistra Corp. VST · Entity 42 | GrantCommon Stock, par value $0.01 | 3,091,718 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950142-18-001124 · es1800672_4-vistra.xml · nonDerivative · entry 1 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · Not applicable OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · Director · Not applicable Oaktree Holdings, Inc. · CIK 0001403382 · Director · Not applicable Oaktree Capital Group, LLC · CIK 0001403528 · Director · Not applicable Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 51,530,530 F1 · price: This Form 4 is being filed by Opps VIIb TCEH Holdings, LLC ("Opps Holdings") with respect to 14,765,903 shares of the Issuer's Common Stock, par value $0.01 (the "Issuer's Common Stock"), and, with respect to 36,764,627 shares of the Issuer's Common Stock (i) Oaktree Capital Management, L.P. ("Management") as the duly appointed investment manager of certain funds and accounts (the "Managed Entities") that directly own the 36,764,627 shares of the Issuer's Common Stock; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and together with Opps Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. (Cont'd on FN 2) F2 · price: (Cont'd from FN 1) This Form 4 reflects (a) 834,438 additional shares of the Issuer's Common Stock acquired by the Reporting Persons on March 31, 2017, prior to the registration of the Common Stock under the Securities Exchange Act of 1934, as amended, and (b) a decrease in beneficial ownership of 59,964 shares of the Issuer's Common Stock, as to which shares the Reporting Persons disclaimed beneficial ownership except to the extent of their pecuniary interest therein, between August 1, 2017 and March 1, 2018 due to the termination of the Reporting Persons' management of certain managed accounts. F3 · price: This Form 4 is being filed in connection with the consummation on April 9, 2018 (the "Closing Date"), of the transactions contemplated by that certain Agreement and Plan of Merger, dated October 29, 2017 (the "Merger Agreement"), by and between the Issuer, and Dynegy Inc., a Delaware corporation ("Dynegy"). Pursuant to the Merger Agreement, on the Closing Date, Dynegy merged with and into the Issuer, with the Issuer continuing as the surviving corporation (the "Merger"). The combined company will operate under the name "Vistra Energy Corp." and will continue to be a Delaware corporation. (Cont'd on FN 4) F4 · price: (Cont'd from FN 3) On the Closing Date, each issued and outstanding share of Dynegy Common Stock, other than shares owned by the Issuer or its wholly owned subsidiaries, held in treasury by Dynegy or held by a wholly owned subsidiary of Dynegy, was automatically converted into the right to receive 0.652 shares of the Issuer's Common Stock (the "Conversion"). Pursuant to the Merger Agreement, the Reporting Persons received 3,091,718 shares of the Issuer's Common Stock upon the Conversion. F1 · balance_after: This Form 4 is being filed by Opps VIIb TCEH Holdings, LLC ("Opps Holdings") with respect to 14,765,903 shares of the Issuer's Common Stock, par value $0.01 (the "Issuer's Common Stock"), and, with respect to 36,764,627 shares of the Issuer's Common Stock (i) Oaktree Capital Management, L.P. ("Management") as the duly appointed investment manager of certain funds and accounts (the "Managed Entities") that directly own the 36,764,627 shares of the Issuer's Common Stock; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and together with Opps Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. (Cont'd on FN 2) F2 · balance_after: (Cont'd from FN 1) This Form 4 reflects (a) 834,438 additional shares of the Issuer's Common Stock acquired by the Reporting Persons on March 31, 2017, prior to the registration of the Common Stock under the Securities Exchange Act of 1934, as amended, and (b) a decrease in beneficial ownership of 59,964 shares of the Issuer's Common Stock, as to which shares the Reporting Persons disclaimed beneficial ownership except to the extent of their pecuniary interest therein, between August 1, 2017 and March 1, 2018 due to the termination of the Reporting Persons' management of certain managed accounts. F3 · balance_after: This Form 4 is being filed in connection with the consummation on April 9, 2018 (the "Closing Date"), of the transactions contemplated by that certain Agreement and Plan of Merger, dated October 29, 2017 (the "Merger Agreement"), by and between the Issuer, and Dynegy Inc., a Delaware corporation ("Dynegy"). Pursuant to the Merger Agreement, on the Closing Date, Dynegy merged with and into the Issuer, with the Issuer continuing as the surviving corporation (the "Merger"). The combined company will operate under the name "Vistra Energy Corp." and will continue to be a Delaware corporation. (Cont'd on FN 4) F4 · balance_after: (Cont'd from FN 3) On the Closing Date, each issued and outstanding share of Dynegy Common Stock, other than shares owned by the Issuer or its wholly owned subsidiaries, held in treasury by Dynegy or held by a wholly owned subsidiary of Dynegy, was automatically converted into the right to receive 0.652 shares of the Issuer's Common Stock (the "Conversion"). Pursuant to the Merger Agreement, the Reporting Persons received 3,091,718 shares of the Issuer's Common Stock upon the Conversion. F5 · balance_after: The acquisition by the Reporting Persons of the Issuer's Common Stock pursuant to the Conversion is exempt from Section 16(b) pursuant to Section 16(b)-3(d). F6 · balance_after: Following the Closing Date of the Merger, the Reporting Persons beneficially owned less than 10% of the Issuer's Common Stock outstanding, and on April 24, 2018, Jennifer Box resigned from the board of directors of the Issuer. As a result, the Reporting Persons have ceased to have a reporting obligation under Section 16. F1 · ownership.nature: This Form 4 is being filed by Opps VIIb TCEH Holdings, LLC ("Opps Holdings") with respect to 14,765,903 shares of the Issuer's Common Stock, par value $0.01 (the "Issuer's Common Stock"), and, with respect to 36,764,627 shares of the Issuer's Common Stock (i) Oaktree Capital Management, L.P. ("Management") as the duly appointed investment manager of certain funds and accounts (the "Managed Entities") that directly own the 36,764,627 shares of the Issuer's Common Stock; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and together with Opps Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. (Cont'd on FN 2) F2 · ownership.nature: (Cont'd from FN 1) This Form 4 reflects (a) 834,438 additional shares of the Issuer's Common Stock acquired by the Reporting Persons on March 31, 2017, prior to the registration of the Common Stock under the Securities Exchange Act of 1934, as amended, and (b) a decrease in beneficial ownership of 59,964 shares of the Issuer's Common Stock, as to which shares the Reporting Persons disclaimed beneficial ownership except to the extent of their pecuniary interest therein, between August 1, 2017 and March 1, 2018 due to the termination of the Reporting Persons' management of certain managed accounts. F3 · ownership.nature: This Form 4 is being filed in connection with the consummation on April 9, 2018 (the "Closing Date"), of the transactions contemplated by that certain Agreement and Plan of Merger, dated October 29, 2017 (the "Merger Agreement"), by and between the Issuer, and Dynegy Inc., a Delaware corporation ("Dynegy"). Pursuant to the Merger Agreement, on the Closing Date, Dynegy merged with and into the Issuer, with the Issuer continuing as the surviving corporation (the "Merger"). The combined company will operate under the name "Vistra Energy Corp." and will continue to be a Delaware corporation. (Cont'd on FN 4) F4 · ownership.nature: (Cont'd from FN 3) On the Closing Date, each issued and outstanding share of Dynegy Common Stock, other than shares owned by the Issuer or its wholly owned subsidiaries, held in treasury by Dynegy or held by a wholly owned subsidiary of Dynegy, was automatically converted into the right to receive 0.652 shares of the Issuer's Common Stock (the "Conversion"). Pursuant to the Merger Agreement, the Reporting Persons received 3,091,718 shares of the Issuer's Common Stock upon the Conversion. F5 · ownership.nature: The acquisition by the Reporting Persons of the Issuer's Common Stock pursuant to the Conversion is exempt from Section 16(b) pursuant to Section 16(b)-3(d). F6 · ownership.nature: Following the Closing Date of the Merger, the Reporting Persons beneficially owned less than 10% of the Issuer's Common Stock outstanding, and on April 24, 2018, Jennifer Box resigned from the board of directors of the Issuer. As a result, the Reporting Persons have ceased to have a reporting obligation under Section 16. F7 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Issuer's Common Stock held by the Managed Entities. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. Read SEC document |
| April 02, 2018 Filed Apr 5, 2018 10:03 UTC | STONEMOR PARTNERS LP STON · Entity 152652 | PurchaseCommon units representing partnership interests | 72,908 | $6.04 | $440,364.32 |
DisclosureSEC source: 0001144204-18-019304 · tv490151_4.xml · nonDerivative · entry 1 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 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 Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,417,542 F5 · price: The price reported in Column 4 is a weighted average price. These Common Units were acquired in multiple transactions at prices ranging from $5.97 to $6.05, inclusive. The reporting persons undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Units sold at each separate price within the ranges set forth in footnote (5) to this Form 4. F1 · ownership.direct: By Oaktree Value Equity Holdings, L.P., a Delaware limited partnership ("VE Holdings"). This Form 4 is also being filed by (i) Oaktree Value Equity Fund GP, L.P., a Cayman Islands exempted limited partnership ("VEF GP"), in its capacity as the general partner of VE Holdings; (ii) Oaktree Value Equity Fund GP Ltd., a Cayman Islands exempted company ("VEF Ltd."), in its capacity as the general partner of VEF GP; (iii) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of VEF Ltd.; (iv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings"), in its capacity as the general partner of Management; (v) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as sole shareholder of VEF Ltd.; (vi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (continue on footnote 2) F2 · ownership.direct: (continued from footnote 1) (vii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC") in its capacity as the managing member of Holdings I; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH"), in its capacity as the duly elected manager of OCG. F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Units 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 the Common Units covered by this Form 4. F4 · ownership.direct: OCGH 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 Members"). In such capacity, the OCGH Members may be deemed to have indirect beneficial ownership of the Common Units reported herein. Each OCGH Member expressly disclaims beneficial ownership of the Common Units reported herein, 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 the Common Units covered by this Form 4. Read SEC document |
| March 29, 2018 Filed Apr 3, 2018 00:03 UTC | STONEMOR PARTNERS LP STON · Entity 152652 | PurchaseCommon units representing partnership interests | 99,961 | $6.15 | $614,760.15 |
DisclosureSEC source: 0001144204-18-018769 · tv490152_4.xml · nonDerivative · entry 1 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 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 Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,344,634 F5 · price: The price reported in Column 4 is a weighted average price. These Common Units were acquired in multiple transactions at prices ranging from $6.05 to $6.21, inclusive. The reporting persons undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Units sold at each separate price within the ranges set forth in footnote (5) to this Form 4. F1 · ownership.direct: By Oaktree Value Equity Holdings, L.P., a Delaware limited partnership ("VE Holdings"). This Form 4 is also being filed by (i) Oaktree Value Equity Fund GP, L.P., a Cayman Islands exempted limited partnership ("VEF GP"), in its capacity as the general partner of VE Holdings; (ii) Oaktree Value Equity Fund GP Ltd., a Cayman Islands exempted company ("VEF Ltd."), in its capacity as the general partner of VEF GP; (iii) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of VEF Ltd.; (iv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings"), in its capacity as the general partner of Management; (v) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as sole shareholder of VEF Ltd.; (vi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (continue on footnote 2) F2 · ownership.direct: (continued from footnote 1) (vii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC") in its capacity as the managing member of Holdings I; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH"), in its capacity as the duly elected manager of OCG. F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Units 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 the Common Units covered by this Form 4. F4 · ownership.direct: OCGH 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 Members"). In such capacity, the OCGH Members may be deemed to have indirect beneficial ownership of the Common Units reported herein. Each OCGH Member expressly disclaims beneficial ownership of the Common Units reported herein, 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 the Common Units covered by this Form 4. Read SEC document |
| March 13, 2018 Filed Mar 16, 2018 00:16 UTC | Vistra Corp. VST · Entity 42 | SaleCommon Stock, par value $0.01 | 1,821,377 | $20.15 | $36,700,746.55 |
DisclosureSEC source: 0000950142-18-000647 · es1800425_4-vistra.xml · nonDerivative · entry 1 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 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: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 47,664,300 F1 · ownership.nature: This Form 4 is being filed by Opps VIIb TCEH Holdings, LLC ("Opps Holdings") with respect to 14,765,903 shares of the Common Stock and, with respect to 32,878,397 shares of the Common Stock (i) Oaktree Capital Management, L.P. ("Management") as the duly appointed investment manager of certain funds and accounts (the "Managed Entities") that directly own the 32,878,397 shares of the Common Stock; (ii) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (iii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and together with Opps Holdings, Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F2 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by the Managed Entities. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 10:05 UTC | Oaktree Strategic Income Corp OCSI · Entity 140960 | PurchaseCommon Stock | 26,900 | $7.92 | $213,088.35 |
DisclosureSEC source: 0000899243-18-007013 · doc4.xml · nonDerivative · entry 1 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 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: Indirect · By Oaktree Capital I, L.P. Disclosed balance after: 392,000 F1 · price: The shares reported as purchased on March 8, 2018 were purchased in multiple transactions at actual purchase prices ranging from $7.80 to $7.98 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake 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 · ownership.nature: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), purchased the shares of the common stock (the "Common Stock") of Oaktree Strategic Income Corporation (the "Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG. F3 · ownership.nature: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation and the Tannenbaum Family 2012 Trust (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information. Read SEC document |
| March 07, 2018 Filed Mar 8, 2018 11:05 UTC | Oaktree Strategic Income Corp OCSI · Entity 140960 | PurchaseCommon Stock | 136,000 | $7.75 | $1,054,000.00 |
DisclosureSEC source: 0000899243-18-006777 · doc4.xml · nonDerivative · entry 2 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 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: Indirect · By Oaktree Capital I, L.P. Disclosed balance after: 365,100 F2 · ownership.nature: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), purchased the shares of the common stock (the "Common Stock") of Oaktree Strategic Income Corporation (the "Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG. F3 · ownership.nature: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings, L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation and the Tannenbaum Family 2012 Trust (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information. Read SEC document |
| March 06, 2018 Filed Mar 8, 2018 11:05 UTC | Oaktree Strategic Income Corp OCSI · Entity 140960 | PurchaseCommon Stock | 26,900 | $7.74 | $208,071.50 |
DisclosureSEC source: 0000899243-18-006777 · doc4.xml · nonDerivative · entry 1 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 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: Indirect · By Oaktree Capital I, L.P. Disclosed balance after: 229,100 F1 · price: The shares reported as purchased on March 6, 2018 were purchased in multiple transactions at actual purchase prices ranging from $7.72 to $7.74 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake 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 · ownership.nature: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), purchased the shares of the common stock (the "Common Stock") of Oaktree Strategic Income Corporation (the "Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG. F3 · ownership.nature: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings, L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation and the Tannenbaum Family 2012 Trust (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information. Read SEC document |
| March 02, 2018 Filed Mar 7, 2018 02:58 UTC | STONEMOR PARTNERS LP STON · Entity 152652 | PurchaseCommon units representing partnership interests | 12,373 | $6.00 | $74,238.00 |
DisclosureSEC source: 0001144204-18-013181 · tv487933_4.xml · nonDerivative · entry 1 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 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 Oaktree Holdings, Inc. · CIK 0001403382 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,244,673 F5 · price: The price reported in Column 4 is a weighted average price. These Common Units were acquired in multiple transactions at prices ranging from $5.98 to $6.00, inclusive. The reporting persons undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Units sold at each separate price within the ranges set forth in footnote (5) to this Form 4. F1 · ownership.direct: By Oaktree Value Equity Holdings, L.P., a Delaware limited partnership ("VE Holdings"). This Form 4 is also being filed by (i) Oaktree Value Equity Fund GP, L.P., a Cayman Islands exempted limited partnership ("VEF GP"), in its capacity as the general partner of VE Holdings; (ii) Oaktree Value Equity Fund GP Ltd., a Cayman Islands exempted company ("VEF Ltd."), in its capacity as the general partner of VEF GP; (iii) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of VEF Ltd.; (iv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings"), in its capacity as the general partner of Management; (v) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as sole shareholder of VEF Ltd.; (vi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (continue on footnote 2) F2 · ownership.direct: (continued from footnote 1) (vii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC") in its capacity as the managing member of Holdings I; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH"), in its capacity as the duly elected manager of OCG. F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Common Units 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 the Common Units covered by this Form 4. F4 · ownership.direct: OCGH 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 Members"). In such capacity, the OCGH Members may be deemed to have indirect beneficial ownership of the Common Units reported herein. Each OCGH Member expressly disclaims beneficial ownership of the Common Units reported herein, 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 the Common Units covered by this Form 4. Read SEC document |
| February 27, 2018 Filed Feb 28, 2018 11:15 UTC | Oaktree Strategic Income Corp OCSI · Entity 140960 | PurchaseCommon Stock | 24,900 | $7.77 | $193,517.82 |
DisclosureSEC source: 0000899243-18-005739 · doc4.xml · nonDerivative · entry 2 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 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: Indirect · By Oaktree Capital I, L.P. Disclosed balance after: 202,200 F2 · price: The shares reported as purchased on February 27, 2018 were purchased in multiple transactions at actual purchase prices ranging from $7.75 to $7.78 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake 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. F3 · ownership.nature: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I") purchased shares of the common stock (the "Common Stock") of Oaktree Specialty Lending Corporation ("Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG. F4 · ownership.nature: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings, L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation and the Tannenbaum Family 2012 Trust (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 11:15 UTC | Oaktree Strategic Income Corp OCSI · Entity 140960 | PurchaseCommon Stock | 24,900 | $7.83 | $194,867.40 |
DisclosureSEC source: 0000899243-18-005739 · doc4.xml · nonDerivative · entry 1 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 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: Indirect · By Oaktree Capital I, L.P. Disclosed balance after: 177,300 F1 · price: The shares reported as purchased on February 26, 2018 were purchased in multiple transactions at actual purchase prices ranging from $7.805 to $7.83 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake 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. F3 · ownership.nature: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I") purchased shares of the common stock (the "Common Stock") of Oaktree Specialty Lending Corporation ("Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG. F4 · ownership.nature: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings, L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation and the Tannenbaum Family 2012 Trust (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information. Read SEC document |
| February 23, 2018 Filed Feb 26, 2018 11:06 UTC | Oaktree Strategic Income Corp OCSI · Entity 140960 | PurchaseCommon Stock | 23,700 | $7.72 | $182,897.64 |
DisclosureSEC source: 0000899243-18-005387 · doc4.xml · nonDerivative · entry 2 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 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: Indirect · By Oaktree Capital I, L.P. Disclosed balance after: 152,400 F2 · price: The shares reported as purchased on February 23, 2018 were purchased in multiple transactions at actual purchase prices ranging from $7.70 to $7.72 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake 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. F3 · ownership.nature: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I") purchased shares of the common stock (the "Common Stock") of Oaktree Specialty Lending Corporation ("Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG. F4 · ownership.nature: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings, L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation and the Tannenbaum Family 2012 Trust (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information. Read SEC document |
| February 22, 2018 Filed Feb 26, 2018 11:06 UTC | Oaktree Strategic Income Corp OCSI · Entity 140960 | PurchaseCommon Stock | 23,700 | $7.72 | $182,916.60 |
DisclosureSEC source: 0000899243-18-005387 · doc4.xml · nonDerivative · entry 1 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Holdings, Inc. · CIK 0001403382 · 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: Indirect · By Oaktree Capital I, L.P. Disclosed balance after: 128,700 F1 · price: The shares reported as purchased on February 22, 2018 were purchased in multiple transactions at actual purchase prices ranging from $7.67 to $7.73 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake 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. F3 · ownership.nature: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I") purchased shares of the common stock (the "Common Stock") of Oaktree Specialty Lending Corporation ("Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG. F4 · ownership.nature: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings, L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation and the Tannenbaum Family 2012 Trust (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information. 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.