person · Reporting owner

Frank John

Disclosed activity across 8 companies

Tapewire entity: 10755
SEC CIK: 0001372819

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Brookfield Oaktree Holdings, LLCOAK · Entity 8960	Director · Vice Chairman	September 30, 2019	October 02, 2019
CHEVRON CORPCVX · Entity 2804	Director	May 27, 2026	May 29, 2026
DAILY JOURNAL CORPDJCO · Entity 5065	Director	December 16, 2025	December 17, 2025
Hims & Hers Health, Inc.OAC · Entity 1878	Director	July 17, 2019	July 18, 2019
Oaktree Acquisition Corp. IIOACB · Entity 142657	Director	September 16, 2020	September 16, 2020
Oaktree Acquisition Corp. III Life SciencesOACC · Entity 6078	Director	October 23, 2024	October 24, 2024
Oaktree Specialty Lending CorpOCSL · Entity 4863	Director	March 19, 2021	March 23, 2021

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.

Brookfield Oaktree Holdings, LLC

Report date September 30, 2019 · Filed October 02, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A UnitsSEC Table I · non-derivative	Direct	0	Reported balance After 2019-09-30 transaction · row 1 1 source row Row 1 · 2019-09-30 · Disposition to issuer · Disposed 41,667 · Balance 0 F1: On September 30, 2019, Brookfield Asset Management Inc. ("Brookfield") and Oaktree Capital Group, LLC ("Oaktree") completed the transactions contemplated by the Agreement and Plan of Merger, dated as of March 13, 2019, among Oaktree, Brookfield, Berlin Merger Sub, LLC, Oslo Holdings LLC and Oslo Holdings Merger Sub LLC (the "Merger Agreement"), pursuant to which Brookfield acquired approximately 61.2% of the Oaktree business (the "Merger"). Pursuant to the Merger Agreement, each vested Class A Unit of Oaktree was disposed of in exchange for either (A) $49.00 in cash or (B) 1.0770 Class A Limited Voting Shares of Brookfield, in each case, subject to the merger consideration election made by the reporting person and the proration adjustment set forth in the Merger Agreement (the "Merger Consideration").
OCGH UnitsSEC Table II · derivative / convertible security	Direct	1,179,717	Reported balance After 2019-09-30 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-09-30 · Disposition to issuer · Disposed 292,432 · Balance 1,179,717 F2: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F3: Pursuant to the Merger Agreement, 20% of the aggregate of the reporting person's vested limited partnership units of OCGH were exchanged for Merger Consideration.
OCGH UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2019-09-30 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2019-09-30 · Disposition to issuer · Disposed 1,179,717 · Balance 0 F2: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree.
OCGH UnitsSEC Table II · derivative / convertible security	IndirectBy trust	99,043	Reported balance After 2019-09-30 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2019-09-30 · Disposition to issuer · Disposed 14,759 · Balance 99,043 F2: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F3: Pursuant to the Merger Agreement, 20% of the aggregate of the reporting person's vested limited partnership units of OCGH were exchanged for Merger Consideration. F5: Held by a trust controlled by Mr. Frank in his capacity as trustee.
OCGH UnitsSEC Table II · derivative / convertible security	IndirectBy trust	0	Reported balance After 2019-09-30 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2019-09-30 · Disposition to issuer · Disposed 99,043 · Balance 0 F2: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F5: Held by a trust controlled by Mr. Frank in his capacity as trustee.
OCGH UnitsSEC Table II · derivative / convertible security	IndirectBy trust	57,947	Reported balance After 2019-09-30 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2019-09-30 · Disposition to issuer · Disposed 14,485 · Balance 57,947 F2: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F3: Pursuant to the Merger Agreement, 20% of the aggregate of the reporting person's vested limited partnership units of OCGH were exchanged for Merger Consideration. F6: Held by a trust controlled by Mr. Frank in his capacity as trustee.
OCGH UnitsSEC Table II · derivative / convertible security	IndirectBy trust	0	Reported balance After 2019-09-30 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2019-09-30 · Disposition to issuer · Disposed 57,947 · Balance 0 F2: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F6: Held by a trust controlled by Mr. Frank in his capacity as trustee.
OCGH UnitsSEC Table II · derivative / convertible security	IndirectBy trust	75,945	Reported balance After 2019-09-30 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2019-09-30 · Disposition to issuer · Disposed 18,986 · Balance 75,945 F2: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F3: Pursuant to the Merger Agreement, 20% of the aggregate of the reporting person's vested limited partnership units of OCGH were exchanged for Merger Consideration. F7: Held by a trust controlled by Mr. Frank in his capacity as trustee.
OCGH UnitsSEC Table II · derivative / convertible security	IndirectBy trust	0	Reported balance After 2019-09-30 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2019-09-30 · Disposition to issuer · Disposed 75,945 · Balance 0 F2: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F7: Held by a trust controlled by Mr. Frank in his capacity as trustee.

Filing footnotes · ownership attribution and instrument terms

F1: On September 30, 2019, Brookfield Asset Management Inc. ("Brookfield") and Oaktree Capital Group, LLC ("Oaktree") completed the transactions contemplated by the Agreement and Plan of Merger, dated as of March 13, 2019, among Oaktree, Brookfield, Berlin Merger Sub, LLC, Oslo Holdings LLC and Oslo Holdings Merger Sub LLC (the "Merger Agreement"), pursuant to which Brookfield acquired approximately 61.2% of the Oaktree business (the "Merger"). Pursuant to the Merger Agreement, each vested Class A Unit of Oaktree was disposed of in exchange for either (A) $49.00 in cash or (B) 1.0770 Class A Limited Voting Shares of Brookfield, in each case, subject to the merger consideration election made by the reporting person and the proration adjustment set forth in the Merger Agreement (the "Merger Consideration").

F2: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments.

F3: Pursuant to the Merger Agreement, 20% of the aggregate of the reporting person's vested limited partnership units of OCGH were exchanged for Merger Consideration.

F4: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree.

F5: Held by a trust controlled by Mr. Frank in his capacity as trustee.

F6: Held by a trust controlled by Mr. Frank in his capacity as trustee.

F7: Held by a trust controlled by Mr. Frank in his capacity as trustee.

CHEVRON CORP

Report date May 27, 2026 · Filed May 29, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	20,333	Reported balance After 2026-05-27 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2026-05-27 · Grant · Acquired 1,272 · Balance 20,333 F1: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. F2: This number includes the acquisition of dividend equivalent accruals on stock units (789) issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan.
Common StockSEC Table I · non-derivative	IndirectBy Frank and Kim Living Trust	2,650	Reported balance Holding disclosure · report date 2026-05-27 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 2,650

Filing footnotes · ownership attribution and instrument terms

F1: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan.

F2: This number includes the acquisition of dividend equivalent accruals on stock units (789) issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan.

DAILY JOURNAL CORP

Report date December 16, 2025 · Filed December 17, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	115	Reported balance After 2025-12-16 transaction · row 1 1 source row Row 1 · 2025-12-16 · Grant · Acquired 50 · Balance 115

Hims & Hers Health, Inc.

Report date July 17, 2019 · Filed July 18, 2019

This filing explicitly reported no securities owned.

Oaktree Acquisition Corp. II

Report date September 16, 2020 · Filed September 16, 2020

This filing explicitly reported no securities owned.

Oaktree Acquisition Corp. III Life Sciences

Report date October 23, 2024 · Filed October 24, 2024

This filing explicitly reported no securities owned.

Oaktree Specialty Lending Corp

Report date March 19, 2021 · Filed March 23, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.01 per shareSEC Table I · non-derivative	Direct	44,663	Reported balance After 2021-03-19 transaction · row 1 1 source row Row 1 · 2021-03-19 · Grant · Acquired 15,879 · Balance 44,663 F1: Acquired upon the completion of and pursuant to the transactions contemplated by the Agreement and Plan of Merger, dated as of October 28, 2020 (the "Merger Agreement"), by and among the Issuer, Oaktree Strategic Income Corporation ("OCSI"), Lion Merger Sub, Inc. and Oaktree Fund Advisors, LLC (for the limited purposes set forth therein), in exchange for 11,876 shares of common stock, par value $0.01 per share of OCSI. Pursuant to the Merger Agreement, each share of OCSI's common stock, having a market value of $8.51 per share at the close of trading on March 18, 2021, was converted into the right to receive 1.3371 shares of the Issuer's common stock, par value $0.01 per share, having a market value of $6.16 per share at the close of trading on March 18, 2021. The acquisition reported in this Form 4 is an exempt transaction.

Filing footnotes · ownership attribution and instrument terms

F1: Acquired upon the completion of and pursuant to the transactions contemplated by the Agreement and Plan of Merger, dated as of October 28, 2020 (the "Merger Agreement"), by and among the Issuer, Oaktree Strategic Income Corporation ("OCSI"), Lion Merger Sub, Inc. and Oaktree Fund Advisors, LLC (for the limited purposes set forth therein), in exchange for 11,876 shares of common stock, par value $0.01 per share of OCSI. Pursuant to the Merger Agreement, each share of OCSI's common stock, having a market value of $8.51 per share at the close of trading on March 18, 2021, was converted into the right to receive 1.3371 shares of the Issuer's common stock, par value $0.01 per share, having a market value of $6.16 per share at the close of trading on March 18, 2021. The acquisition reported in this Form 4 is an exempt transaction.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Oaktree Strategic Income Corp

Report date March 19, 2021 · Filed March 23, 2021

Section 16 reporting ended · disclosed 2021-03-23. 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	Direct	0	Reported balance After 2021-03-19 transaction · row 1 1 source row Row 1 · 2021-03-19 · Disposition to issuer · Disposed 11,876 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of October 28, 2020 (the "Merger Agreement"), by and among the Issuer, Oaktree Specialty Lending Corporation ("OCSL"), Lion Merger Sub, Inc. and Oaktree Fund Advisors LLC (for the limited purposes set forth therein), in exchange for 15,879 shares of common stock, par value $0.01 per share, of OCSL. Pursuant to the Merger Agreement, each share of common stock, par value $0.01 per share, of the Issuer was converted into the right to receive 1.3371 shares of OCSL common stock, par value $0.01 per share, having a market value of $6.16 per share at the close of trading on March 18, 2021. The disposition reported in this Form 4 is an exempt transaction.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of October 28, 2020 (the "Merger Agreement"), by and among the Issuer, Oaktree Specialty Lending Corporation ("OCSL"), Lion Merger Sub, Inc. and Oaktree Fund Advisors LLC (for the limited purposes set forth therein), in exchange for 15,879 shares of common stock, par value $0.01 per share, of OCSL. Pursuant to the Merger Agreement, each share of common stock, par value $0.01 per share, of the Issuer was converted into the right to receive 1.3371 shares of OCSL common stock, par value $0.01 per share, having a market value of $6.16 per share at the close of trading on March 18, 2021. The disposition reported in this Form 4 is an exempt transaction.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
May 27, 2026 Filed May 29, 2026 20:20 UTC	CHEVRON CORP CVX · Entity 2804	GrantCommon Stock	1,272	$0.00	$0.00	Disclosure SEC source: 0000093410-26-000129 · form4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,333 F1 · shares: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. F2 · balance_after: This number includes the acquisition of dividend equivalent accruals on stock units (789) issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. Read SEC document
December 16, 2025 Filed Dec 17, 2025 22:08 UTC	DAILY JOURNAL CORP DJCO · Entity 5065	GrantCommon Stock	50	$0.00	$0.00	Disclosure SEC source: 0001437749-25-038179 · rdgdoc.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 115 Read SEC document
May 28, 2025 Filed May 30, 2025 00:44 UTC	CHEVRON CORP CVX · Entity 2804	GrantCommon Stock	1,704	$0.00	$0.00	Disclosure SEC source: 0001127602-25-015936 · form4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,272 F1 · shares: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. F2 · balance_after: This number includes the acquisition of dividend equivalent accruals on stock units (686) issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. Read SEC document
December 13, 2024 Filed Oct 3, 2025 20:32 UTC	DAILY JOURNAL CORP DJCO · Entity 5065	GrantCommon Stock	44	$0.00	$0.00	Disclosure SEC source: 0001437749-25-030488 · rdgdoc.xml · nonDerivative · entry 2 Frank John · CIK 0001372819 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 65 Read SEC document
May 29, 2024 Filed May 30, 2024 23:36 UTC	CHEVRON CORP CVX · Entity 2804	GrantCommon Stock	1,477	$0.00	$0.00	Disclosure SEC source: 0001127602-24-017022 · form4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,882 F1 · shares: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. F2 · balance_after: This number includes the acquisition of dividend equivalent accruals on stock units (548) issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. Read SEC document
May 23, 2024 Filed Oct 3, 2025 20:32 UTC	DAILY JOURNAL CORP DJCO · Entity 5065	GrantCommon Stock	21	$0.00	$0.00	Disclosure SEC source: 0001437749-25-030488 · rdgdoc.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21 Read SEC document
May 31, 2023 Filed Jun 2, 2023 20:17 UTC	CHEVRON CORP CVX · Entity 2804	GrantCommon Stock	1,534	$0.00	$0.00	Disclosure SEC source: 0001127602-23-017531 · form4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,857 F1 · shares: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. F2 · balance_after: This number includes the acquisition of dividend equivalent accruals on stock units (408) issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. Read SEC document
May 25, 2022 Filed May 27, 2022 20:19 UTC	CHEVRON CORP CVX · Entity 2804	GrantCommon Stock	1,303	$0.00	$0.00	Disclosure SEC source: 0001127602-22-015858 · form4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,915 F1 · shares: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. F2 · balance_after: This number includes the acquisition of dividend equivalent accruals on stock units (448) issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. Read SEC document
May 26, 2021 Filed May 28, 2021 20:20 UTC	CHEVRON CORP CVX · Entity 2804	GrantNon-Qualified Stock Option (Right to Buy) · Derivative	2,410	$0.00 Strike: $104.12	$0.00	Disclosure SEC source: 0001127602-21-018319 · form4.xml · derivative · entry 3 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,410 Underlying: Common Stock · 2,410 shares Expires 2031-05-26 F3 · security: Stock option granted in lieu of a portion of the annual cash retainer at the Director's election. F4 · derivative.exercise_date: The option vests as follows: 50 percent on November 26, 2021 and the remaining 50 percent on the earlier of the last day of the Annual Compensation Cycle to which the grant relates or May 26, 2022. Read SEC document
May 26, 2021 Filed May 28, 2021 20:20 UTC	CHEVRON CORP CVX · Entity 2804	GrantCommon Stock	2,166	$0.00	$0.00	Disclosure SEC source: 0001127602-21-018319 · form4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,164 F1 · shares: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. F2 · balance_after: This number includes the acquisition of dividend equivalent accruals on stock units (200) issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. Read SEC document
March 19, 2021 Filed Mar 23, 2021 20:00 UTC	Oaktree Specialty Lending Corp OCSL · Entity 4863	GrantCommon Stock, par value $0.01 per share	15,879	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-21-013140 · doc4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,663 F1 · price: Acquired upon the completion of and pursuant to the transactions contemplated by the Agreement and Plan of Merger, dated as of October 28, 2020 (the "Merger Agreement"), by and among the Issuer, Oaktree Strategic Income Corporation ("OCSI"), Lion Merger Sub, Inc. and Oaktree Fund Advisors, LLC (for the limited purposes set forth therein), in exchange for 11,876 shares of common stock, par value $0.01 per share of OCSI. Pursuant to the Merger Agreement, each share of OCSI's common stock, having a market value of $8.51 per share at the close of trading on March 18, 2021, was converted into the right to receive 1.3371 shares of the Issuer's common stock, par value $0.01 per share, having a market value of $6.16 per share at the close of trading on March 18, 2021. The acquisition reported in this Form 4 is an exempt transaction. Read SEC document
March 19, 2021 Filed Mar 23, 2021 20:00 UTC	Oaktree Strategic Income Corp OCSI · Entity 140960	Disposition to issuerCommon Stock, par value $0.01 per share	11,876	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-21-013134 · doc4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of pursuant to the Agreement and Plan of Merger, dated as of October 28, 2020 (the "Merger Agreement"), by and among the Issuer, Oaktree Specialty Lending Corporation ("OCSL"), Lion Merger Sub, Inc. and Oaktree Fund Advisors LLC (for the limited purposes set forth therein), in exchange for 15,879 shares of common stock, par value $0.01 per share, of OCSL. Pursuant to the Merger Agreement, each share of common stock, par value $0.01 per share, of the Issuer was converted into the right to receive 1.3371 shares of OCSL common stock, par value $0.01 per share, having a market value of $6.16 per share at the close of trading on March 18, 2021. The disposition reported in this Form 4 is an exempt transaction. Read SEC document
November 06, 2020 Filed Nov 10, 2020 21:39 UTC	CHEVRON CORP CVX · Entity 2804	PurchaseCommon Stock	500	$71.30	$35,650.90	Disclosure SEC source: 0001127602-20-028639 · form4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Frank and Kim Living Trust Disclosed balance after: 2,650 Read SEC document
May 27, 2020 Filed May 29, 2020 21:28 UTC	CHEVRON CORP CVX · Entity 2804	GrantNon-Qualified Stock Option (Right to Buy) · Derivative	2,655	$0.00 Strike: $93.90	$0.00	Disclosure SEC source: 0001127602-20-018176 · form4.xml · derivative · entry 3 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,655 Underlying: Common Stock · 2,655 shares Expires 2030-05-27 F3 · security: Stock option granted in lieu of a portion of the annual cash retainer at the Director's election. F4 · derivative.exercise_date: The option vests as follows: 50 percent on November 27, 2020 and the remaining 50 percent on the earlier of the last day of the Annual Compensation Cycle to which the grant relates or May 27, 2021. Read SEC document
May 27, 2020 Filed May 29, 2020 21:28 UTC	CHEVRON CORP CVX · Entity 2804	GrantCommon Stock	2,411	$0.00	$0.00	Disclosure SEC source: 0001127602-20-018176 · form4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,603 F1 · shares: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. F2 · balance_after: This number includes the acquisition of dividend equivalent accruals on stock units (78) issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. Read SEC document
February 28, 2020 Filed Mar 2, 2020 23:37 UTC	CHEVRON CORP CVX · Entity 2804	PurchaseCommon Stock	500	$91.79	$45,892.50	Disclosure SEC source: 0001127602-20-008690 · form4.xml · nonDerivative · entry 2 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Frank and Kim Living Trust Disclosed balance after: 2,150 Read SEC document
February 27, 2020 Filed Mar 2, 2020 23:37 UTC	CHEVRON CORP CVX · Entity 2804	PurchaseCommon Stock	500	$95.98	$47,992.25	Disclosure SEC source: 0001127602-20-008690 · form4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Frank and Kim Living Trust Disclosed balance after: 1,650 Read SEC document
February 24, 2020 Filed Feb 26, 2020 21:44 UTC	CHEVRON CORP CVX · Entity 2804	PurchaseCommon Stock	400	$104.61	$41,844.00	Disclosure SEC source: 0001127602-20-007967 · form4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Frank and Kim Living Trust Disclosed balance after: 1,150 Read SEC document
February 06, 2020 Filed Feb 10, 2020 21:49 UTC	CHEVRON CORP CVX · Entity 2804	PurchaseCommon Stock	500	$109.85	$54,924.60	Disclosure SEC source: 0001127602-20-004650 · form4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Frank and Kim Living Trust Disclosed balance after: 750 F1 · balance_after: These shares are held by the Frank and Kim Living Trust. Includes 250 shares that the reporting person previously reported as directly owned. Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:46 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	Disposition to issuerOCGH Units · Derivative	75,945	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-19-024706 · doc4.xml · derivative · entry 9 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 0 Underlying: Class A Units · 75,945 shares Expires not disclosed F2 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4 · derivative.exercise_price: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F4 · price: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F2 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4 · derivative.exercise_date: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F2 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4 · derivative.expiration_date: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F2 · derivative.underlying: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4 · derivative.underlying: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F4 · balance_after: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F7 · ownership.nature: Held by a trust controlled by Mr. Frank in his capacity as trustee. Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:46 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	Disposition to issuerOCGH Units · Derivative	18,986	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-19-024706 · doc4.xml · derivative · entry 8 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 75,945 Underlying: Class A Units · 18,986 shares Expires not disclosed F2 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F3 · price: Pursuant to the Merger Agreement, 20% of the aggregate of the reporting person's vested limited partnership units of OCGH were exchanged for Merger Consideration. F2 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F2 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F7 · ownership.nature: Held by a trust controlled by Mr. Frank in his capacity as trustee. Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:46 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	Disposition to issuerOCGH Units · Derivative	57,947	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-19-024706 · doc4.xml · derivative · entry 7 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 0 Underlying: Class A Units · 57,947 shares Expires not disclosed F2 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4 · derivative.exercise_price: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F4 · price: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F2 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4 · derivative.exercise_date: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F2 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4 · derivative.expiration_date: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F2 · derivative.underlying: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4 · derivative.underlying: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F4 · balance_after: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F6 · ownership.nature: Held by a trust controlled by Mr. Frank in his capacity as trustee. Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:46 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	Disposition to issuerOCGH Units · Derivative	14,485	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-19-024706 · doc4.xml · derivative · entry 6 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 57,947 Underlying: Class A Units · 14,485 shares Expires not disclosed F2 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F3 · price: Pursuant to the Merger Agreement, 20% of the aggregate of the reporting person's vested limited partnership units of OCGH were exchanged for Merger Consideration. F2 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F2 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F6 · ownership.nature: Held by a trust controlled by Mr. Frank in his capacity as trustee. Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:46 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	Disposition to issuerOCGH Units · Derivative	99,043	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-19-024706 · doc4.xml · derivative · entry 5 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 0 Underlying: Class A Units · 99,043 shares Expires not disclosed F2 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4 · derivative.exercise_price: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F4 · price: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F2 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4 · derivative.exercise_date: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F2 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4 · derivative.expiration_date: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F2 · derivative.underlying: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4 · derivative.underlying: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F4 · balance_after: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F5 · ownership.nature: Held by a trust controlled by Mr. Frank in his capacity as trustee. Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:46 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	Disposition to issuerOCGH Units · Derivative	14,759	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-19-024706 · doc4.xml · derivative · entry 4 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 99,043 Underlying: Class A Units · 14,759 shares Expires not disclosed F2 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F3 · price: Pursuant to the Merger Agreement, 20% of the aggregate of the reporting person's vested limited partnership units of OCGH were exchanged for Merger Consideration. F2 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F2 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F5 · ownership.nature: Held by a trust controlled by Mr. Frank in his capacity as trustee. Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:46 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	Disposition to issuerOCGH Units · Derivative	1,179,717	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-19-024706 · doc4.xml · derivative · entry 3 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Units · 1,179,717 shares Expires not disclosed F2 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4 · derivative.exercise_price: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F4 · price: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F2 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4 · derivative.exercise_date: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F2 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4 · derivative.expiration_date: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F2 · derivative.underlying: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F4 · derivative.underlying: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F4 · balance_after: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:46 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	Disposition to issuerOCGH Units · Derivative	292,432	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-19-024706 · doc4.xml · derivative · entry 2 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,179,717 Underlying: Class A Units · 292,432 shares Expires not disclosed F2 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F3 · price: Pursuant to the Merger Agreement, 20% of the aggregate of the reporting person's vested limited partnership units of OCGH were exchanged for Merger Consideration. F2 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F2 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:46 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	Disposition to issuerClass A Units	41,667	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-19-024706 · doc4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: On September 30, 2019, Brookfield Asset Management Inc. ("Brookfield") and Oaktree Capital Group, LLC ("Oaktree") completed the transactions contemplated by the Agreement and Plan of Merger, dated as of March 13, 2019, among Oaktree, Brookfield, Berlin Merger Sub, LLC, Oslo Holdings LLC and Oslo Holdings Merger Sub LLC (the "Merger Agreement"), pursuant to which Brookfield acquired approximately 61.2% of the Oaktree business (the "Merger"). Pursuant to the Merger Agreement, each vested Class A Unit of Oaktree was disposed of in exchange for either (A) $49.00 in cash or (B) 1.0770 Class A Limited Voting Shares of Brookfield, in each case, subject to the merger consideration election made by the reporting person and the proration adjustment set forth in the Merger Agreement (the "Merger Consideration"). Read SEC document
May 29, 2019 Filed May 31, 2019 21:46 UTC	CHEVRON CORP CVX · Entity 2804	GrantNon-Qualified Stock Option (Right to Buy) · Derivative	5,043	$0.00 Strike: $116.77	$0.00	Disclosure SEC source: 0001127602-19-020354 · form4.xml · derivative · entry 2 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,043 Underlying: Common Stock · 5,043 shares Expires 2029-05-29 F3 · security: Stock option granted in lieu of the annual cash retainer at the Director's election. F4 · derivative.exercise_date: The option vests as follows: 50 percent on November 29, 2019 and the remaining 50 percent on the earlier of the last day of the Annual Compensation Cycle to which the grant relates or May 29, 2020. Read SEC document
May 29, 2019 Filed May 31, 2019 21:46 UTC	CHEVRON CORP CVX · Entity 2804	GrantCommon Stock	1,901	$0.00	$0.00	Disclosure SEC source: 0001127602-19-020354 · form4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,234 F1 · shares: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. F2 · balance_after: This number includes the acquisition of dividend equivalent accruals on stock units (99) issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. Read SEC document
May 15, 2019 Filed May 17, 2019 22:32 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	Exercise / conversionOCGH Units · Derivative	100,000	$0.00	$0.00	Disclosure SEC source: 0000899243-19-014043 · doc4.xml · derivative · entry 3 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,472,149 Underlying: Class A Units · 100,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In furtherance of a charitable contribution, the Reporting Person exchanged 100,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 100,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 4 and 5 below. F2 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F3 · derivative.exercise_price: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · kind: In furtherance of a charitable contribution, the Reporting Person exchanged 100,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 100,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 4 and 5 below. F2 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F3 · derivative.exercise_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F3 · derivative.expiration_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document
May 15, 2019 Filed May 17, 2019 22:32 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	GiftClass A Units	100,000	$0.00	$0.00	Disclosure SEC source: 0000899243-19-014043 · doc4.xml · nonDerivative · entry 2 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,667 Read SEC document
May 15, 2019 Filed May 17, 2019 22:32 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	Exercise / conversionClass A Units	100,000	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-19-014043 · doc4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,667 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: In furtherance of a charitable contribution, the Reporting Person exchanged 100,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 100,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 4 and 5 below. F1 · price: In furtherance of a charitable contribution, the Reporting Person exchanged 100,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 100,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 4 and 5 below. F2 · price: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F3 · price: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document
May 30, 2018 Filed Jun 1, 2018 20:37 UTC	CHEVRON CORP CVX · Entity 2804	GrantNon-Qualified Stock Option (Right to Buy) · Derivative	4,305	$0.00 Strike: $125.16	$0.00	Disclosure SEC source: 0001127602-18-019530 · form4.xml · derivative · entry 2 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,305 Underlying: Common Stock · 4,305 shares Expires 2028-05-30 F3 · security: Stock option granted in lieu of the annual cash retainer at the Director's election. F4 · derivative.exercise_date: The option vests as follows: 50 percent on November 30, 2018 and the remaining 50 percent on the earlier of the last day of the Annual Compensation Cycle to which the grant relates or May 30, 2019. Read SEC document
May 30, 2018 Filed Jun 1, 2018 20:37 UTC	CHEVRON CORP CVX · Entity 2804	GrantCommon Stock	1,853	$0.00	$0.00	Disclosure SEC source: 0001127602-18-019530 · form4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,234 F1 · shares: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. F2 · balance_after: This number includes the acquisition of dividend equivalent accruals on stock units (11) issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. Read SEC document
February 12, 2018 Filed Feb 15, 2018 11:06 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	Exercise / conversionOCGH Units · Derivative	35,141	$43.95	$1,544,446.95	Disclosure SEC source: 0000899243-18-004095 · doc4.xml · derivative · entry 5 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,507,149 Underlying: Class A Units · 35,141 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In connection with the February 2018 public offering (the "Offering") of the Issuer's Class A units (the "Class A units"), Mr. Frank, three trusts controlled by Mr. Frank in his capacity as trustee and a family limited liability company controlled by Mr. Frank exchanged an aggregate of 119,145 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for cash at a purchase price per OCGH unit of $43.95, which is equal to the price per Class A unit in the Offering paid to the Issuer by the underwriter, with adjustments to account for (i) financial advisory fees paid by the Issuer and (ii) the Reporting Person's disproportionate interest in the historical incentive income of certain of the Issuer's closed-end funds, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_price: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · kind: In connection with the February 2018 public offering (the "Offering") of the Issuer's Class A units (the "Class A units"), Mr. Frank, three trusts controlled by Mr. Frank in his capacity as trustee and a family limited liability company controlled by Mr. Frank exchanged an aggregate of 119,145 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for cash at a purchase price per OCGH unit of $43.95, which is equal to the price per Class A unit in the Offering paid to the Issuer by the underwriter, with adjustments to account for (i) financial advisory fees paid by the Issuer and (ii) the Reporting Person's disproportionate interest in the historical incentive income of certain of the Issuer's closed-end funds, as further described in footnotes 2 and 3 below. F1 · price: In connection with the February 2018 public offering (the "Offering") of the Issuer's Class A units (the "Class A units"), Mr. Frank, three trusts controlled by Mr. Frank in his capacity as trustee and a family limited liability company controlled by Mr. Frank exchanged an aggregate of 119,145 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for cash at a purchase price per OCGH unit of $43.95, which is equal to the price per Class A unit in the Offering paid to the Issuer by the underwriter, with adjustments to account for (i) financial advisory fees paid by the Issuer and (ii) the Reporting Person's disproportionate interest in the historical incentive income of certain of the Issuer's closed-end funds, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.expiration_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document
February 12, 2018 Filed Feb 15, 2018 11:06 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	Exercise / conversionOCGH Units · Derivative	35,141	$43.95	$1,544,446.95	Disclosure SEC source: 0000899243-18-004095 · doc4.xml · derivative · entry 4 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Frank 2012 Family LLC Disclosed balance after: 213,160 Underlying: Class A Units · 35,141 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In connection with the February 2018 public offering (the "Offering") of the Issuer's Class A units (the "Class A units"), Mr. Frank, three trusts controlled by Mr. Frank in his capacity as trustee and a family limited liability company controlled by Mr. Frank exchanged an aggregate of 119,145 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for cash at a purchase price per OCGH unit of $43.95, which is equal to the price per Class A unit in the Offering paid to the Issuer by the underwriter, with adjustments to account for (i) financial advisory fees paid by the Issuer and (ii) the Reporting Person's disproportionate interest in the historical incentive income of certain of the Issuer's closed-end funds, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_price: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · kind: In connection with the February 2018 public offering (the "Offering") of the Issuer's Class A units (the "Class A units"), Mr. Frank, three trusts controlled by Mr. Frank in his capacity as trustee and a family limited liability company controlled by Mr. Frank exchanged an aggregate of 119,145 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for cash at a purchase price per OCGH unit of $43.95, which is equal to the price per Class A unit in the Offering paid to the Issuer by the underwriter, with adjustments to account for (i) financial advisory fees paid by the Issuer and (ii) the Reporting Person's disproportionate interest in the historical incentive income of certain of the Issuer's closed-end funds, as further described in footnotes 2 and 3 below. F1 · price: In connection with the February 2018 public offering (the "Offering") of the Issuer's Class A units (the "Class A units"), Mr. Frank, three trusts controlled by Mr. Frank in his capacity as trustee and a family limited liability company controlled by Mr. Frank exchanged an aggregate of 119,145 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for cash at a purchase price per OCGH unit of $43.95, which is equal to the price per Class A unit in the Offering paid to the Issuer by the underwriter, with adjustments to account for (i) financial advisory fees paid by the Issuer and (ii) the Reporting Person's disproportionate interest in the historical incentive income of certain of the Issuer's closed-end funds, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.expiration_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F7 · ownership.nature: Held by a limited liability company controlled by Mr. Frank. Read SEC document
February 12, 2018 Filed Feb 15, 2018 11:06 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	Exercise / conversionOCGH Units · Derivative	13,723	$43.95	$603,125.85	Disclosure SEC source: 0000899243-18-004095 · doc4.xml · derivative · entry 3 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 25,330 Underlying: Class A Units · 13,723 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In connection with the February 2018 public offering (the "Offering") of the Issuer's Class A units (the "Class A units"), Mr. Frank, three trusts controlled by Mr. Frank in his capacity as trustee and a family limited liability company controlled by Mr. Frank exchanged an aggregate of 119,145 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for cash at a purchase price per OCGH unit of $43.95, which is equal to the price per Class A unit in the Offering paid to the Issuer by the underwriter, with adjustments to account for (i) financial advisory fees paid by the Issuer and (ii) the Reporting Person's disproportionate interest in the historical incentive income of certain of the Issuer's closed-end funds, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_price: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · kind: In connection with the February 2018 public offering (the "Offering") of the Issuer's Class A units (the "Class A units"), Mr. Frank, three trusts controlled by Mr. Frank in his capacity as trustee and a family limited liability company controlled by Mr. Frank exchanged an aggregate of 119,145 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for cash at a purchase price per OCGH unit of $43.95, which is equal to the price per Class A unit in the Offering paid to the Issuer by the underwriter, with adjustments to account for (i) financial advisory fees paid by the Issuer and (ii) the Reporting Person's disproportionate interest in the historical incentive income of certain of the Issuer's closed-end funds, as further described in footnotes 2 and 3 below. F1 · price: In connection with the February 2018 public offering (the "Offering") of the Issuer's Class A units (the "Class A units"), Mr. Frank, three trusts controlled by Mr. Frank in his capacity as trustee and a family limited liability company controlled by Mr. Frank exchanged an aggregate of 119,145 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for cash at a purchase price per OCGH unit of $43.95, which is equal to the price per Class A unit in the Offering paid to the Issuer by the underwriter, with adjustments to account for (i) financial advisory fees paid by the Issuer and (ii) the Reporting Person's disproportionate interest in the historical incentive income of certain of the Issuer's closed-end funds, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.expiration_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F6 · ownership.nature: Held by a trust controlled by Mr. Frank in his capacity as trustee. Read SEC document
February 12, 2018 Filed Feb 15, 2018 11:06 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	Exercise / conversionOCGH Units · Derivative	17,570	$43.95	$772,201.50	Disclosure SEC source: 0000899243-18-004095 · doc4.xml · derivative · entry 2 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 94,931 Underlying: Class A Units · 17,570 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In connection with the February 2018 public offering (the "Offering") of the Issuer's Class A units (the "Class A units"), Mr. Frank, three trusts controlled by Mr. Frank in his capacity as trustee and a family limited liability company controlled by Mr. Frank exchanged an aggregate of 119,145 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for cash at a purchase price per OCGH unit of $43.95, which is equal to the price per Class A unit in the Offering paid to the Issuer by the underwriter, with adjustments to account for (i) financial advisory fees paid by the Issuer and (ii) the Reporting Person's disproportionate interest in the historical incentive income of certain of the Issuer's closed-end funds, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_price: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · kind: In connection with the February 2018 public offering (the "Offering") of the Issuer's Class A units (the "Class A units"), Mr. Frank, three trusts controlled by Mr. Frank in his capacity as trustee and a family limited liability company controlled by Mr. Frank exchanged an aggregate of 119,145 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for cash at a purchase price per OCGH unit of $43.95, which is equal to the price per Class A unit in the Offering paid to the Issuer by the underwriter, with adjustments to account for (i) financial advisory fees paid by the Issuer and (ii) the Reporting Person's disproportionate interest in the historical incentive income of certain of the Issuer's closed-end funds, as further described in footnotes 2 and 3 below. F1 · price: In connection with the February 2018 public offering (the "Offering") of the Issuer's Class A units (the "Class A units"), Mr. Frank, three trusts controlled by Mr. Frank in his capacity as trustee and a family limited liability company controlled by Mr. Frank exchanged an aggregate of 119,145 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for cash at a purchase price per OCGH unit of $43.95, which is equal to the price per Class A unit in the Offering paid to the Issuer by the underwriter, with adjustments to account for (i) financial advisory fees paid by the Issuer and (ii) the Reporting Person's disproportionate interest in the historical incentive income of certain of the Issuer's closed-end funds, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.expiration_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F5 · ownership.nature: Held by a trust controlled by Mr. Frank in his capacity as trustee. Read SEC document
February 12, 2018 Filed Feb 15, 2018 11:06 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	Exercise / conversionOCGH Units · Derivative	17,570	$43.95	$772,201.50	Disclosure SEC source: 0000899243-18-004095 · doc4.xml · derivative · entry 1 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 72,432 Underlying: Class A Units · 17,570 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In connection with the February 2018 public offering (the "Offering") of the Issuer's Class A units (the "Class A units"), Mr. Frank, three trusts controlled by Mr. Frank in his capacity as trustee and a family limited liability company controlled by Mr. Frank exchanged an aggregate of 119,145 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for cash at a purchase price per OCGH unit of $43.95, which is equal to the price per Class A unit in the Offering paid to the Issuer by the underwriter, with adjustments to account for (i) financial advisory fees paid by the Issuer and (ii) the Reporting Person's disproportionate interest in the historical incentive income of certain of the Issuer's closed-end funds, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_price: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · kind: In connection with the February 2018 public offering (the "Offering") of the Issuer's Class A units (the "Class A units"), Mr. Frank, three trusts controlled by Mr. Frank in his capacity as trustee and a family limited liability company controlled by Mr. Frank exchanged an aggregate of 119,145 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for cash at a purchase price per OCGH unit of $43.95, which is equal to the price per Class A unit in the Offering paid to the Issuer by the underwriter, with adjustments to account for (i) financial advisory fees paid by the Issuer and (ii) the Reporting Person's disproportionate interest in the historical incentive income of certain of the Issuer's closed-end funds, as further described in footnotes 2 and 3 below. F1 · price: In connection with the February 2018 public offering (the "Offering") of the Issuer's Class A units (the "Class A units"), Mr. Frank, three trusts controlled by Mr. Frank in his capacity as trustee and a family limited liability company controlled by Mr. Frank exchanged an aggregate of 119,145 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for cash at a purchase price per OCGH unit of $43.95, which is equal to the price per Class A unit in the Offering paid to the Issuer by the underwriter, with adjustments to account for (i) financial advisory fees paid by the Issuer and (ii) the Reporting Person's disproportionate interest in the historical incentive income of certain of the Issuer's closed-end funds, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.expiration_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F4 · ownership.nature: Held by a trust controlled by Mr. Frank in his capacity as trustee. Read SEC document
December 31, 2017 Filed Jan 4, 2018 01:29 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	GiftOCGH Units · Derivative	16,553	$0.00	$0.00	Disclosure SEC source: 0000899243-18-000384 · doc4.xml · derivative · entry 6 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Frank 2012 Family LLC Disclosed balance after: 248,301 Underlying: Class A Units · 16,553 shares Expires not disclosed F1 · derivative.exercise_price: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F6 · kind: Transfer of 16,553 OCGH units by a family limited liability company controlled by Mr. Frank to a family member. The OCGH units transferred by such limited liability company had previously been reported as directly owned by Mr. Frank. F1 · derivative.exercise_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · derivative.expiration_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F6 · ownership.nature: Transfer of 16,553 OCGH units by a family limited liability company controlled by Mr. Frank to a family member. The OCGH units transferred by such limited liability company had previously been reported as directly owned by Mr. Frank. Read SEC document
December 31, 2017 Filed Jan 4, 2018 01:29 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	GiftOCGH Units · Derivative	22,500	$0.00	$0.00	Disclosure SEC source: 0000899243-18-000384 · doc4.xml · derivative · entry 5 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 90,002 Underlying: Class A Units · 22,500 shares Expires not disclosed F1 · derivative.exercise_price: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F5 · kind: Transfer of 22,500 OCGH units by the trust for the benefit of a family member referenced in note 3 to such family member. F1 · derivative.exercise_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · derivative.expiration_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F3 · ownership.nature: Transfer of 112,502 OCGH units by a terminating grantor retained annuity trust to a trust controlled by Mr. Frank in his capacity as trustee for the benefit of a family member in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Frank. Read SEC document
December 31, 2017 Filed Jan 4, 2018 01:29 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	GiftOCGH Units · Derivative	112,501	$0.00	$0.00	Disclosure SEC source: 0000899243-18-000384 · doc4.xml · derivative · entry 4 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 112,501 Underlying: Class A Units · 112,501 shares Expires not disclosed F1 · derivative.exercise_price: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F4 · kind: Transfer of 112,501 OCGH units by a terminating grantor retained annuity trust to a trust controlled by Mr. Frank in his capacity as trustee for the benefit of a different family member in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Frank. F1 · derivative.exercise_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · derivative.expiration_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F4 · ownership.nature: Transfer of 112,501 OCGH units by a terminating grantor retained annuity trust to a trust controlled by Mr. Frank in his capacity as trustee for the benefit of a different family member in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Frank. Read SEC document
December 31, 2017 Filed Jan 4, 2018 01:29 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	GiftOCGH Units · Derivative	112,501	$0.00	$0.00	Disclosure SEC source: 0000899243-18-000384 · doc4.xml · derivative · entry 3 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By grantor retained annuity trust Disclosed balance after: 0 Underlying: Class A Units · 112,501 shares Expires not disclosed F1 · derivative.exercise_price: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F4 · kind: Transfer of 112,501 OCGH units by a terminating grantor retained annuity trust to a trust controlled by Mr. Frank in his capacity as trustee for the benefit of a different family member in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Frank. F1 · derivative.exercise_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · derivative.expiration_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F4 · ownership.nature: Transfer of 112,501 OCGH units by a terminating grantor retained annuity trust to a trust controlled by Mr. Frank in his capacity as trustee for the benefit of a different family member in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Frank. Read SEC document
December 31, 2017 Filed Jan 4, 2018 01:29 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	GiftOCGH Units · Derivative	112,502	$0.00	$0.00	Disclosure SEC source: 0000899243-18-000384 · doc4.xml · derivative · entry 2 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 112,502 Underlying: Class A Units · 112,502 shares Expires not disclosed F1 · derivative.exercise_price: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F3 · kind: Transfer of 112,502 OCGH units by a terminating grantor retained annuity trust to a trust controlled by Mr. Frank in his capacity as trustee for the benefit of a family member in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Frank. F1 · derivative.exercise_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · derivative.expiration_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F3 · ownership.nature: Transfer of 112,502 OCGH units by a terminating grantor retained annuity trust to a trust controlled by Mr. Frank in his capacity as trustee for the benefit of a family member in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Frank. Read SEC document
December 31, 2017 Filed Jan 4, 2018 01:29 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	GiftOCGH Units · Derivative	112,502	$0.00	$0.00	Disclosure SEC source: 0000899243-18-000384 · doc4.xml · derivative · entry 1 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By grantor retained annuity trust Disclosed balance after: 112,501 Underlying: Class A Units · 112,502 shares Expires not disclosed F1 · derivative.exercise_price: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F3 · kind: Transfer of 112,502 OCGH units by a terminating grantor retained annuity trust to a trust controlled by Mr. Frank in his capacity as trustee for the benefit of a family member in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Frank. F1 · derivative.exercise_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · derivative.expiration_date: Each limited partnership unit ("OCGH unit") of Oaktree Capital Group Holdings, L.P. ("OCGH") represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 2) F2 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F3 · ownership.nature: Transfer of 112,502 OCGH units by a terminating grantor retained annuity trust to a trust controlled by Mr. Frank in his capacity as trustee for the benefit of a family member in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Frank. Read SEC document
December 15, 2017 Filed Dec 19, 2017 22:42 UTC	Oaktree Specialty Lending Corp OCSL · Entity 4863	PurchaseCommon Stock	28,784	$4.74	$136,318.15	Disclosure SEC source: 0000899243-17-029203 · doc4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,784 Read SEC document
December 15, 2017 Filed Dec 19, 2017 22:31 UTC	Oaktree Strategic Income Corp OCSI · Entity 140960	PurchaseCommon Stock	11,876	$8.61	$102,232.17	Disclosure SEC source: 0000899243-17-029196 · doc4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,876 Read SEC document
December 07, 2017 Filed Dec 9, 2017 01:18 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	GiftClass A Units	2,250	$0.00	$0.00	Disclosure SEC source: 0000899243-17-028308 · doc4.xml · nonDerivative · entry 3 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,667 Read SEC document
December 07, 2017 Filed Dec 9, 2017 01:18 UTC	Brookfield Oaktree Holdings, LLC OAK · Entity 8960	GiftClass A Units	1,000	$0.00	$0.00	Disclosure SEC source: 0000899243-17-028308 · doc4.xml · nonDerivative · entry 2 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,917 Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.