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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 06, 2017 Filed Dec 9, 2017 01:18 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | Exercise / conversionOCGH Units · Derivative | 3,250 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028308 · doc4.xml · derivative · entry 4 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,097,147 Underlying: Class A Units · 3,250 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In furtherance of a charitable contribution, the Reporting Person exchanged 3,250 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 3,250 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_price: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · kind: In furtherance of a charitable contribution, the Reporting Person exchanged 3,250 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 3,250 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.expiration_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| November 02, 2017 Filed Nov 3, 2017 23:19 UTC | CHEVRON CORP CVX · Entity 2804 | GrantCommon Stock | 1,120 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-031279 · form4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,370 F1 · shares: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. Read SEC document |
| August 18, 2017 Filed Aug 21, 2017 22:13 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | SaleClass A Units | 16,666 | $46.72 | $778,558.86 |
DisclosureSEC source: 0000899243-17-020772 · doc4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,667 F1 · price: This transaction was executed in multiple trades at prices ranging from $46.55 to $46.90. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of units and prices at which the transaction was effected. Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 11:09 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | SaleClass A Units | 16,852 | $45.11 | $760,180.24 |
DisclosureSEC source: 0000899243-17-005706 · doc4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,333 F1 · price: This transaction was executed in multiple trades at prices ranging from $45 to $45.5. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of units and prices at which the transaction was effected. Read SEC document |
| December 06, 2016 Filed Dec 9, 2017 01:18 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | Exercise / conversionClass A Units | 3,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-028308 · doc4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,917 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: In furtherance of a charitable contribution, the Reporting Person exchanged 3,250 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 3,250 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F1 · price: In furtherance of a charitable contribution, the Reporting Person exchanged 3,250 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 3,250 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F2 · price: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · price: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 17:45 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | GiftClass A Units | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-034262 · doc4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,185 Read SEC document |
| November 17, 2016 Filed Nov 19, 2016 01:35 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | GiftClass A Units | 7,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-033979 · doc4.xml · nonDerivative · entry 2 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,185 Read SEC document |
| November 16, 2016 Filed Nov 19, 2016 01:35 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | Exercise / conversionOCGH Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-033979 · doc4.xml · derivative · entry 3 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,100,397 Underlying: Class A Units · 10,000 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 "Charitable Contribution"), the Reporting Person exchanged 10,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 10,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_price: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · kind: In furtherance of a charitable contribution (the "Charitable Contribution"), the Reporting Person exchanged 10,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 10,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.expiration_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| November 16, 2016 Filed Nov 19, 2016 01:35 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | Exercise / conversionClass A Units | 10,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-16-033979 · doc4.xml · nonDerivative · entry 1 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,185 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 "Charitable Contribution"), the Reporting Person exchanged 10,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 10,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F1 · price: In furtherance of a charitable contribution (the "Charitable Contribution"), the Reporting Person exchanged 10,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 10,000 Class A Units ("Class A Units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. F2 · price: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · price: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| December 10, 2012 Filed Mar 1, 2017 11:15 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | GiftOCGH Units · Derivative | 336,212 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-005716 · doc4.xml · derivative · entry 2 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Frank Trust Disclosed balance after: 264,854 Underlying: Class A Units · 336,212 shares Expires not disclosed F2 · derivative.exercise_price: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · kind: This Form 4 has been filed to report a gift of 336,212 limited partnership units ("OCGH units") of Oaktree Capital Group Holdings, L.P. ("OCGH") by Mr. Frank to a trust controlled by Mr. Frank (the "Frank Trust") on December 10, 2012. For the avoidance of doubt, following such transaction, there was no change in the aggregate number of OCGH units beneficially owned by Mr. Frank. F2 · derivative.exercise_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.expiration_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F5 · balance_after: This balance represents the number of OCGH units held by the Frank Trust as the date of this filing and reflects other transactions previously reported by Mr. Frank on Form 4 since December 10, 2012. Read SEC document |
| December 10, 2012 Filed Mar 1, 2017 11:15 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | GiftOCGH Units · Derivative | 336,212 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-005716 · doc4.xml · derivative · entry 1 Frank John · CIK 0001372819 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,835,543 Underlying: Class A Units · 336,212 shares Expires not disclosed F1 · security: This Form 4 has been filed to report a gift of 336,212 limited partnership units ("OCGH units") of Oaktree Capital Group Holdings, L.P. ("OCGH") by Mr. Frank to a trust controlled by Mr. Frank (the "Frank Trust") on December 10, 2012. For the avoidance of doubt, following such transaction, there was no change in the aggregate number of OCGH units beneficially owned by Mr. Frank. F2 · derivative.exercise_price: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · kind: This Form 4 has been filed to report a gift of 336,212 limited partnership units ("OCGH units") of Oaktree Capital Group Holdings, L.P. ("OCGH") by Mr. Frank to a trust controlled by Mr. Frank (the "Frank Trust") on December 10, 2012. For the avoidance of doubt, following such transaction, there was no change in the aggregate number of OCGH units beneficially owned by Mr. Frank. F2 · derivative.exercise_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.expiration_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F4 · balance_after: This balance represents the number of OCGH units held directly by Mr. Frank as of the date of this filing and reflects other transactions previously reported by Mr. Frank on Form 4 since December 10, 2012. Includes OCGH units held by Mr. Frank in one or more grantor retained annuity trusts. Mr. Frank disclaims beneficial ownership of the OCGH units reported on this Form 4, except to the extent of his pecuniary interest therein. 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.