Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AFC BDC Inc.NONE · Entity 127694 | Director · President and Chairman | April 28, 2022 | May 02, 2022 |
| Fifth Street Asset Management Inc.FSAM · Entity 171240 | President and CCO · 10% owner | October 26, 2017 | November 02, 2017 |
| Oaktree Specialty Lending CorpFSC · Entity 4863 | Director · Chief Executive Officer | September 29, 2017 | October 03, 2017 |
| Oaktree Strategic Income CorpFSFR · Entity 140960 | Director · Chief Executive Officer | September 29, 2017 | October 03, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AFC BDC Inc.
Report date April 28, 2022 · Filed May 02, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 25,000 |
Reported balance
After 2022-04-28 transaction · row 1
1 source rowRow 1 · 2022-04-28 · Other · Acquired 25,000 · Balance 25,000 F1: These shares of Common Stock were acquired pursuant to an Agreement and Plan of Merger, by and among the AFC BDC Warehouse LLC and AFC BDC Inc., under which each share of AFC BDC Warehouse LLC converted automatically into a pro rata share (based on each member's percentage interest in AFC BDC Warehouse LLC, adjusted downward for fractional shares) of AFC BDC Inc., effective as of 12:01 p.m. on April 28, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of Common Stock were acquired pursuant to an Agreement and Plan of Merger, by and among the AFC BDC Warehouse LLC and AFC BDC Inc., under which each share of AFC BDC Warehouse LLC converted automatically into a pro rata share (based on each member's percentage interest in AFC BDC Warehouse LLC, adjusted downward for fractional shares) of AFC BDC Inc., effective as of 12:01 p.m. on April 28, 2022.
Fifth Street Asset Management Inc.
Report date October 26, 2017 · Filed November 02, 2017 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common Stock, $0.01 par value per shareSEC Table I · non-derivative | Direct | 1,446,564 |
Reported balance
After 2017-10-26 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2017-10-26 · Tax withholding · Disposed 26,098 · Balance 1,446,564 F1: The number of withholding shares of Class A Common stock is corrected from the reporting person's Form 4 filed on October 30, 2017. |
Filing footnotes · ownership attribution and instrument terms
F1: The number of withholding shares of Class A Common stock is corrected from the reporting person's Form 4 filed on October 30, 2017.
Oaktree Specialty Lending Corp
Report date September 29, 2017 · Filed October 03, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 35,968 |
Reported balance
After 2017-09-29 transaction · row 1
1 source rowRow 1 · 2017-09-29 · Sale · Disposed 20,000 · Balance 35,968 F1: This transaction was executed in multiple trades at prices ranging from $5.42 to $5.4301; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $5.42 to $5.4301; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.
Oaktree Strategic Income Corp
Report date September 29, 2017 · Filed October 03, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 92,027 |
Reported balance
After 2017-09-29 transaction · row 1
1 source rowRow 1 · 2017-09-29 · Sale · Disposed 7,473 · Balance 92,027 F1: This transaction was executed in multiple trades at prices ranging from $8.80 to $8.82; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. |
| Common StockSEC Table I · non-derivative | IndirectSee below | 2,000 |
Reported balance
Holding disclosure · report date 2017-09-29 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,000 F2: The securities are held by the Bernard D. Berman 2012 Trust for the benefit of certain members of the reporting person's family for which the reporting person's wife is a trustee. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $8.80 to $8.82; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.
F2: The securities are held by the Bernard D. Berman 2012 Trust for the benefit of certain members of the reporting person's family for which the reporting person's wife is a trustee. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest.
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 |
|---|---|---|---|---|---|---|
| April 28, 2022 Filed May 2, 2022 21:51 UTC | AFC BDC Inc. NONE · Entity 127694 | OtherCommon Stock | 25,000 | $20.00 | $500,000.00 |
DisclosureSEC source: 0001829126-22-009531 · ownership.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · Director · President and Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 F1 · kind: These shares of Common Stock were acquired pursuant to an Agreement and Plan of Merger, by and among the AFC BDC Warehouse LLC and AFC BDC Inc., under which each share of AFC BDC Warehouse LLC converted automatically into a pro rata share (based on each member's percentage interest in AFC BDC Warehouse LLC, adjusted downward for fractional shares) of AFC BDC Inc., effective as of 12:01 p.m. on April 28, 2022. Read SEC document |
| October 26, 2017 Filed Oct 30, 2017 16:56 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Exercise / conversionRestricted Stock Units · Derivative | 70,591 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-054851 · tv478045_form4.xml · derivative · entry 4 Berman Bernard D · CIK 0001421840 · President and CCO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 70,591 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: On October 26, 2017, 70,591 restricted stock units ("RSUs) granted to Mr. Berman in October 2014 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting. F1 · kind: On October 26, 2017, 70,591 restricted stock units ("RSUs) granted to Mr. Berman in October 2014 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting. F1 · derivative.exercise_date: On October 26, 2017, 70,591 restricted stock units ("RSUs) granted to Mr. Berman in October 2014 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting. F1 · derivative.expiration_date: On October 26, 2017, 70,591 restricted stock units ("RSUs) granted to Mr. Berman in October 2014 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting. Read SEC document |
| October 26, 2017 Filed Oct 30, 2017 16:56 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Tax withholdingClass A Common Stock, $0.01 par value per share | 30,263 | $4.00 | $121,052.00 |
DisclosureSEC source: 0001144204-17-054851 · tv478045_form4.xml · nonDerivative · entry 2 Berman Bernard D · CIK 0001421840 · President and CCO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,436,625 Read SEC document |
| October 26, 2017 Filed Oct 30, 2017 16:56 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Exercise / conversionClass A Common Stock, $0.01 par value per share | 70,591 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-17-054851 · tv478045_form4.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · President and CCO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,466,888 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: On October 26, 2017, 70,591 restricted stock units ("RSUs) granted to Mr. Berman in October 2014 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting. F1 · price: On October 26, 2017, 70,591 restricted stock units ("RSUs) granted to Mr. Berman in October 2014 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting. Read SEC document |
| October 26, 2017 Filed Nov 2, 2017 16:20 UTC Amendment | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Tax withholdingClass A Common Stock, $0.01 par value per share | 26,098 | $4.00 | $104,392.00 |
DisclosureSEC source: 0001144204-17-055834 · tv478473_form4-a.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · President and CCO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,446,564 F1 · shares: The number of withholding shares of Class A Common stock is corrected from the reporting person's Form 4 filed on October 30, 2017. Read SEC document |
| October 26, 2017 Filed Nov 2, 2017 16:19 UTC Amendment | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Tax withholdingClass A Common Stock, $0.01 par value per share | 36,180 | $4.00 | $144,720.00 |
DisclosureSEC source: 0001144204-17-055830 · tv478472_form4-a.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · President and CCO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,402,071 F1 · shares: The number of withholding shares of Class A Common stock is corrected from the reporting person's Form 4 filed on October 19, 2017. Read SEC document |
| October 17, 2017 Filed Oct 19, 2017 17:44 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Exercise / conversionRestricted Stock Units · Derivative | 97,863 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-053292 · tv477359_4.xml · derivative · entry 4 Berman Bernard D · CIK 0001421840 · President and CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 97,863 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: On October 17, 2017, 97,863 restricted stock units ("RSUs") granted to Mr. Berman in January 2017 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting. F1 · kind: On October 17, 2017, 97,863 restricted stock units ("RSUs") granted to Mr. Berman in January 2017 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting. F1 · derivative.exercise_date: On October 17, 2017, 97,863 restricted stock units ("RSUs") granted to Mr. Berman in January 2017 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting. F1 · derivative.expiration_date: On October 17, 2017, 97,863 restricted stock units ("RSUs") granted to Mr. Berman in January 2017 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting. Read SEC document |
| October 17, 2017 Filed Oct 19, 2017 17:44 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Tax withholdingClass A Common Stock, $0.01 par value per share | 41,954 | $3.95 | $165,718.30 |
DisclosureSEC source: 0001144204-17-053292 · tv477359_4.xml · nonDerivative · entry 2 Berman Bernard D · CIK 0001421840 · President and CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,396,297 Read SEC document |
| October 17, 2017 Filed Oct 19, 2017 17:44 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Exercise / conversionClass A Common Stock, $0.01 par value per share | 97,863 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-17-053292 · tv477359_4.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · President and CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,438,251 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: On October 17, 2017, 97,863 restricted stock units ("RSUs") granted to Mr. Berman in January 2017 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting. F1 · price: On October 17, 2017, 97,863 restricted stock units ("RSUs") granted to Mr. Berman in January 2017 vested. Upon such vesting, one share of the Issuer's Class A common stock became issuable for each RSU and will be issued by the Issuer within 60 days of such vesting. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 21:13 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Exercise / conversionHoldings LP Interests · Derivative | 502,801 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-053091 · tv477253_form4.xml · derivative · entry 5 Berman Bernard D · CIK 0001421840 · President and CCO 10b5-1 filing: Not disclosed Ownership: Indirect · By Bernard D. Berman 2012 Trust Disclosed balance after: 222,973 Underlying: Class A Common Stock · 502,801 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: On October 16, 2017, Mr. Berman and the Bernard D. Berman 2012 Trust, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman caused to be submitted to the Issuer a corresponding amount of Class B common stock for cancellation. F1 · kind: On October 16, 2017, Mr. Berman and the Bernard D. Berman 2012 Trust, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman caused to be submitted to the Issuer a corresponding amount of Class B common stock for cancellation. F3 · derivative.exercise_date: Mr. Berman is permitted to exchange the remaining Holdings LP Interests in accordance with the terms of the exchange agreement, dated as of October 29, 2014, by and among the Issuer, Holdings and the limited partners of Holdings party thereto (the "Exchange Agreement"), subject to the requirements of the Cutback Agreement, dated as of September 26, 2017, among the Issuer, Holdings and the limited partners of Holdings party thereto. F3 · derivative.expiration_date: Mr. Berman is permitted to exchange the remaining Holdings LP Interests in accordance with the terms of the exchange agreement, dated as of October 29, 2014, by and among the Issuer, Holdings and the limited partners of Holdings party thereto (the "Exchange Agreement"), subject to the requirements of the Cutback Agreement, dated as of September 26, 2017, among the Issuer, Holdings and the limited partners of Holdings party thereto. F2 · ownership.nature: Represents securities held directly by the Bernard D. Berman 2012 Trust. Mr. Berman disclaims beneficial ownership except to the extent of his pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 21:13 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Exercise / conversionHoldings LP Interests · Derivative | 988,678 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-053091 · tv477253_form4.xml · derivative · entry 4 Berman Bernard D · CIK 0001421840 · President and CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 438,441 Underlying: Class A Common Stock · 988,678 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: On October 16, 2017, Mr. Berman and the Bernard D. Berman 2012 Trust, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman caused to be submitted to the Issuer a corresponding amount of Class B common stock for cancellation. F1 · kind: On October 16, 2017, Mr. Berman and the Bernard D. Berman 2012 Trust, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman caused to be submitted to the Issuer a corresponding amount of Class B common stock for cancellation. F3 · derivative.exercise_date: Mr. Berman is permitted to exchange the remaining Holdings LP Interests in accordance with the terms of the exchange agreement, dated as of October 29, 2014, by and among the Issuer, Holdings and the limited partners of Holdings party thereto (the "Exchange Agreement"), subject to the requirements of the Cutback Agreement, dated as of September 26, 2017, among the Issuer, Holdings and the limited partners of Holdings party thereto. F3 · derivative.expiration_date: Mr. Berman is permitted to exchange the remaining Holdings LP Interests in accordance with the terms of the exchange agreement, dated as of October 29, 2014, by and among the Issuer, Holdings and the limited partners of Holdings party thereto (the "Exchange Agreement"), subject to the requirements of the Cutback Agreement, dated as of September 26, 2017, among the Issuer, Holdings and the limited partners of Holdings party thereto. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 21:13 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Disposition to issuerClass B Common Stock, $0.01 par value per share | 1,491,479 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-17-053091 · tv477253_form4.xml · nonDerivative · entry 3 Berman Bernard D · CIK 0001421840 · President and CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 641,137 F1 · kind: On October 16, 2017, Mr. Berman and the Bernard D. Berman 2012 Trust, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman caused to be submitted to the Issuer a corresponding amount of Class B common stock for cancellation. F2 · price: Represents securities held directly by the Bernard D. Berman 2012 Trust. Mr. Berman disclaims beneficial ownership except to the extent of his pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 21:13 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Exercise / conversionClass A Common Stock, $0.01 par value per share | 502,801 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-17-053091 · tv477253_form4.xml · nonDerivative · entry 2 Berman Bernard D · CIK 0001421840 · President and CCO 10b5-1 filing: Not disclosed Ownership: Indirect · By Bernard D. Berman 2012 Trust Disclosed balance after: 684,244 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: On October 16, 2017, Mr. Berman and the Bernard D. Berman 2012 Trust, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman caused to be submitted to the Issuer a corresponding amount of Class B common stock for cancellation. F2 · price: Represents securities held directly by the Bernard D. Berman 2012 Trust. Mr. Berman disclaims beneficial ownership except to the extent of his pecuniary interest therein. F2 · ownership.nature: Represents securities held directly by the Bernard D. Berman 2012 Trust. Mr. Berman disclaims beneficial ownership except to the extent of his pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 21:13 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Exercise / conversionClass A Common Stock, $0.01 par value per share | 988,678 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-17-053091 · tv477253_form4.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · President and CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,340,388 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: On October 16, 2017, Mr. Berman and the Bernard D. Berman 2012 Trust, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman caused to be submitted to the Issuer a corresponding amount of Class B common stock for cancellation. F1 · price: On October 16, 2017, Mr. Berman and the Bernard D. Berman 2012 Trust, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman caused to be submitted to the Issuer a corresponding amount of Class B common stock for cancellation. Read SEC document |
| September 29, 2017 Filed Oct 3, 2017 09:18 UTC | Oaktree Strategic Income Corp FSFR · Entity 140960 | SaleCommon Stock | 7,473 | $8.80 | $65,762.40 |
DisclosureSEC source: 0001144204-17-051059 · v476328_4.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,027 F1 · price: This transaction was executed in multiple trades at prices ranging from $8.80 to $8.82; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| September 29, 2017 Filed Oct 3, 2017 09:10 UTC | Oaktree Specialty Lending Corp FSC · Entity 4863 | SaleCommon Stock | 20,000 | $5.43 | $108,600.00 |
DisclosureSEC source: 0001144204-17-051057 · v476327_4.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,968 F1 · price: This transaction was executed in multiple trades at prices ranging from $5.42 to $5.4301; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| March 17, 2017 Filed Mar 17, 2017 16:35 UTC | Oaktree Specialty Lending Corp FSC · Entity 4863 | PurchaseCommon Stock | 5,000 | $4.55 | $22,750.00 |
DisclosureSEC source: 0001414932-17-000017 · wf-form4_148978290706729.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,968 Read SEC document |
| March 10, 2017 Filed Mar 13, 2017 17:21 UTC | Oaktree Strategic Income Corp FSFR · Entity 140960 | PurchaseCommon Stock | 2,500 | $8.84 | $22,095.00 |
DisclosureSEC source: 0001577791-17-000012 · wf-form4_148944005804619.xml · nonDerivative · entry 2 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,500 Read SEC document |
| March 09, 2017 Filed Mar 13, 2017 17:21 UTC | Oaktree Strategic Income Corp FSFR · Entity 140960 | PurchaseCommon Stock | 2,500 | $8.70 | $21,749.75 |
DisclosureSEC source: 0001577791-17-000012 · wf-form4_148944005804619.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,000 Read SEC document |
| March 06, 2017 Filed Mar 6, 2017 17:05 UTC | Oaktree Specialty Lending Corp FSC · Entity 4863 | PurchaseCommon Stock | 5,000 | $4.35 | $21,749.50 |
DisclosureSEC source: 0001414932-17-000014 · wf-form4_148883794581417.xml · nonDerivative · entry 3 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,968 Read SEC document |
| March 03, 2017 Filed Mar 6, 2017 17:07 UTC | Oaktree Strategic Income Corp FSFR · Entity 140960 | PurchaseCommon Stock | 600 | $9.02 | $5,411.04 |
DisclosureSEC source: 0001577791-17-000011 · wf-form4_148883802804576.xml · nonDerivative · entry 4 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,500 Read SEC document |
| March 03, 2017 Filed Mar 6, 2017 17:07 UTC | Oaktree Strategic Income Corp FSFR · Entity 140960 | PurchaseCommon Stock | 100 | $8.86 | $886.00 |
DisclosureSEC source: 0001577791-17-000011 · wf-form4_148883802804576.xml · nonDerivative · entry 3 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,900 Read SEC document |
| March 03, 2017 Filed Mar 6, 2017 17:07 UTC | Oaktree Strategic Income Corp FSFR · Entity 140960 | PurchaseCommon Stock | 100 | $8.85 | $885.00 |
DisclosureSEC source: 0001577791-17-000011 · wf-form4_148883802804576.xml · nonDerivative · entry 2 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,800 Read SEC document |
| March 03, 2017 Filed Mar 6, 2017 17:07 UTC | Oaktree Strategic Income Corp FSFR · Entity 140960 | PurchaseCommon Stock | 200 | $8.87 | $1,774.00 |
DisclosureSEC source: 0001577791-17-000011 · wf-form4_148883802804576.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,700 Read SEC document |
| March 03, 2017 Filed Mar 6, 2017 17:05 UTC | Oaktree Specialty Lending Corp FSC · Entity 4863 | PurchaseCommon Stock | 5,000 | $4.39 | $21,948.00 |
DisclosureSEC source: 0001414932-17-000014 · wf-form4_148883794581417.xml · nonDerivative · entry 2 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,968 Read SEC document |
| March 03, 2017 Filed Mar 6, 2017 17:05 UTC | Oaktree Specialty Lending Corp FSC · Entity 4863 | PurchaseCommon Stock | 5,000 | $4.38 | $21,899.50 |
DisclosureSEC source: 0001414932-17-000014 · wf-form4_148883794581417.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,968 Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 17:41 UTC | Oaktree Specialty Lending Corp FSC · Entity 4863 | PurchaseCommon Stock | 5,000 | $4.56 | $22,799.50 |
DisclosureSEC source: 0001414932-17-000008 · wf-form4_148702566590635.xml · nonDerivative · entry 2 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,968 Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 17:41 UTC | Oaktree Specialty Lending Corp FSC · Entity 4863 | PurchaseCommon Stock | 5,000 | $4.65 | $23,239.00 |
DisclosureSEC source: 0001414932-17-000008 · wf-form4_148702566590635.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,968 Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 17:39 UTC | Oaktree Strategic Income Corp FSFR · Entity 140960 | PurchaseCommon Stock | 4,455 | $8.88 | $39,560.40 |
DisclosureSEC source: 0001577791-17-000006 · wf-form4_148702557198035.xml · nonDerivative · entry 4 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,500 Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 17:39 UTC | Oaktree Strategic Income Corp FSFR · Entity 140960 | PurchaseCommon Stock | 245 | $8.87 | $2,173.15 |
DisclosureSEC source: 0001577791-17-000006 · wf-form4_148702557198035.xml · nonDerivative · entry 3 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,045 Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 17:39 UTC | Oaktree Strategic Income Corp FSFR · Entity 140960 | PurchaseCommon Stock | 300 | $8.87 | $2,660.97 |
DisclosureSEC source: 0001577791-17-000006 · wf-form4_148702557198035.xml · nonDerivative · entry 2 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,800 Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 17:39 UTC | Oaktree Strategic Income Corp FSFR · Entity 140960 | PurchaseCommon Stock | 5,000 | $8.88 | $44,399.50 |
DisclosureSEC source: 0001577791-17-000006 · wf-form4_148702557198035.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,500 Read SEC document |
| January 12, 2017 Filed Jan 17, 2017 19:21 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | GrantRestricted Stock Units · Derivative | 97,863 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-002520 · v457052_form4.xml · derivative · entry 1 Berman Bernard D · CIK 0001421840 · Co-President and CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,863 Underlying: Class A Common Stock · 97,863 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of Class A common stock of the Issuer. No later than 60 days following each vesting date, one share of Class A common stock of the Issuer shall be issued for each restricted stock unit that becomes vested on such vesting date. F2 · derivative.exercise_date: One-third of the total number of restricted stock units will vest on each of the first three anniversaries of the date of grant, which was January 12, 2017. F2 · derivative.expiration_date: One-third of the total number of restricted stock units will vest on each of the first three anniversaries of the date of grant, which was January 12, 2017. Read SEC document |
| January 04, 2017 Filed Jan 6, 2017 18:36 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | ConversionHoldings LP Interests · Derivative | 181,443 | $0.00 | $0.00 |
DisclosureSEC source: 0001611988-17-000003 · wf-form4_148374578945883.xml · derivative · entry 5 Berman Bernard D · CIK 0001421840 · Co-President and CCO 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 725,774 Underlying: Class A Common Stock · 181,443 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: On January 4, 2017, the applicable holder, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman submitted to the Issuer a corresponding amount of Class B common stock for cancellation. F1 · kind: On January 4, 2017, the applicable holder, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman submitted to the Issuer a corresponding amount of Class B common stock for cancellation. F3 · derivative.exercise_date: Pursuant to the terms of the exchange agreement, dated as of October 29, 2014, by and among the Issuer, Holdings and the limited partners of Holdings party thereto (the "Exchange Agreement"), and subject to certain requirements and restrictions, the Holdings LP Interests are exchangeable for shares of Class A common stock on a one-for-one basis, from and after the the second anniversary of the closing of the Issuer's initial public offering. After such time, Mr. Berman will be permitted to exchange up to 20% of the remaining Holdings LP Interests that he owns on or after the second anniversary of the closing of the Issuer's initial public offering and an additional 20% of such remaining Holdings LP Interests on or after each of the next four anniversaries. F3 · derivative.expiration_date: Pursuant to the terms of the exchange agreement, dated as of October 29, 2014, by and among the Issuer, Holdings and the limited partners of Holdings party thereto (the "Exchange Agreement"), and subject to certain requirements and restrictions, the Holdings LP Interests are exchangeable for shares of Class A common stock on a one-for-one basis, from and after the the second anniversary of the closing of the Issuer's initial public offering. After such time, Mr. Berman will be permitted to exchange up to 20% of the remaining Holdings LP Interests that he owns on or after the second anniversary of the closing of the Issuer's initial public offering and an additional 20% of such remaining Holdings LP Interests on or after each of the next four anniversaries. F2 · ownership.nature: The securities are held by the Bernard D. Berman 2012 Trust. Mr. Berman disclaims beneficial ownership of the securities except to the extent of his pecuniary interest. Read SEC document |
| January 04, 2017 Filed Jan 6, 2017 18:36 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | ConversionHoldings LP Interests · Derivative | 351,710 | $0.00 | $0.00 |
DisclosureSEC source: 0001611988-17-000003 · wf-form4_148374578945883.xml · derivative · entry 4 Berman Bernard D · CIK 0001421840 · Co-President and CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,408,044 Underlying: Class A Common Stock · 351,710 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: On January 4, 2017, the applicable holder, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman submitted to the Issuer a corresponding amount of Class B common stock for cancellation. F1 · kind: On January 4, 2017, the applicable holder, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman submitted to the Issuer a corresponding amount of Class B common stock for cancellation. F3 · derivative.exercise_date: Pursuant to the terms of the exchange agreement, dated as of October 29, 2014, by and among the Issuer, Holdings and the limited partners of Holdings party thereto (the "Exchange Agreement"), and subject to certain requirements and restrictions, the Holdings LP Interests are exchangeable for shares of Class A common stock on a one-for-one basis, from and after the the second anniversary of the closing of the Issuer's initial public offering. After such time, Mr. Berman will be permitted to exchange up to 20% of the remaining Holdings LP Interests that he owns on or after the second anniversary of the closing of the Issuer's initial public offering and an additional 20% of such remaining Holdings LP Interests on or after each of the next four anniversaries. F3 · derivative.expiration_date: Pursuant to the terms of the exchange agreement, dated as of October 29, 2014, by and among the Issuer, Holdings and the limited partners of Holdings party thereto (the "Exchange Agreement"), and subject to certain requirements and restrictions, the Holdings LP Interests are exchangeable for shares of Class A common stock on a one-for-one basis, from and after the the second anniversary of the closing of the Issuer's initial public offering. After such time, Mr. Berman will be permitted to exchange up to 20% of the remaining Holdings LP Interests that he owns on or after the second anniversary of the closing of the Issuer's initial public offering and an additional 20% of such remaining Holdings LP Interests on or after each of the next four anniversaries. F4 · balance_after: Total includes 1,202 Holdings LP Interests purchased in September 2016 from a limited partner terminating his employment. Read SEC document |
| January 04, 2017 Filed Jan 6, 2017 18:36 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Disposition to issuerClass B Common Stock, $0.01 par value per share | 533,153 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001611988-17-000003 · wf-form4_148374578945883.xml · nonDerivative · entry 3 Berman Bernard D · CIK 0001421840 · Co-President and CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,132,616 F1 · kind: On January 4, 2017, the applicable holder, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman submitted to the Issuer a corresponding amount of Class B common stock for cancellation. F1 · price: On January 4, 2017, the applicable holder, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman submitted to the Issuer a corresponding amount of Class B common stock for cancellation. Read SEC document |
| January 04, 2017 Filed Jan 6, 2017 18:36 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | ConversionClass A Common Stock, $0.01 par value per share | 181,443 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001611988-17-000003 · wf-form4_148374578945883.xml · nonDerivative · entry 2 Berman Bernard D · CIK 0001421840 · Co-President and CCO 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 181,443 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: On January 4, 2017, the applicable holder, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman submitted to the Issuer a corresponding amount of Class B common stock for cancellation. F1 · price: On January 4, 2017, the applicable holder, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman submitted to the Issuer a corresponding amount of Class B common stock for cancellation. F2 · ownership.nature: The securities are held by the Bernard D. Berman 2012 Trust. Mr. Berman disclaims beneficial ownership of the securities except to the extent of his pecuniary interest. Read SEC document |
| January 04, 2017 Filed Jan 6, 2017 18:36 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | ConversionClass A Common Stock, $0.01 par value per share | 351,710 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001611988-17-000003 · wf-form4_148374578945883.xml · nonDerivative · entry 1 Berman Bernard D · CIK 0001421840 · Co-President and CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 351,710 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: On January 4, 2017, the applicable holder, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman submitted to the Issuer a corresponding amount of Class B common stock for cancellation. F1 · price: On January 4, 2017, the applicable holder, pursuant to the Exchange Agreement (as defined below), exchanged limited partnership interests ("Holdings LP Interests") of Fifth Street Holdings L.P. ("Holdings") for shares of the Issuer's Class A common stock on a one-for-one basis. Pursuant to the Exchange Agreement, upon an exchange of the Holdings LP Interests for Class A common stock, Mr. Berman submitted to the Issuer a corresponding amount of Class B common stock for cancellation. Read SEC document |
| September 27, 2016 Filed Jan 25, 2017 16:11 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | GrantHoldings LP Interests · Derivative | 1,202 | $12.02 | $14,448.04 |
DisclosureSEC source: 0001144204-17-003786 · v457500_form5.xml · derivative · entry 1 Berman Bernard D · CIK 0001421840 · Co-President and CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,759,754 Underlying: Class A Common Stock · 1,202 shares Expires not disclosed F1 · derivative.exercise_price: Pursuant to the terms of the exchange agreement, dated as of November 4, 2014, by and among Fifth Street Asset Management Inc. (the "Issuer"), Fifth Street Holdings L.P. ("Holdings") and the limited partners of Holdings party thereto, and subject to certain requirements and restrictions, the Holdings LP Interests are exchangeable for shares of Class A common stock of the Issuer on a one-for-one basis. Mr. Berman is permitted to exchange up to 20% of the Holdings LP Interests that he owns and an additional 20% of his Holdings LP Interests on or after each of the next four anniversaries of the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Pursuant to the terms of the exchange agreement, dated as of November 4, 2014, by and among Fifth Street Asset Management Inc. (the "Issuer"), Fifth Street Holdings L.P. ("Holdings") and the limited partners of Holdings party thereto, and subject to certain requirements and restrictions, the Holdings LP Interests are exchangeable for shares of Class A common stock of the Issuer on a one-for-one basis. Mr. Berman is permitted to exchange up to 20% of the Holdings LP Interests that he owns and an additional 20% of his Holdings LP Interests on or after each of the next four anniversaries of the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Pursuant to the terms of the exchange agreement, dated as of November 4, 2014, by and among Fifth Street Asset Management Inc. (the "Issuer"), Fifth Street Holdings L.P. ("Holdings") and the limited partners of Holdings party thereto, and subject to certain requirements and restrictions, the Holdings LP Interests are exchangeable for shares of Class A common stock of the Issuer on a one-for-one basis. Mr. Berman is permitted to exchange up to 20% of the Holdings LP Interests that he owns and an additional 20% of his Holdings LP Interests on or after each of the next four anniversaries of the closing of the Issuer's initial public offering. 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.