Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Brookfield Oaktree Holdings, LLCOAK · Entity 8960 | See Remarks | September 30, 2019 | October 02, 2019 |
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 |
Ending reported balance
After 2019-09-30 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-09-30 · Disposition to issuer · Disposed 32,154 · Balance 87,049 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"). Row 2 · 2019-09-30 · Disposition to issuer · Disposed 87,049 · Balance 0 F2: Pursuant to the Merger Agreement, each unvested Class A Unit of Oaktree was converted into one unvested limited partnership unit of Oaktree Capital Group Holdings, L.P. ("OCGH"), subject to the same terms and conditions (including vesting) applicable to the unvested Class A Unit of Oaktree prior to the Merger. |
| OCGH UnitsSEC Table II · derivative / convertible security | Direct | 151,161 |
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 29,723 · Balance 151,161 F3: Each OCGH Unit represents a limited partnership interest in 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: Pursuant to the Merger Agreement, 20% 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 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-09-30 · Disposition to issuer · Disposed 151,161 · Balance 0 F3: Each OCGH Unit represents a limited partnership interest in OCGH. Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F5: 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. |
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: Pursuant to the Merger Agreement, each unvested Class A Unit of Oaktree was converted into one unvested limited partnership unit of Oaktree Capital Group Holdings, L.P. ("OCGH"), subject to the same terms and conditions (including vesting) applicable to the unvested Class A Unit of Oaktree prior to the Merger.
F3: Each OCGH Unit represents a limited partnership interest in 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: Pursuant to the Merger Agreement, 20% of the reporting person's vested limited partnership units of OCGH were exchanged for Merger Consideration.
F5: 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.
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 |
|---|---|---|---|---|---|---|
| September 30, 2019 Filed Oct 2, 2019 20:45 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | Disposition to issuerOCGH Units · Derivative | 151,161 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024703 · doc4.xml · derivative · entry 4 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Units · 151,161 shares Expires not disclosed F3 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in OCGH. Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F5 · derivative.exercise_price: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F5 · price: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F3 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in OCGH. Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F5 · derivative.exercise_date: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F3 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in OCGH. Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F5 · derivative.expiration_date: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F3 · derivative.underlying: Each OCGH Unit represents a limited partnership interest in OCGH. Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. F5 · derivative.underlying: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. F5 · balance_after: In connection with the Merger, Oaktree, Brookfield and certain of their affiliates entered into a Third Amended and Restated Exchange Agreement pursuant to which certain vested limited partnership interests in OCGH, including those that are issued and outstanding on the closing date of the Merger immediately after giving effect to the Merger, will become exchangeable for one of the following forms of consideration, at the election of Brookfield: cash, Brookfield class A shares or direct or indirect interests in certain promissory notes. The reporting person continues to hold these limited partnership interests in OCGH following the Merger, but the limited partnership interests in OCGH are no longer exchangeable into Class A Units of Oaktree. Read SEC document |
| September 30, 2019 Filed Oct 2, 2019 20:45 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | Disposition to issuerOCGH Units · Derivative | 29,723 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024703 · doc4.xml · derivative · entry 3 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,161 Underlying: Class A Units · 29,723 shares Expires not disclosed F3 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in 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 · price: Pursuant to the Merger Agreement, 20% of the reporting person's vested limited partnership units of OCGH were exchanged for Merger Consideration. F3 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in 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 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in OCGH. Prior to the Merger, subject to certain conditions and limitations, OCGH Units were exchangeable for, at the option of the Issuer's board of directors, Class A Units of Oaktree on a one-for-one basis or other consideration of equal value or any combination of the foregoing, with certain adjustments. Read SEC document |
| September 30, 2019 Filed Oct 2, 2019 20:45 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | Disposition to issuerClass A Units | 87,049 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024703 · doc4.xml · nonDerivative · entry 2 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: Pursuant to the Merger Agreement, each unvested Class A Unit of Oaktree was converted into one unvested limited partnership unit of Oaktree Capital Group Holdings, L.P. ("OCGH"), subject to the same terms and conditions (including vesting) applicable to the unvested Class A Unit of Oaktree prior to the Merger. Read SEC document |
| September 30, 2019 Filed Oct 2, 2019 20:45 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | Disposition to issuerClass A Units | 32,154 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024703 · doc4.xml · nonDerivative · entry 1 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,049 F1 · price: On September 30, 2019, Brookfield Asset Management Inc. ("Brookfield") and Oaktree Capital Group, LLC ("Oaktree") completed the transactions contemplated by the Agreement and Plan of Merger, dated as of March 13, 2019, among Oaktree, Brookfield, Berlin Merger Sub, LLC, Oslo Holdings LLC and Oslo Holdings Merger Sub LLC (the "Merger Agreement"), pursuant to which Brookfield acquired approximately 61.2% of the Oaktree business (the "Merger"). Pursuant to the Merger Agreement, each vested Class A Unit of Oaktree was disposed of in exchange for either(A) $49.00 in cash or (B) 1.0770 Class A Limited Voting Shares of Brookfield, in each case, subject to the merger consideration election made by the reporting person and the proration adjustment set forth in the Merger Agreement (the "Merger Consideration"). Read SEC document |
| May 16, 2019 Filed May 17, 2019 22:35 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | GiftClass A Units | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-014048 · doc4.xml · nonDerivative · entry 2 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,203 Read SEC document |
| May 15, 2019 Filed May 17, 2019 22:35 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | Exercise / conversionOCGH Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-014048 · doc4.xml · derivative · entry 3 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,884 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 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 4 and 5 below. F2 · derivative.exercise_price: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F3 · derivative.exercise_price: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.exercise_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F3 · derivative.exercise_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.expiration_date: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F3 · derivative.expiration_date: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| May 15, 2019 Filed May 17, 2019 22:35 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | Exercise / conversionClass A Units | 10,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-014048 · doc4.xml · nonDerivative · entry 1 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,203 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 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 4 and 5 below. F1 · price: In furtherance of a 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 4 and 5 below. F2 · price: Each OCGH Unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restriction, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH Units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH Units for, at the option of the Issuer's board of directors, Class A Units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other considerations of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 5) F3 · price: The adjustment will be made pursuant to the OCGH limited partnership agreement to account for the fact that as a result of the May 2007 restructuring, the interest of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| March 28, 2019 Filed Mar 29, 2019 21:29 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | GrantClass A Units | 23,885 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-009280 · doc4.xml · nonDerivative · entry 1 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,203 F1 · shares: Granted under the Issuer's 2011 Equity Incentive Plan and will generally vest in equal annual installments over four years with the first vesting date occurring on February 15, 2020. Read SEC document |
| June 05, 2018 Filed Jun 7, 2018 22:24 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | SaleClass A Units | 16,316 | $41.30 | $673,922.59 |
DisclosureSEC source: 0000899243-18-015592 · doc4.xml · nonDerivative · entry 1 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,318 F1 · price: This transaction was executed in multiple trades at prices ranging from $41.05 to $41.50. 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 |
| March 28, 2018 Filed Mar 29, 2018 20:20 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | GrantClass A Units | 23,006 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-008868 · doc4.xml · nonDerivative · entry 1 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,634 F1 · shares: Granted under the Issuer's 2011 Equity Incentive Plan and will generally vest in equal annual installments over four years with the first vesting date occurring on February 15, 2019. Read SEC document |
| February 15, 2018 Filed Feb 21, 2018 01:31 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | Tax withholdingClass A Units | 8,037 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-004686 · doc4.xml · nonDerivative · entry 1 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,628 F1 · shares: Represents the number of Class A units of the Issuer withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations upon the vesting of certain Class A units held by the Reporting Person. Read SEC document |
| February 12, 2018 Filed Feb 15, 2018 02:52 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | Exercise / conversionOCGH Units · Derivative | 9,420 | $43.95 | $414,009.00 |
DisclosureSEC source: 0000899243-18-004075 · doc4.xml · derivative · entry 1 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,884 Underlying: Class A · 9,420 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In connection with the February 2018 public offering (the "Offering") of the Issuer's Class A units (the "Class A units"), the Reporting Person exchanged 9,420 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for cash at a purchase price per OCGH unit of $43.95, which is equal to the price per Class A unit in the Offering paid to the Issuer by the underwriter, with adjustments to account for (i) financial advisory fees paid by the Issuer and (ii) the Reporting Person's disproportionate interest in the historical incentive income of certain of the Issuer's closed-end funds, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_price: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F1 · price: In connection with the February 2018 public offering (the "Offering") of the Issuer's Class A units (the "Class A units"), the Reporting Person exchanged 9,420 limited partnership units ("OCGH units") in Oaktree Capital Group Holdings, L.P. ("OCGH") for cash at a purchase price per OCGH unit of $43.95, which is equal to the price per Class A unit in the Offering paid to the Issuer by the underwriter, with adjustments to account for (i) financial advisory fees paid by the Issuer and (ii) the Reporting Person's disproportionate interest in the historical incentive income of certain of the Issuer's closed-end funds, as further described in footnotes 2 and 3 below. F2 · derivative.exercise_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. F2 · derivative.expiration_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) F3 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Read SEC document |
| January 01, 2018 Filed Jan 4, 2018 00:17 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | Tax withholdingClass A Units | 2,052 | $42.10 | $86,389.20 |
DisclosureSEC source: 0000899243-18-000374 · doc4.xml · nonDerivative · entry 1 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,665 F1 · shares: Represents the number of Class A units of the Issuer withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations upon the vesting of certain Class A units held by the Reporting Person. Read SEC document |
| December 08, 2017 Filed Dec 9, 2017 01:05 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | GiftClass A Units | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028307 · doc4.xml · nonDerivative · entry 2 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,717 Read SEC document |
| December 06, 2017 Filed Dec 9, 2017 01:05 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | Exercise / conversionOCGH Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028307 · doc4.xml · derivative · entry 3 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,304 Underlying: Class A Units · 2,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In furtherance of a charitable contribution, the Reporting Person exchanged 2,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 2,000 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 Reporting Person exchanged 2,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 2,000 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 |
| March 31, 2017 Filed Apr 5, 2017 16:43 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | GrantClass A Units | 22,621 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-009452 · doc4.xml · nonDerivative · entry 1 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,717 F1 · shares: Granted under the Issuer's 2011 Equity Incentive Plan and will generally vest in equal annual installments over four years with the first vesting date occurring on February 15, 2018. Read SEC document |
| February 16, 2017 Filed Feb 18, 2017 00:52 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | SaleClass A Units | 21,011 | $45.34 | $952,550.49 |
DisclosureSEC source: 0000899243-17-004604 · doc4.xml · nonDerivative · entry 1 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,096 F1 · price: This transaction was executed in multiple trades at prices ranging from $45.10 to $45.55. 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 |
| January 01, 2017 Filed Jan 5, 2017 01:17 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | Tax withholdingClass A Units | 2,070 | $37.50 | $77,625.00 |
DisclosureSEC source: 0000899243-17-000364 · doc4.xml · nonDerivative · entry 1 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,107 F1 · shares: Represents the number of Class A units of the Issuer withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations upon the vesting of certain Class A units held by the Reporting Person. Read SEC document |
| December 06, 2016 Filed Dec 9, 2017 01:05 UTC | Brookfield Oaktree Holdings, LLC OAK · Entity 8960 | Exercise / conversionClass A Units | 2,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-028307 · doc4.xml · nonDerivative · entry 1 Molz Todd E · CIK 0001529617 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,717 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 2,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 2,000 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 Reporting Person exchanged 2,000 limited partnership units ("OCGH Units") of Oaktree Capital Group Holdings, L.P. ("OCGH") for 2,000 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.