Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Fifth Street Asset Management Inc.FSAM · Entity 171240 | Co-President | January 03, 2017 | January 17, 2017 |
| Oaktree Specialty Lending CorpFSC · Entity 4863 | Director · Chief Executive Officer | February 14, 2017 | February 14, 2017 |
| Oaktree Strategic Income CorpFSFR · Entity 140960 | Director · Chief Executive Officer | February 14, 2017 | February 14, 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.
Fifth Street Asset Management Inc.
Report date January 03, 2017 · Filed January 17, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.95 · Expires 2022-01-02 | Direct | 750,000 |
Reported balance
After 2017-01-03 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-01-03 · Grant · Acquired 750,000 · Balance 750,000 F1: One-third of the shares subject to this option will vest on each of the first three anniversaries of the date of grant, which was January 3, 2017, subject to continued employment. |
| Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.95 · Expires 2023-01-02 | Direct | 250,000 |
Reported balance
After 2017-01-03 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-01-03 · Grant · Acquired 250,000 · Balance 250,000 |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 287,770 |
Reported balance
After 2017-01-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-01-03 · Grant · Acquired 287,770 · Balance 287,770 F2: 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. F3: One-fourth of the total number of restricted stock units will vest on each of the first four anniversaries of the date of grant, which was January 3, 2017, subject to continued employment. |
Filing footnotes · ownership attribution and instrument terms
F1: One-third of the shares subject to this option will vest on each of the first three anniversaries of the date of grant, which was January 3, 2017, subject to continued employment.
F2: 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.
F3: One-fourth of the total number of restricted stock units will vest on each of the first four anniversaries of the date of grant, which was January 3, 2017, subject to continued employment.
Oaktree Specialty Lending Corp
Report date February 14, 2017 · Filed February 14, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 22,500 |
Reported balance
After 2017-02-14 transaction · row 1
1 source rowRow 1 · 2017-02-14 · Purchase · Acquired 22,500 · Balance 22,500 |
Oaktree Strategic Income Corp
Report date February 14, 2017 · Filed February 14, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 11,500 |
Reported balance
After 2017-02-14 transaction · row 1
1 source rowRow 1 · 2017-02-14 · Purchase · Acquired 11,500 · Balance 11,500 F1: This transaction was executed in multiple trades at prices ranging from $8.81 to $8.90; 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 $8.81 to $8.90; 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 14, 2017 Filed Feb 14, 2017 22:48 UTC | Oaktree Specialty Lending Corp FSC · Entity 4863 | PurchaseCommon Stock | 22,500 | $4.57 | $102,825.00 |
DisclosureSEC source: 0001414932-17-000009 · wf-form4_148711246205023.xml · nonDerivative · entry 1 Dalton Patrick J · CIK 0001382492 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 Read SEC document |
| February 14, 2017 Filed Feb 14, 2017 17:49 UTC | Oaktree Strategic Income Corp FSFR · Entity 140960 | PurchaseCommon Stock | 11,500 | $8.88 | $102,120.00 |
DisclosureSEC source: 0001577791-17-000008 · wf-form4_148711255018183.xml · nonDerivative · entry 1 Dalton Patrick J · CIK 0001382492 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,500 F1 · price: This transaction was executed in multiple trades at prices ranging from $8.81 to $8.90; 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 |
| January 03, 2017 Filed Jan 17, 2017 19:22 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | GrantRestricted Stock Units · Derivative | 287,770 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-002522 · v457060_form4.xml · derivative · entry 3 Dalton Patrick J · CIK 0001382492 · Co-President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287,770 Underlying: Class A Common Stock · 287,770 shares Expires not disclosed F2 · 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. F3 · derivative.exercise_date: One-fourth of the total number of restricted stock units will vest on each of the first four anniversaries of the date of grant, which was January 3, 2017, subject to continued employment. F3 · derivative.expiration_date: One-fourth of the total number of restricted stock units will vest on each of the first four anniversaries of the date of grant, which was January 3, 2017, subject to continued employment. Read SEC document |
| January 03, 2017 Filed Jan 17, 2017 19:22 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | GrantOption (right to buy) · Derivative | 250,000 | $0.00 Strike: $6.95 | $0.00 |
DisclosureSEC source: 0001144204-17-002522 · v457060_form4.xml · derivative · entry 2 Dalton Patrick J · CIK 0001382492 · Co-President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Class A Common Stock · 250,000 shares Expires 2023-01-02 Read SEC document |
| January 03, 2017 Filed Jan 17, 2017 19:22 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | GrantOption (right to buy) · Derivative | 750,000 | $0.00 Strike: $6.95 | $0.00 |
DisclosureSEC source: 0001144204-17-002522 · v457060_form4.xml · derivative · entry 1 Dalton Patrick J · CIK 0001382492 · Co-President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750,000 Underlying: Class A Common Stock · 750,000 shares Expires 2022-01-02 F1 · derivative.exercise_date: One-third of the shares subject to this option will vest on each of the first three anniversaries of the date of grant, which was January 3, 2017, subject to continued employment. 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.