organization · Reporting owner
Oaktree Capital Group Holdings GP, LLC
Disclosed activity across 34 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AdvancePierre Foods Holdings, Inc.APFH · Entity 175379 | 10% owner | June 06, 2017 | June 08, 2017 |
| BATTALION OIL CORPBATL · Entity 6921 | Director · 10% owner | May 13, 2024 | May 16, 2024 |
| BROOKFIELD REAL ESTATE INCOME TRUST INC.N/A · Entity 20552 | 10% owner | November 24, 2025 | December 12, 2025 |
| CBL & ASSOCIATES PROPERTIES INCCBL · Entity 1483 | 10% owner | December 05, 2024 | December 09, 2024 |
| DITECH HOLDING CorpDHCP · Entity 161436 | 10% owner | February 09, 2018 | April 13, 2018 |
| EXCO RESOURCES INCXCO · Entity 167238 | Director · 10% owner | November 18, 2016 | November 22, 2016 |
| Energy XXI Gulf Coast, Inc.EXXI · Entity 162906 | 10% owner | March 01, 2017 | March 03, 2017 |
| ITG, Inc./DE/ITG · Entity 4695 | 10% owner | July 01, 2026 | July 02, 2026 |
| Infinera CorpINFN · Entity 82602 | 10% owner | March 19, 2020 | March 23, 2020 |
| Infrastructure & Energy Alternatives, Inc.IEA · Entity 123160 | Director · 10% owner | March 26, 2020 | April 02, 2020 |
| Oaktree Acquisition Corp. IIOACB · Entity 142657 | 10% owner | September 16, 2020 | February 16, 2021 |
| Oaktree Acquisition Corp. III Life SciencesOACC · Entity 6078 | 10% owner | October 30, 2024 | October 31, 2024 |
| Oaktree Asset-Backed Income Private Fund Inc.NONE · Entity 83268 | 10% owner | February 03, 2025 | February 13, 2025 |
| Oaktree Specialty Lending CorpOCSL · Entity 4863 | 10% owner | December 13, 2017 | December 16, 2017 |
| Oaktree Strategic Credit FundNONE · Entity 70355 | 10% owner | March 07, 2022 | March 09, 2022 |
| Oaktree Strategic Income CorpOCSI · Entity 140960 | 10% owner | March 08, 2018 | March 12, 2018 |
| Runway Growth Finance Corp.RWAY · Entity 6030 | 10% owner | November 17, 2025 | November 20, 2025 |
| STONEMOR PARTNERS LPSTON · Entity 152652 | 10% owner | May 14, 2018 | May 16, 2018 |
| Sitio Royalties Corp.STR · Entity 15067 | 10% owner | August 19, 2025 | August 22, 2025 |
| Townsquare Media, Inc.TSQ · Entity 6737 | 10% owner | March 09, 2021 | March 12, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AdvancePierre Foods Holdings, Inc.
Report date June 06, 2017 · Filed June 08, 2017
Jointly reported with OCM Principal Opportunities Fund IV Delaware, L.P., Brookfield Oaktree Holdings, LLC, Brookfield OCM Holdings, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-06-06 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-06-06 · Other · Disposed 31,732,120 · Balance 0 F1: Disposed of pursuant to a tender offer by Tyson Foods, Inc. ("Parent") to purchase all of the shares of common stock (the "Common Stock") of AdvancePierre Holdings, Inc. ("Issuer"), which shares were accepted for payment by parent on June 6, 2017, in connection with the merger of Issuer and DVB Merger Sub, Inc., a subsidiary of Parent. F2: Prior to the acceptance of the tender offer, OCM Principal Opportunities Fund IV Delaware, L.P. ("POF IV Delaware") directly owned 31,732,120 shares of Common Stock of Issuer. This Form 4 is also being filed by (i) OCM Principal Opportunities Fund IV Delaware GP Inc. ("POF IV Delaware GP"), in its capacity as the general partner of POF IV Delaware; (ii) OCM Principal Opportunities Fund IV, L.P. ("POF IV"), in its capacity as the sole shareholder of POF IV Delaware GP; (iii) OCM Principal Opportunities Fund IV GP, L.P. ("POF IV GP"), in its capacity as the general partner of POF IV; (iv) OCM Principal Opportunities Fund IV GP Ltd. ("POF IV GP Ltd"), in its capacity as the general partner of POF IV GP; (v) Oaktree Fund GP I, L.P. ("GP I") in its capacity as the sole shareholder of POF IV GP Ltd; (vi) Oaktree Capital Management, L.P. ("OCM LP"), in its capacity as the sole director of POF IV GP Ltd; (continued in footnote 3). F3: (continued from footnote 2) (vii) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of GP I; (viii) Oaktree Holdings, Inc. ("Holdings Inc."), in its capacity as the general partner of OCM LP; (ix) OCM Holdings I, LLC ("Holdings I"), in its capacity as the general partner of Capital I; (x) Oaktree Holdings, LLC ("Holdings LLC"), in its capacity as the managing member of Holdings I; (xi) Oaktree Capital Group, LLC ("OCG"), in its capacity as the managing member of Holdings LLC and in its capacity as the sole shareholder of Holdings Inc.; and (xii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and together with POF IV Delaware GP, POF IV Delaware, POF IV, POF IV GP, POF IV GP Ltd, GP I, OCM LP, Capital I, Holdings Inc., Holdings I, Holdings LLC and OCG, collectively, the "Reporting Persons"), in its capacity as the duly appointed manager of OCG. F4: Each Reporting Person disclaims beneficial ownership of all Common Stock reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any Common Stock covered by this Form 4. F5: OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, and Sheldon M. Stone (each, an "OCGH GP Member" and collectively, the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the Common Stock reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the Common Stock reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any Common Stock covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to a tender offer by Tyson Foods, Inc. ("Parent") to purchase all of the shares of common stock (the "Common Stock") of AdvancePierre Holdings, Inc. ("Issuer"), which shares were accepted for payment by parent on June 6, 2017, in connection with the merger of Issuer and DVB Merger Sub, Inc., a subsidiary of Parent.
F2: Prior to the acceptance of the tender offer, OCM Principal Opportunities Fund IV Delaware, L.P. ("POF IV Delaware") directly owned 31,732,120 shares of Common Stock of Issuer. This Form 4 is also being filed by (i) OCM Principal Opportunities Fund IV Delaware GP Inc. ("POF IV Delaware GP"), in its capacity as the general partner of POF IV Delaware; (ii) OCM Principal Opportunities Fund IV, L.P. ("POF IV"), in its capacity as the sole shareholder of POF IV Delaware GP; (iii) OCM Principal Opportunities Fund IV GP, L.P. ("POF IV GP"), in its capacity as the general partner of POF IV; (iv) OCM Principal Opportunities Fund IV GP Ltd. ("POF IV GP Ltd"), in its capacity as the general partner of POF IV GP; (v) Oaktree Fund GP I, L.P. ("GP I") in its capacity as the sole shareholder of POF IV GP Ltd; (vi) Oaktree Capital Management, L.P. ("OCM LP"), in its capacity as the sole director of POF IV GP Ltd; (continued in footnote 3).
F3: (continued from footnote 2) (vii) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of GP I; (viii) Oaktree Holdings, Inc. ("Holdings Inc."), in its capacity as the general partner of OCM LP; (ix) OCM Holdings I, LLC ("Holdings I"), in its capacity as the general partner of Capital I; (x) Oaktree Holdings, LLC ("Holdings LLC"), in its capacity as the managing member of Holdings I; (xi) Oaktree Capital Group, LLC ("OCG"), in its capacity as the managing member of Holdings LLC and in its capacity as the sole shareholder of Holdings Inc.; and (xii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and together with POF IV Delaware GP, POF IV Delaware, POF IV, POF IV GP, POF IV GP Ltd, GP I, OCM LP, Capital I, Holdings Inc., Holdings I, Holdings LLC and OCG, collectively, the "Reporting Persons"), in its capacity as the duly appointed manager of OCG.
F4: Each Reporting Person disclaims beneficial ownership of all Common Stock reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any Common Stock covered by this Form 4.
F5: OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, and Sheldon M. Stone (each, an "OCGH GP Member" and collectively, the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the Common Stock reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the Common Stock reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any Common Stock covered by this Form 4.
BATTALION OIL CORP
Report date May 13, 2024 · Filed May 16, 2024 · Amendment
Jointly reported with Brookfield Oaktree Holdings, LLC, Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, Oaktree Capital I, L.P., BAM Partners Trust, BROOKFIELD Corp /ON/, Oaktree Fund GP, LLC, OCM HLCN Holdings, L.P., OAKTREE FUND GP I, L.P.
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 |
|---|---|---|---|
| Series A-4 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnotes | 6,376 |
Reported balance
After 2024-05-13 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2024-05-13 · Grant · Acquired 6,376 · Balance 6,376 F6: Pursuant to the Certificate of Designations contemplated by the Series A-4 Purchase Agreement (the "Series A-4 Certificate of Designations"), the conversion price of the Series A-4 Preferred Shares is $6.42 per share and is subject to adjustment for stock splits, combinations, certain distributions or similar events in accordance with the terms of the Series A-4 Certificate of Designations. F5: Pursuant to a Purchase Agreement dated as of May 13, 2024 (the "Series A-4 Purchase Agreement"), on May 13, 2024 (the "Issuance Date"), OCM HLCN acquired from the Issuer 6,376 shares of Series A-4 Redeemable Convertible Preferred Stock of the Issuer, par value $0.0001 per share (the "Series A-4 Preferred Shares") convertible into shares of Common Stock for an aggregate purchase price of approximately $6.2 million. F7: Subject to the terms and conditions of the Series A-4 Certificate of Designations, commencing on September 10, 2024, all or any portion of the Series A-4 Preferred Shares may be converted by OCM HLCN at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-4 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-4 Certificate of Designations) and (ii) the then-applicable conversion price. F8: The Series A-4 Preferred Shares have no expiration date. If based on the Issuer's financial statements for any fiscal quarter and a reserve report as of the same date, as of such date: (x) the PDP PV-20 value (as determined in accordance with the Series A-4 Certificate of Designations) divided by (y) the number of outstanding shares of Common Stock, calculated on a fully diluted basis is equal to or exceeds 130% of the Conversion Price, then the Issuer may, from time to time until such time that the foregoing conditions are no longer satisfied or a Material Adverse Effect (as defined in the Series A-4 Purchase Agreement) has occurred since the date of the most financial statements that met the foregoing conditions, cause the conversion of all or any portion of the Series A-4 Preferred Shares into Common Stock using the then-applicable Conversion Ratio. F9: The Series A-4 Preferred Shares are also subject to redemption by the Issuer at any time following the Issuance Date in accordance with the terms of the Series A-4 Certificate of Designations. In the event of a change of control transaction, the Series A-4 Preferred Shares are subject to redemption or conversion in accordance with the terms of the Series A-4 Certificate of Designations. F1: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) OCM HLCN Holdings, L.P. ("OCM HLCN"), (ii) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of OCM HLCN, (iii) Oaktree Fund GP I, L.P. ("Fund GP I"), in its capacity as the managing member of Fund GP, (iv) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of Fund GP I, (v) Brookfield OCM Holdings II, LLC (f/k/a OCM Holdings I, LLC) ("Holdings II"), in its capacity as general partner of Capital I, (vi) Brookfield OCM Holdings, LLC (f/k/a Oaktree Holdings, LLC) ("Holdings LLC"), in its capacity as the managing member of Holdings II, (vii) Brookfield Oaktree Holdings, LLC (f/k/a Oaktree Capital Group, LLC) ("BOH"), in its capacity as managing member of Holdings LLC, (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of BOH, F2: (cont.) (ix) Brookfield Corporation ("Brookfield"), in its capacity as the indirect owner of class A units of BOH, and (x) BAM Partners Trust ("BAM Partnership"), in its capacity as the sole owner of class B limited voting shares of Brookfield. Brookfield Oaktree Holdings, LLC is managed by its ten-member board of directors. OCGH GP, in its capacity as the indirect owner of the class B units of BOH, and Brookfield, in its capacity as the indirect owner of the class A units of BOH, each have the ability to appoint and remove certain directors of BOH and, as such, may indirectly control the decisions of BOH regarding the vote and disposition of securities held by OCM HLCN. BAM Partnership, in its capacity as the sole owner of Class B Limited Voting Shares of Brookfield, has the ability to appoint and remove certain directors of Brookfield and, as such, may indirectly control the decisions of Brookfield regarding the vote and disposition of securities held by OCM HLCN. F3: (cont.) The securities reported herein are directly beneficially owned by OCM HLCN. F4: Each of the Reporting Persons expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of their respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F10: Because of technical issues with its EDGAR filing codes, Brookfield was omitted as a Reporting Person on the Form 4 filed May 15, 2024 (the "Original Filing"), although Brookfield's indirect ownership was accurately described in footnotes 1, 2, 3 and 4 of the Original Filing. This amendment and restatement of the Original Filing is being filed solely to correct this omission. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) OCM HLCN Holdings, L.P. ("OCM HLCN"), (ii) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of OCM HLCN, (iii) Oaktree Fund GP I, L.P. ("Fund GP I"), in its capacity as the managing member of Fund GP, (iv) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of Fund GP I, (v) Brookfield OCM Holdings II, LLC (f/k/a OCM Holdings I, LLC) ("Holdings II"), in its capacity as general partner of Capital I, (vi) Brookfield OCM Holdings, LLC (f/k/a Oaktree Holdings, LLC) ("Holdings LLC"), in its capacity as the managing member of Holdings II, (vii) Brookfield Oaktree Holdings, LLC (f/k/a Oaktree Capital Group, LLC) ("BOH"), in its capacity as managing member of Holdings LLC, (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of BOH,
F2: (cont.) (ix) Brookfield Corporation ("Brookfield"), in its capacity as the indirect owner of class A units of BOH, and (x) BAM Partners Trust ("BAM Partnership"), in its capacity as the sole owner of class B limited voting shares of Brookfield. Brookfield Oaktree Holdings, LLC is managed by its ten-member board of directors. OCGH GP, in its capacity as the indirect owner of the class B units of BOH, and Brookfield, in its capacity as the indirect owner of the class A units of BOH, each have the ability to appoint and remove certain directors of BOH and, as such, may indirectly control the decisions of BOH regarding the vote and disposition of securities held by OCM HLCN. BAM Partnership, in its capacity as the sole owner of Class B Limited Voting Shares of Brookfield, has the ability to appoint and remove certain directors of Brookfield and, as such, may indirectly control the decisions of Brookfield regarding the vote and disposition of securities held by OCM HLCN.
F3: (cont.) The securities reported herein are directly beneficially owned by OCM HLCN.
F4: Each of the Reporting Persons expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of their respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.
F5: Pursuant to a Purchase Agreement dated as of May 13, 2024 (the "Series A-4 Purchase Agreement"), on May 13, 2024 (the "Issuance Date"), OCM HLCN acquired from the Issuer 6,376 shares of Series A-4 Redeemable Convertible Preferred Stock of the Issuer, par value $0.0001 per share (the "Series A-4 Preferred Shares") convertible into shares of Common Stock for an aggregate purchase price of approximately $6.2 million.
F6: Pursuant to the Certificate of Designations contemplated by the Series A-4 Purchase Agreement (the "Series A-4 Certificate of Designations"), the conversion price of the Series A-4 Preferred Shares is $6.42 per share and is subject to adjustment for stock splits, combinations, certain distributions or similar events in accordance with the terms of the Series A-4 Certificate of Designations.
F7: Subject to the terms and conditions of the Series A-4 Certificate of Designations, commencing on September 10, 2024, all or any portion of the Series A-4 Preferred Shares may be converted by OCM HLCN at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-4 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-4 Certificate of Designations) and (ii) the then-applicable conversion price.
F8: The Series A-4 Preferred Shares have no expiration date. If based on the Issuer's financial statements for any fiscal quarter and a reserve report as of the same date, as of such date: (x) the PDP PV-20 value (as determined in accordance with the Series A-4 Certificate of Designations) divided by (y) the number of outstanding shares of Common Stock, calculated on a fully diluted basis is equal to or exceeds 130% of the Conversion Price, then the Issuer may, from time to time until such time that the foregoing conditions are no longer satisfied or a Material Adverse Effect (as defined in the Series A-4 Purchase Agreement) has occurred since the date of the most financial statements that met the foregoing conditions, cause the conversion of all or any portion of the Series A-4 Preferred Shares into Common Stock using the then-applicable Conversion Ratio.
F9: The Series A-4 Preferred Shares are also subject to redemption by the Issuer at any time following the Issuance Date in accordance with the terms of the Series A-4 Certificate of Designations. In the event of a change of control transaction, the Series A-4 Preferred Shares are subject to redemption or conversion in accordance with the terms of the Series A-4 Certificate of Designations.
F10: Because of technical issues with its EDGAR filing codes, Brookfield was omitted as a Reporting Person on the Form 4 filed May 15, 2024 (the "Original Filing"), although Brookfield's indirect ownership was accurately described in footnotes 1, 2, 3 and 4 of the Original Filing. This amendment and restatement of the Original Filing is being filed solely to correct this omission.
BROOKFIELD REAL ESTATE INCOME TRUST INC.
Report date November 24, 2025 · Filed December 12, 2025 · Amendment
Jointly reported with BROOKFIELD Corp /ON/, Brookfield Holdings Canada Inc., Brookfield Corporate Treasury Ltd., Brookfield Oaktree Holdings Canada LLC, Brookfield Oaktree Holdings, LLC, OCG NTR Holdings, LLC, BUSI II GP-C LLC, BUSI II-C L.P.
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 I Common StockSEC Table I · non-derivative | IndirectHeld by BUSI II-C L.P. | 26,882,237 |
Reported balance
Holding disclosure · report date 2025-11-24 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance 26,882,237 F1: These shares are held directly by BUSI II-C L.P. ("BUSI II-C"). Brookfield Corporation ("BCORP") is a holder of common shares of Brookfield Holdings Canada Inc. ("BHC"). BHC is the sole shareholder of Brookfield Corporate Treasury Ltd. ("BCT"). BCT is the sole holder of common shares of Brookfield Oaktree Holdings Canada Inc. ("BOHC"), which is a holder of Class A units of Brookfield Oaktree Holdings, LLC ("OCG LLC"). Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the indirect owner of the class B units of OCG LLC. OCG LLC is the sole common shareholder of OCG NTR Holdings, LLC ("OCG NTR"), which is the managing member of BUSI II GP-C LLC ("BUSI II GP-C") and a limited partner of BUSI II-C. BUSI II GP-C is the general partner of BUSI II-C. F4: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. |
| Class E Common StockSEC Table I · non-derivative | IndirectHeld by BUSI II-C L.P. | 2,842,438 |
Reported balance
Holding disclosure · report date 2025-11-24 · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · Balance 2,842,438 F1: These shares are held directly by BUSI II-C L.P. ("BUSI II-C"). Brookfield Corporation ("BCORP") is a holder of common shares of Brookfield Holdings Canada Inc. ("BHC"). BHC is the sole shareholder of Brookfield Corporate Treasury Ltd. ("BCT"). BCT is the sole holder of common shares of Brookfield Oaktree Holdings Canada Inc. ("BOHC"), which is a holder of Class A units of Brookfield Oaktree Holdings, LLC ("OCG LLC"). Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the indirect owner of the class B units of OCG LLC. OCG LLC is the sole common shareholder of OCG NTR Holdings, LLC ("OCG NTR"), which is the managing member of BUSI II GP-C LLC ("BUSI II GP-C") and a limited partner of BUSI II-C. BUSI II GP-C is the general partner of BUSI II-C. F4: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. |
| Class E Common StockSEC Table I · non-derivative | IndirectHeld by BIM Capital LLC | 72,256 |
Reported balance
Holding disclosure · report date 2025-11-24 · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · Balance 72,256 F2: These shares are held directly by BIM Capital LLC ("BIM") and indirectly by BCORP, BAM, Brookfield Asset Management ULC ("BAM-ULC"), Brookfield US Holdings Inc. ("BUSHI"), Brookfield US Inc. ("BUSI") and Brookfield Public Securities Group Holdings LLC ("PSG Holdings"). BCORP is a holder of common shares of BAM-ULC, an ownership interest in BAM and special tracking preferred shares and Class B senior preferred shares of BUSHI. BAM is a holder of common shares of BAM-ULC. BAM-ULC is the holder of Class B common shares of BUSHI. BUSHI is the holder of Class A common shares and Class C preferred shares of BUSI. BUSI is the managing member of PSG Holdings, which is the managing member of BIM. F4: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. |
| Class I Common StockSEC Table I · non-derivative | IndirectHeld by Brookfield REIT Adviser LLC | 420,303 |
Reported balance
Holding disclosure · report date 2025-11-24 · row 4
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 4 · Balance 420,303 F3: These shares are held directly by the Brookfield REIT Adviser LLC (the "Adviser") and indirectly by BCORP, BAM, BAM-ULC, BUSHI, BUSI, Brookfield Property Master Holdings LLC ("BPM Holdings") and Brookfield Property Group LLC ("BPG"). BCORP is a holder of common shares of BAM-ULC, an ownership interest in BAM and special tracking preferred shares and Class B senior preferred shares of BUSHI. BAM is a holder of common shares of BAM-ULC. BAM-ULC is the holder of Class B common shares of BUSHI. BUSHI is the holder of Class A common shares and Class C preferred shares of BUSI. BUSI is the managing member of BPM Holdings. BPM Holdings is the sole member of BPG, which is the managing member of the Adviser. F4: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are held directly by BUSI II-C L.P. ("BUSI II-C"). Brookfield Corporation ("BCORP") is a holder of common shares of Brookfield Holdings Canada Inc. ("BHC"). BHC is the sole shareholder of Brookfield Corporate Treasury Ltd. ("BCT"). BCT is the sole holder of common shares of Brookfield Oaktree Holdings Canada Inc. ("BOHC"), which is a holder of Class A units of Brookfield Oaktree Holdings, LLC ("OCG LLC"). Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the indirect owner of the class B units of OCG LLC. OCG LLC is the sole common shareholder of OCG NTR Holdings, LLC ("OCG NTR"), which is the managing member of BUSI II GP-C LLC ("BUSI II GP-C") and a limited partner of BUSI II-C. BUSI II GP-C is the general partner of BUSI II-C.
F2: These shares are held directly by BIM Capital LLC ("BIM") and indirectly by BCORP, BAM, Brookfield Asset Management ULC ("BAM-ULC"), Brookfield US Holdings Inc. ("BUSHI"), Brookfield US Inc. ("BUSI") and Brookfield Public Securities Group Holdings LLC ("PSG Holdings"). BCORP is a holder of common shares of BAM-ULC, an ownership interest in BAM and special tracking preferred shares and Class B senior preferred shares of BUSHI. BAM is a holder of common shares of BAM-ULC. BAM-ULC is the holder of Class B common shares of BUSHI. BUSHI is the holder of Class A common shares and Class C preferred shares of BUSI. BUSI is the managing member of PSG Holdings, which is the managing member of BIM.
F3: These shares are held directly by the Brookfield REIT Adviser LLC (the "Adviser") and indirectly by BCORP, BAM, BAM-ULC, BUSHI, BUSI, Brookfield Property Master Holdings LLC ("BPM Holdings") and Brookfield Property Group LLC ("BPG"). BCORP is a holder of common shares of BAM-ULC, an ownership interest in BAM and special tracking preferred shares and Class B senior preferred shares of BUSHI. BAM is a holder of common shares of BAM-ULC. BAM-ULC is the holder of Class B common shares of BUSHI. BUSHI is the holder of Class A common shares and Class C preferred shares of BUSI. BUSI is the managing member of BPM Holdings. BPM Holdings is the sole member of BPG, which is the managing member of the Adviser.
F4: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
CBL & ASSOCIATES PROPERTIES INC
Report date December 05, 2024 · Filed December 09, 2024
Jointly reported with OCM Xb CBL-E Holdings, LLC, Oaktree Capital Holdings, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 2,983,967 |
Reported balance
After 2024-12-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-12-05 · Sale · Disposed 1,000,000 · Balance 2,983,967 F1: Reflects securities directly held by OCM Xb CBL-E Holdings ("Xb CBL-E"). Oaktree Capital Holdings, LLC ("OCH"), as the indirect manager of Xb CBL-E, and Oaktree Capital Group Holdings, GP LLC ("OCGH"), as the indirect owner of the class B units of OCH, may be deemed to beneficially own the reported securities held directly by Xb CBL-E. Each of the Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects securities directly held by OCM Xb CBL-E Holdings ("Xb CBL-E"). Oaktree Capital Holdings, LLC ("OCH"), as the indirect manager of Xb CBL-E, and Oaktree Capital Group Holdings, GP LLC ("OCGH"), as the indirect owner of the class B units of OCH, may be deemed to beneficially own the reported securities held directly by Xb CBL-E. Each of the Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.
DITECH HOLDING Corp
Report date February 09, 2018 · Filed April 13, 2018 · Amendment
Jointly reported with OAKTREE CAPITAL MANAGEMENT LP, Oaktree Holdings, Inc., Brookfield Oaktree Holdings, LLC
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 |
|---|---|---|---|
| Mandatorily Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2018-02-09 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance Not disclosed F1: The purpose of this amendment is to withdraw the Form 3 filed on 2/20/2018. The Reporting Persons (as defined below) are not (and at no time were) a 10% owner of the Issuer due to the application of exemptions under Rule 16a-1(a)(1) of the Securities Exchange Act of 1934. F2: N/A F3: This Form 3 is being filed jointly by (i) Oaktree Capital Management, L.P., a Delaware limited partnership and a registered investment adviser under the Investment Advisers Act of 1940, as amended ("Oaktree"), whose principal business is to provide investment advisory services to investment funds and accounts; (ii) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), whose principal business is to serve as, and perform the functions of, the general partner of certain entities affiliated with the Reporting Persons and to hold limited partnership interests in such entities; (iii) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), F4: (Continued from footnote 2) whose principal business is to act as the holding company and controlling entity of each of the general partner and investment adviser of certain investment funds and separately managed accounts; and (iv) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP" and, together with Oaktree, Holdings, Inc. and OCG, the "Reporting Persons"), whose principal business is to serve as, and perform the functions of, the manager of OCG. |
Filing footnotes · ownership attribution and instrument terms
F1: The purpose of this amendment is to withdraw the Form 3 filed on 2/20/2018. The Reporting Persons (as defined below) are not (and at no time were) a 10% owner of the Issuer due to the application of exemptions under Rule 16a-1(a)(1) of the Securities Exchange Act of 1934.
F2: N/A
F3: This Form 3 is being filed jointly by (i) Oaktree Capital Management, L.P., a Delaware limited partnership and a registered investment adviser under the Investment Advisers Act of 1940, as amended ("Oaktree"), whose principal business is to provide investment advisory services to investment funds and accounts; (ii) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), whose principal business is to serve as, and perform the functions of, the general partner of certain entities affiliated with the Reporting Persons and to hold limited partnership interests in such entities; (iii) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"),
F4: (Continued from footnote 2) whose principal business is to act as the holding company and controlling entity of each of the general partner and investment adviser of certain investment funds and separately managed accounts; and (iv) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP" and, together with Oaktree, Holdings, Inc. and OCG, the "Reporting Persons"), whose principal business is to serve as, and perform the functions of, the manager of OCG.
EXCO RESOURCES INC
Report date November 18, 2016 · Filed November 22, 2016
Jointly reported with OCM EXCO Holdings, LLC, OAKTREE CAPITAL MANAGEMENT LP, Oaktree Holdings, Inc., Brookfield Oaktree Holdings, LLC, Oaktree Capital Group Holdings, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 30,778,682 |
Last balance in matching sequence
After 2016-11-18 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2016-11-18 · Sale · Disposed 909,453 · Balance 36,869,229 F8: On November 18, 2016, Fund III sold 909,453 shares of Common Stock in a privately negotiated transaction. F1: This Form 4 is being filed by (i) OCM Principal Opportunities Fund IV Delaware, L.P. ("Fund IV Delaware"); (ii) OCM Principal Opportunities Fund IV Delaware GP Inc. ("Fund IV Delaware GP"), in its capacity as general partner of Fund IV Delaware; (iii) OCM Principal Opportunities Fund IV, L.P. ("Fund IV"), in its capacity as sole shareholder of Fund IV Delaware GP; (iv) OCM Principal Opportunities Fund IV GP, L.P. ("Fund IV GP"), in its capacity as general partner of Fund IV; (v) OCM Principal Opportunities Fund IV GP Ltd. ("Fund IV GP Ltd."), in its capacity as general partner of Fund IV GP; (vi) OCM Principal Opportunities Fund III, L.P. ("Fund III"); (vii) OCM Principal Opportunities Fund IIIA, L.P. ("Fund IIIA"); and (viii) OCM Principal Opportunities Fund III GP, L.P. ("Fund III GP"), in its capacity as general partner of Fund III and Fund IIIA. F2: This Form 4 is also being filed by (i) Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings''); (ii) Oaktree Value Opportunities Fund GP, L.P. ("VOFGP"), in its capacity as general partner of VOF Holdings; (iii) Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd."), in its capacity as general partner of VOFGP; (iv) OCM FIE, LLC ("FIE"); (v) Oaktree Fund GP I, L.P. ("GP I"), in its capacity as sole shareholder of Fund IV GP Ltd. and VOF GP Ltd. and the general partner of Fund III GP; (vi) Oaktree Capital I, L.P. ("Capital I"), in its capacity as general partner of GP I; (vii) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I; and (viii) Oaktree Holdings, LLC ("Holdings"), in its capacity as managing member of Holdings I. F3: This Form 4 is also being filed by (i) OCM EXCO Holdings, LLC ("OCM EXCO"); (ii) Oaktree Capital Management, L.P. (formerly Oaktree Capital Management, LLC) ("Oaktree LP"), in its capacity as managing member of FIE, manager of OCM EXCO and director of Fund IV GP Ltd. and VOF GP Ltd.; (iii) Oaktree Holdings, Inc. ("Holdings Inc."), in its capacity as general partner of Oaktree LP; (iv) Oaktree Capital Group, LLC ("OCG"), in its capacity as managing member of Holdings and the sole shareholder of Holdings Inc.; and (v) Oaktree Capital Group Holdings, L.P. ("OCGH"), in its capacity as holder of a majority of the voting units of OCG. F4: This Form 4 is also being filed by Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as general partner of OCGH and manager of OCG (each of Fund IV Delaware, Fund IV Delaware GP, Fund IV, Fund IV GP, Fund IV GP Ltd., Fund III, Fund IIIA, Fund III GP, VOF Holdings, VOFGP, VOF GP Ltd., FIE, GP I, Capital I, Holdings I, Holdings, OCM EXCO, Oaktree LP, Holdings Inc., OCG, OCGH and OCGH GP, a "Reporting Person" and collectively, the "Reporting Persons"). F5: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person, other than Fund IV Delaware, Fund III, Fund IIIA, VOF Holdings and OCM EXCO with respect to their respective direct holdings, disclaims beneficial ownership for the securities reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4. F6: OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, Sheldon M. Stone, Stephen A. Kaplan and David M. Kirchheimer (each, an "OCGH GP Member" and collectively, the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4. F7: The Reporting Persons, other than Fund III GP, Fund III and Fund IIIA, may be deemed a director by virtue of their right to designate a representative to be nominated by the Issuer to serve on the Issuer's board of directors. Row 2 · 2016-11-18 · Sale · Disposed 16,670 · Balance 36,852,559 F9: On November 18, 2016, Fund IIIA sold 16,670 shares of Common Stock in a privately negotiated transaction. F1: This Form 4 is being filed by (i) OCM Principal Opportunities Fund IV Delaware, L.P. ("Fund IV Delaware"); (ii) OCM Principal Opportunities Fund IV Delaware GP Inc. ("Fund IV Delaware GP"), in its capacity as general partner of Fund IV Delaware; (iii) OCM Principal Opportunities Fund IV, L.P. ("Fund IV"), in its capacity as sole shareholder of Fund IV Delaware GP; (iv) OCM Principal Opportunities Fund IV GP, L.P. ("Fund IV GP"), in its capacity as general partner of Fund IV; (v) OCM Principal Opportunities Fund IV GP Ltd. ("Fund IV GP Ltd."), in its capacity as general partner of Fund IV GP; (vi) OCM Principal Opportunities Fund III, L.P. ("Fund III"); (vii) OCM Principal Opportunities Fund IIIA, L.P. ("Fund IIIA"); and (viii) OCM Principal Opportunities Fund III GP, L.P. ("Fund III GP"), in its capacity as general partner of Fund III and Fund IIIA. F2: This Form 4 is also being filed by (i) Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings''); (ii) Oaktree Value Opportunities Fund GP, L.P. ("VOFGP"), in its capacity as general partner of VOF Holdings; (iii) Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd."), in its capacity as general partner of VOFGP; (iv) OCM FIE, LLC ("FIE"); (v) Oaktree Fund GP I, L.P. ("GP I"), in its capacity as sole shareholder of Fund IV GP Ltd. and VOF GP Ltd. and the general partner of Fund III GP; (vi) Oaktree Capital I, L.P. ("Capital I"), in its capacity as general partner of GP I; (vii) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I; and (viii) Oaktree Holdings, LLC ("Holdings"), in its capacity as managing member of Holdings I. F3: This Form 4 is also being filed by (i) OCM EXCO Holdings, LLC ("OCM EXCO"); (ii) Oaktree Capital Management, L.P. (formerly Oaktree Capital Management, LLC) ("Oaktree LP"), in its capacity as managing member of FIE, manager of OCM EXCO and director of Fund IV GP Ltd. and VOF GP Ltd.; (iii) Oaktree Holdings, Inc. ("Holdings Inc."), in its capacity as general partner of Oaktree LP; (iv) Oaktree Capital Group, LLC ("OCG"), in its capacity as managing member of Holdings and the sole shareholder of Holdings Inc.; and (v) Oaktree Capital Group Holdings, L.P. ("OCGH"), in its capacity as holder of a majority of the voting units of OCG. F4: This Form 4 is also being filed by Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as general partner of OCGH and manager of OCG (each of Fund IV Delaware, Fund IV Delaware GP, Fund IV, Fund IV GP, Fund IV GP Ltd., Fund III, Fund IIIA, Fund III GP, VOF Holdings, VOFGP, VOF GP Ltd., FIE, GP I, Capital I, Holdings I, Holdings, OCM EXCO, Oaktree LP, Holdings Inc., OCG, OCGH and OCGH GP, a "Reporting Person" and collectively, the "Reporting Persons"). F5: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person, other than Fund IV Delaware, Fund III, Fund IIIA, VOF Holdings and OCM EXCO with respect to their respective direct holdings, disclaims beneficial ownership for the securities reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4. F6: OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, Sheldon M. Stone, Stephen A. Kaplan and David M. Kirchheimer (each, an "OCGH GP Member" and collectively, the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4. F7: The Reporting Persons, other than Fund III GP, Fund III and Fund IIIA, may be deemed a director by virtue of their right to designate a representative to be nominated by the Issuer to serve on the Issuer's board of directors. Row 3 · 2016-11-18 · Sale · Disposed 6,073,877 · Balance 30,778,682 F10: On November 18, 2016, Fund IV sold 6,073,877 shares of Common Stock in a privately negotiated transaction. F1: This Form 4 is being filed by (i) OCM Principal Opportunities Fund IV Delaware, L.P. ("Fund IV Delaware"); (ii) OCM Principal Opportunities Fund IV Delaware GP Inc. ("Fund IV Delaware GP"), in its capacity as general partner of Fund IV Delaware; (iii) OCM Principal Opportunities Fund IV, L.P. ("Fund IV"), in its capacity as sole shareholder of Fund IV Delaware GP; (iv) OCM Principal Opportunities Fund IV GP, L.P. ("Fund IV GP"), in its capacity as general partner of Fund IV; (v) OCM Principal Opportunities Fund IV GP Ltd. ("Fund IV GP Ltd."), in its capacity as general partner of Fund IV GP; (vi) OCM Principal Opportunities Fund III, L.P. ("Fund III"); (vii) OCM Principal Opportunities Fund IIIA, L.P. ("Fund IIIA"); and (viii) OCM Principal Opportunities Fund III GP, L.P. ("Fund III GP"), in its capacity as general partner of Fund III and Fund IIIA. F2: This Form 4 is also being filed by (i) Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings''); (ii) Oaktree Value Opportunities Fund GP, L.P. ("VOFGP"), in its capacity as general partner of VOF Holdings; (iii) Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd."), in its capacity as general partner of VOFGP; (iv) OCM FIE, LLC ("FIE"); (v) Oaktree Fund GP I, L.P. ("GP I"), in its capacity as sole shareholder of Fund IV GP Ltd. and VOF GP Ltd. and the general partner of Fund III GP; (vi) Oaktree Capital I, L.P. ("Capital I"), in its capacity as general partner of GP I; (vii) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I; and (viii) Oaktree Holdings, LLC ("Holdings"), in its capacity as managing member of Holdings I. F3: This Form 4 is also being filed by (i) OCM EXCO Holdings, LLC ("OCM EXCO"); (ii) Oaktree Capital Management, L.P. (formerly Oaktree Capital Management, LLC) ("Oaktree LP"), in its capacity as managing member of FIE, manager of OCM EXCO and director of Fund IV GP Ltd. and VOF GP Ltd.; (iii) Oaktree Holdings, Inc. ("Holdings Inc."), in its capacity as general partner of Oaktree LP; (iv) Oaktree Capital Group, LLC ("OCG"), in its capacity as managing member of Holdings and the sole shareholder of Holdings Inc.; and (v) Oaktree Capital Group Holdings, L.P. ("OCGH"), in its capacity as holder of a majority of the voting units of OCG. F4: This Form 4 is also being filed by Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as general partner of OCGH and manager of OCG (each of Fund IV Delaware, Fund IV Delaware GP, Fund IV, Fund IV GP, Fund IV GP Ltd., Fund III, Fund IIIA, Fund III GP, VOF Holdings, VOFGP, VOF GP Ltd., FIE, GP I, Capital I, Holdings I, Holdings, OCM EXCO, Oaktree LP, Holdings Inc., OCG, OCGH and OCGH GP, a "Reporting Person" and collectively, the "Reporting Persons"). F5: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person, other than Fund IV Delaware, Fund III, Fund IIIA, VOF Holdings and OCM EXCO with respect to their respective direct holdings, disclaims beneficial ownership for the securities reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4. F6: OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, Sheldon M. Stone, Stephen A. Kaplan and David M. Kirchheimer (each, an "OCGH GP Member" and collectively, the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4. F7: The Reporting Persons, other than Fund III GP, Fund III and Fund IIIA, may be deemed a director by virtue of their right to designate a representative to be nominated by the Issuer to serve on the Issuer's board of directors. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed by (i) OCM Principal Opportunities Fund IV Delaware, L.P. ("Fund IV Delaware"); (ii) OCM Principal Opportunities Fund IV Delaware GP Inc. ("Fund IV Delaware GP"), in its capacity as general partner of Fund IV Delaware; (iii) OCM Principal Opportunities Fund IV, L.P. ("Fund IV"), in its capacity as sole shareholder of Fund IV Delaware GP; (iv) OCM Principal Opportunities Fund IV GP, L.P. ("Fund IV GP"), in its capacity as general partner of Fund IV; (v) OCM Principal Opportunities Fund IV GP Ltd. ("Fund IV GP Ltd."), in its capacity as general partner of Fund IV GP; (vi) OCM Principal Opportunities Fund III, L.P. ("Fund III"); (vii) OCM Principal Opportunities Fund IIIA, L.P. ("Fund IIIA"); and (viii) OCM Principal Opportunities Fund III GP, L.P. ("Fund III GP"), in its capacity as general partner of Fund III and Fund IIIA.
F2: This Form 4 is also being filed by (i) Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings''); (ii) Oaktree Value Opportunities Fund GP, L.P. ("VOFGP"), in its capacity as general partner of VOF Holdings; (iii) Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd."), in its capacity as general partner of VOFGP; (iv) OCM FIE, LLC ("FIE"); (v) Oaktree Fund GP I, L.P. ("GP I"), in its capacity as sole shareholder of Fund IV GP Ltd. and VOF GP Ltd. and the general partner of Fund III GP; (vi) Oaktree Capital I, L.P. ("Capital I"), in its capacity as general partner of GP I; (vii) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I; and (viii) Oaktree Holdings, LLC ("Holdings"), in its capacity as managing member of Holdings I.
F3: This Form 4 is also being filed by (i) OCM EXCO Holdings, LLC ("OCM EXCO"); (ii) Oaktree Capital Management, L.P. (formerly Oaktree Capital Management, LLC) ("Oaktree LP"), in its capacity as managing member of FIE, manager of OCM EXCO and director of Fund IV GP Ltd. and VOF GP Ltd.; (iii) Oaktree Holdings, Inc. ("Holdings Inc."), in its capacity as general partner of Oaktree LP; (iv) Oaktree Capital Group, LLC ("OCG"), in its capacity as managing member of Holdings and the sole shareholder of Holdings Inc.; and (v) Oaktree Capital Group Holdings, L.P. ("OCGH"), in its capacity as holder of a majority of the voting units of OCG.
F4: This Form 4 is also being filed by Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as general partner of OCGH and manager of OCG (each of Fund IV Delaware, Fund IV Delaware GP, Fund IV, Fund IV GP, Fund IV GP Ltd., Fund III, Fund IIIA, Fund III GP, VOF Holdings, VOFGP, VOF GP Ltd., FIE, GP I, Capital I, Holdings I, Holdings, OCM EXCO, Oaktree LP, Holdings Inc., OCG, OCGH and OCGH GP, a "Reporting Person" and collectively, the "Reporting Persons").
F5: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person, other than Fund IV Delaware, Fund III, Fund IIIA, VOF Holdings and OCM EXCO with respect to their respective direct holdings, disclaims beneficial ownership for the securities reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4.
F6: OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, Sheldon M. Stone, Stephen A. Kaplan and David M. Kirchheimer (each, an "OCGH GP Member" and collectively, the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4.
F7: The Reporting Persons, other than Fund III GP, Fund III and Fund IIIA, may be deemed a director by virtue of their right to designate a representative to be nominated by the Issuer to serve on the Issuer's board of directors.
F8: On November 18, 2016, Fund III sold 909,453 shares of Common Stock in a privately negotiated transaction.
F9: On November 18, 2016, Fund IIIA sold 16,670 shares of Common Stock in a privately negotiated transaction.
F10: On November 18, 2016, Fund IV sold 6,073,877 shares of Common Stock in a privately negotiated transaction.
Energy XXI Gulf Coast, Inc.
Report date March 01, 2017 · Filed March 03, 2017
Jointly reported with Oaktree-Forrest Multi-Strategy,LLC, Oaktree Opportunities Fund IX Delaware, L.P., Oaktree Fund GP, LLC, Oaktree Value Opportunities Fund Holdings, L.P., Oaktree Value Opportunities Fund GP, L.P., Oaktree Value Opportunities Fund GP Ltd., Oaktree Opportunities Fund IX (Parallel 2), L.P., Oaktree Opportunities Fund IX GP, L.P., Oaktree Opportunities Fund IX GP LTD.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,487,274 |
Reported balance
After 2017-03-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-03-01 · Purchase · Acquired 200,000 · Balance 3,487,274 F1: On March 1, 2017, Oaktree Opportunities Fund IX Delaware, L.P., ("Fund IX Delaware") purchased 198,182 shares of common stock of the Issuer ("Common Stock") and Oaktree Opportunities Fund IX (Parallel 2), L.P. ("IX Parallel 2") purchased 1,818 shares of Common Stock, each on the open market (the " March 1 Purchases"). F4: This Form 4 is being filed by the following persons (collectively, the "Reporting Persons" and each a "Reporting Person"):(i) Oaktree-Forrest Multi-Strategy, LLC, a Delaware limited liability company ("Forrest"); (ii) Fund IX Delaware, a Delaware limited partnership; (iii) Oaktree Fund GP, LLC, a Delaware limited liability company ("Fund GP"), in its capacity as the general partner of Fund IX Delaware; (iv) Oaktree Value Opportunities Fund Holdings, L.P., a Delaware limited partnership ("VOF Holdings"); (v) Oaktree Value Opportunities Fund GP, L.P., a Cayman Islands limited partnership ("VOF GP"), in its capacity as the general partner of VOF Holdings; (vi) Oaktree Value Opportunities Fund GP Ltd., a Cayman Islands exempted company ("VOF GP Ltd."), in its capacity as the general partner of VOF GP; (vii) IX Parallel 2, a Cayman Islands limited partnership; F5: (viii) Oaktree Opportunities Fund IX GP, L.P., a Cayman Islands limited partnership ("Fund IX GP"), in its capacity as the general partner of IX Parallel 2; (ix) Oaktree Opportunities Fund IX GP Ltd., a Cayman Islands exempted company ("Fund IX GP Ltd."), in its capacity as the general partner of Fund IX GP; (x) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as the managing member of Fund GP and as the sole shareholder of each of VOF GP Ltd. and Fund IX GP Ltd.; (xi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (xii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (xiii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings") in its capacity as the managing member of Holdings I; F6: (xiv) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of each of VOF GP Ltd. and Fund IX GP Ltd. and as the manager of Forrest; (xv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as the general partner of Management; (xvi) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the managing member of Holdings and as the sole shareholder of Holdings, Inc.; and (xvii) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP"), in its capacity as the duly elected manager of OCG. F7: Forrest directly holds 28,860 shares of Common Stock and has the sole power to vote and dispose of such securities. F8: As of the date of this Form 4 filing, Fund IX Delaware directly holds 3,286,612 shares of Common Stock and 64,995 warrants of the Issuer ("Warrants") and has the sole power to vote and dispose of such securities. Fund GP, in its capacity as the general partner of Fund IX Delaware, has the ability to direct the management of Fund IX Delaware's businesses, including the power to vote and dispose of securities held by Fund IX Delaware; therefore, Fund GP may be deemed to beneficially own the securities of the Issuer held by Fund IX Delaware. As of the date of this Form 4 filing, IX Parallel 2 directly holds 30,154 shares of Common Stock and 594 Warrants and has the sole power to vote and dispose of such securities. F9: Fund IX GP, in its capacity as the general partner of IX Parallel 2, has the ability to direct the management of IX Parallel 2's business, including the power to vote and dispose of securities held by IX Parallel 2; therefore, Fund IX GP may be deemed to beneficially own the securities of the Issuer held by IX Parallel 2. Fund IX GP Ltd., in its capacity as the general partner of Fund IX GP, has the ability to direct the management of Fund IX GP's business, including the power to direct the decisions of Fund IX GP regarding the vote and disposition of securities held by Fund IX GP; therefore, VOF GP Ltd. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by IX Parallel 2. VOF Holdings directly holds 564,923 shares of Common Stock and 22,113 Warrants and has the sole power to vote and dispose of such securities. F10: VOF GP, in its capacity as the general partner of VOF Holdings, has the ability to direct the management of VOF Holdings' business, including the power to vote and dispose of securities held by VOF Holdings; therefore, VOF GP may be deemed to beneficially own the securities of the Issuer held by VOF Holdings. VOF GP Ltd., in its capacity as the general partner of VOF GP, has the ability to direct the management of VOF GP's business, including the power to direct the decisions of VOF GP regarding the vote and disposition of securities held by VOF Holdings; therefore, VOF GP Ltd. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by VOF Holdings. F11: GP I, in its capacity as the sole shareholder of each of Fund IX GP Ltd. and VOF GP Ltd., has the ability to appoint and remove the directors and direct the management of the business of each of Fund IX GP Ltd. and VOF GP Ltd. As such, GP I has the power to direct the decisions of each of Fund IX GP Ltd. and VOF GP Ltd. regarding the vote and disposition of securities held by each of IX Parallel 2 and VOF Holdings. Additionally, GP I, in its capacity as the managing member of Fund GP, has the ability to direct the management of Fund GP's business, including the power to direct the decisions of Fund GP regarding the vote and disposition of securities held by Fund IX Delaware. Therefore, GP I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. F12: Capital I, in its capacity as the general partner of GP I, has the ability to direct the management of GP I's business, including the power to direct the decisions of GP I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Capital I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. Holdings I, in its capacity as the general partner of Capital I, has the ability to direct the management of Capital I's business, including the power to direct the decisions of Capital I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Holdings I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. F13: Holdings, in its capacity as the managing member of Holdings I, has the ability to direct the management of Holding I's business, including the power to direct the decisions of Holdings I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Holdings may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. F14: Management, in its capacity as the sole director of each of Fund IX GP Ltd. and VOF GP Ltd., has the ability to direct the management of IX Parallel 2 and VOF Holdings, including the power to direct the decisions of IX Parallel 2 and VOF Holdings regarding the vote and disposition of securities held by each of IX Parallel 2 and VOF Holdings. Additionally, Management, in its capacity as the manager of Forrest, has the ability to direct the management of Forrest's business, including the power to direct the decisions of Forrest regarding the vote and disposition of securities held by Forrest. Therefore, Management may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Forrest. F15: Holdings, Inc., in its capacity as the general partner of Management, has the ability to direct the management of Management's business, including the power to vote and dispose of securities held by each of IX Parallel 2, VOF Holdings and Forrest; therefore, Holdings, Inc. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Forrest. F16: OCG, in its capacity as the sole shareholder of Holdings, Inc., has the ability to appoint and remove directors of Holdings, Inc. and, as such, may indirectly control the decisions of Holdings, Inc. regarding the vote and disposition of securities held by IX Parallel 2, VOF Holdings and Forrest. Additionally, OCG, in its capacity as the managing member of Holdings, has the ability to direct the management of Holdings' business, including the power to direct the decisions of Holdings regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. Therefore, OCG may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware. F17: OCGH GP, in its capacity as the duly appointed manager of OCG, has the ability appoint and remove directors of OCG and, as such, may indirectly control the decisions of OCG regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware; therefore, OCGH GP may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware. F18: Each Reporting Person disclaims beneficial ownership of all equity securities and derivative securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities or derivative securities covered by this Form 4. |
| Common StockSEC Table I · non-derivative | Direct | 3,910,549 |
Reported balance
After 2017-03-02 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2017-03-02 · Purchase · Acquired 423,275 · Balance 3,910,549 F2: On March 2, 2017, Fund IX Delaware purchased 419,427 shares of Common Stock and IX Parallel 2 purchased 3,848 shares of Common Stock, each on the open market (the "March 2 Purchases" and together with the March 1 Purchases, the "Purchases"). F3: After giving effect to the Purchases, Fund IX Delaware directly holds 3,286,612 shares of Common Stock and IX Parallel 2 directly holds 30,154 shares of Common Stock. F4: This Form 4 is being filed by the following persons (collectively, the "Reporting Persons" and each a "Reporting Person"):(i) Oaktree-Forrest Multi-Strategy, LLC, a Delaware limited liability company ("Forrest"); (ii) Fund IX Delaware, a Delaware limited partnership; (iii) Oaktree Fund GP, LLC, a Delaware limited liability company ("Fund GP"), in its capacity as the general partner of Fund IX Delaware; (iv) Oaktree Value Opportunities Fund Holdings, L.P., a Delaware limited partnership ("VOF Holdings"); (v) Oaktree Value Opportunities Fund GP, L.P., a Cayman Islands limited partnership ("VOF GP"), in its capacity as the general partner of VOF Holdings; (vi) Oaktree Value Opportunities Fund GP Ltd., a Cayman Islands exempted company ("VOF GP Ltd."), in its capacity as the general partner of VOF GP; (vii) IX Parallel 2, a Cayman Islands limited partnership; F5: (viii) Oaktree Opportunities Fund IX GP, L.P., a Cayman Islands limited partnership ("Fund IX GP"), in its capacity as the general partner of IX Parallel 2; (ix) Oaktree Opportunities Fund IX GP Ltd., a Cayman Islands exempted company ("Fund IX GP Ltd."), in its capacity as the general partner of Fund IX GP; (x) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as the managing member of Fund GP and as the sole shareholder of each of VOF GP Ltd. and Fund IX GP Ltd.; (xi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (xii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (xiii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings") in its capacity as the managing member of Holdings I; F6: (xiv) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of each of VOF GP Ltd. and Fund IX GP Ltd. and as the manager of Forrest; (xv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as the general partner of Management; (xvi) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the managing member of Holdings and as the sole shareholder of Holdings, Inc.; and (xvii) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP"), in its capacity as the duly elected manager of OCG. F7: Forrest directly holds 28,860 shares of Common Stock and has the sole power to vote and dispose of such securities. F8: As of the date of this Form 4 filing, Fund IX Delaware directly holds 3,286,612 shares of Common Stock and 64,995 warrants of the Issuer ("Warrants") and has the sole power to vote and dispose of such securities. Fund GP, in its capacity as the general partner of Fund IX Delaware, has the ability to direct the management of Fund IX Delaware's businesses, including the power to vote and dispose of securities held by Fund IX Delaware; therefore, Fund GP may be deemed to beneficially own the securities of the Issuer held by Fund IX Delaware. As of the date of this Form 4 filing, IX Parallel 2 directly holds 30,154 shares of Common Stock and 594 Warrants and has the sole power to vote and dispose of such securities. F9: Fund IX GP, in its capacity as the general partner of IX Parallel 2, has the ability to direct the management of IX Parallel 2's business, including the power to vote and dispose of securities held by IX Parallel 2; therefore, Fund IX GP may be deemed to beneficially own the securities of the Issuer held by IX Parallel 2. Fund IX GP Ltd., in its capacity as the general partner of Fund IX GP, has the ability to direct the management of Fund IX GP's business, including the power to direct the decisions of Fund IX GP regarding the vote and disposition of securities held by Fund IX GP; therefore, VOF GP Ltd. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by IX Parallel 2. VOF Holdings directly holds 564,923 shares of Common Stock and 22,113 Warrants and has the sole power to vote and dispose of such securities. F10: VOF GP, in its capacity as the general partner of VOF Holdings, has the ability to direct the management of VOF Holdings' business, including the power to vote and dispose of securities held by VOF Holdings; therefore, VOF GP may be deemed to beneficially own the securities of the Issuer held by VOF Holdings. VOF GP Ltd., in its capacity as the general partner of VOF GP, has the ability to direct the management of VOF GP's business, including the power to direct the decisions of VOF GP regarding the vote and disposition of securities held by VOF Holdings; therefore, VOF GP Ltd. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by VOF Holdings. F11: GP I, in its capacity as the sole shareholder of each of Fund IX GP Ltd. and VOF GP Ltd., has the ability to appoint and remove the directors and direct the management of the business of each of Fund IX GP Ltd. and VOF GP Ltd. As such, GP I has the power to direct the decisions of each of Fund IX GP Ltd. and VOF GP Ltd. regarding the vote and disposition of securities held by each of IX Parallel 2 and VOF Holdings. Additionally, GP I, in its capacity as the managing member of Fund GP, has the ability to direct the management of Fund GP's business, including the power to direct the decisions of Fund GP regarding the vote and disposition of securities held by Fund IX Delaware. Therefore, GP I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. F12: Capital I, in its capacity as the general partner of GP I, has the ability to direct the management of GP I's business, including the power to direct the decisions of GP I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Capital I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. Holdings I, in its capacity as the general partner of Capital I, has the ability to direct the management of Capital I's business, including the power to direct the decisions of Capital I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Holdings I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. F13: Holdings, in its capacity as the managing member of Holdings I, has the ability to direct the management of Holding I's business, including the power to direct the decisions of Holdings I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Holdings may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. F14: Management, in its capacity as the sole director of each of Fund IX GP Ltd. and VOF GP Ltd., has the ability to direct the management of IX Parallel 2 and VOF Holdings, including the power to direct the decisions of IX Parallel 2 and VOF Holdings regarding the vote and disposition of securities held by each of IX Parallel 2 and VOF Holdings. Additionally, Management, in its capacity as the manager of Forrest, has the ability to direct the management of Forrest's business, including the power to direct the decisions of Forrest regarding the vote and disposition of securities held by Forrest. Therefore, Management may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Forrest. F15: Holdings, Inc., in its capacity as the general partner of Management, has the ability to direct the management of Management's business, including the power to vote and dispose of securities held by each of IX Parallel 2, VOF Holdings and Forrest; therefore, Holdings, Inc. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Forrest. F16: OCG, in its capacity as the sole shareholder of Holdings, Inc., has the ability to appoint and remove directors of Holdings, Inc. and, as such, may indirectly control the decisions of Holdings, Inc. regarding the vote and disposition of securities held by IX Parallel 2, VOF Holdings and Forrest. Additionally, OCG, in its capacity as the managing member of Holdings, has the ability to direct the management of Holdings' business, including the power to direct the decisions of Holdings regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. Therefore, OCG may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware. F17: OCGH GP, in its capacity as the duly appointed manager of OCG, has the ability appoint and remove directors of OCG and, as such, may indirectly control the decisions of OCG regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware; therefore, OCGH GP may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware. F18: Each Reporting Person disclaims beneficial ownership of all equity securities and derivative securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities or derivative securities covered by this Form 4. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $43.66 · Expires 2021-12-30 | Direct | 87,702 |
Reported balance
Holding disclosure · report date 2017-03-01 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 87,702 F4: This Form 4 is being filed by the following persons (collectively, the "Reporting Persons" and each a "Reporting Person"):(i) Oaktree-Forrest Multi-Strategy, LLC, a Delaware limited liability company ("Forrest"); (ii) Fund IX Delaware, a Delaware limited partnership; (iii) Oaktree Fund GP, LLC, a Delaware limited liability company ("Fund GP"), in its capacity as the general partner of Fund IX Delaware; (iv) Oaktree Value Opportunities Fund Holdings, L.P., a Delaware limited partnership ("VOF Holdings"); (v) Oaktree Value Opportunities Fund GP, L.P., a Cayman Islands limited partnership ("VOF GP"), in its capacity as the general partner of VOF Holdings; (vi) Oaktree Value Opportunities Fund GP Ltd., a Cayman Islands exempted company ("VOF GP Ltd."), in its capacity as the general partner of VOF GP; (vii) IX Parallel 2, a Cayman Islands limited partnership; F5: (viii) Oaktree Opportunities Fund IX GP, L.P., a Cayman Islands limited partnership ("Fund IX GP"), in its capacity as the general partner of IX Parallel 2; (ix) Oaktree Opportunities Fund IX GP Ltd., a Cayman Islands exempted company ("Fund IX GP Ltd."), in its capacity as the general partner of Fund IX GP; (x) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as the managing member of Fund GP and as the sole shareholder of each of VOF GP Ltd. and Fund IX GP Ltd.; (xi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (xii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (xiii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings") in its capacity as the managing member of Holdings I; F6: (xiv) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of each of VOF GP Ltd. and Fund IX GP Ltd. and as the manager of Forrest; (xv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as the general partner of Management; (xvi) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the managing member of Holdings and as the sole shareholder of Holdings, Inc.; and (xvii) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP"), in its capacity as the duly elected manager of OCG. F8: As of the date of this Form 4 filing, Fund IX Delaware directly holds 3,286,612 shares of Common Stock and 64,995 warrants of the Issuer ("Warrants") and has the sole power to vote and dispose of such securities. Fund GP, in its capacity as the general partner of Fund IX Delaware, has the ability to direct the management of Fund IX Delaware's businesses, including the power to vote and dispose of securities held by Fund IX Delaware; therefore, Fund GP may be deemed to beneficially own the securities of the Issuer held by Fund IX Delaware. As of the date of this Form 4 filing, IX Parallel 2 directly holds 30,154 shares of Common Stock and 594 Warrants and has the sole power to vote and dispose of such securities. F9: Fund IX GP, in its capacity as the general partner of IX Parallel 2, has the ability to direct the management of IX Parallel 2's business, including the power to vote and dispose of securities held by IX Parallel 2; therefore, Fund IX GP may be deemed to beneficially own the securities of the Issuer held by IX Parallel 2. Fund IX GP Ltd., in its capacity as the general partner of Fund IX GP, has the ability to direct the management of Fund IX GP's business, including the power to direct the decisions of Fund IX GP regarding the vote and disposition of securities held by Fund IX GP; therefore, VOF GP Ltd. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by IX Parallel 2. VOF Holdings directly holds 564,923 shares of Common Stock and 22,113 Warrants and has the sole power to vote and dispose of such securities. F10: VOF GP, in its capacity as the general partner of VOF Holdings, has the ability to direct the management of VOF Holdings' business, including the power to vote and dispose of securities held by VOF Holdings; therefore, VOF GP may be deemed to beneficially own the securities of the Issuer held by VOF Holdings. VOF GP Ltd., in its capacity as the general partner of VOF GP, has the ability to direct the management of VOF GP's business, including the power to direct the decisions of VOF GP regarding the vote and disposition of securities held by VOF Holdings; therefore, VOF GP Ltd. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by VOF Holdings. F11: GP I, in its capacity as the sole shareholder of each of Fund IX GP Ltd. and VOF GP Ltd., has the ability to appoint and remove the directors and direct the management of the business of each of Fund IX GP Ltd. and VOF GP Ltd. As such, GP I has the power to direct the decisions of each of Fund IX GP Ltd. and VOF GP Ltd. regarding the vote and disposition of securities held by each of IX Parallel 2 and VOF Holdings. Additionally, GP I, in its capacity as the managing member of Fund GP, has the ability to direct the management of Fund GP's business, including the power to direct the decisions of Fund GP regarding the vote and disposition of securities held by Fund IX Delaware. Therefore, GP I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. F12: Capital I, in its capacity as the general partner of GP I, has the ability to direct the management of GP I's business, including the power to direct the decisions of GP I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Capital I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. Holdings I, in its capacity as the general partner of Capital I, has the ability to direct the management of Capital I's business, including the power to direct the decisions of Capital I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Holdings I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. F13: Holdings, in its capacity as the managing member of Holdings I, has the ability to direct the management of Holding I's business, including the power to direct the decisions of Holdings I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Holdings may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. F14: Management, in its capacity as the sole director of each of Fund IX GP Ltd. and VOF GP Ltd., has the ability to direct the management of IX Parallel 2 and VOF Holdings, including the power to direct the decisions of IX Parallel 2 and VOF Holdings regarding the vote and disposition of securities held by each of IX Parallel 2 and VOF Holdings. Additionally, Management, in its capacity as the manager of Forrest, has the ability to direct the management of Forrest's business, including the power to direct the decisions of Forrest regarding the vote and disposition of securities held by Forrest. Therefore, Management may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Forrest. F15: Holdings, Inc., in its capacity as the general partner of Management, has the ability to direct the management of Management's business, including the power to vote and dispose of securities held by each of IX Parallel 2, VOF Holdings and Forrest; therefore, Holdings, Inc. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Forrest. F16: OCG, in its capacity as the sole shareholder of Holdings, Inc., has the ability to appoint and remove directors of Holdings, Inc. and, as such, may indirectly control the decisions of Holdings, Inc. regarding the vote and disposition of securities held by IX Parallel 2, VOF Holdings and Forrest. Additionally, OCG, in its capacity as the managing member of Holdings, has the ability to direct the management of Holdings' business, including the power to direct the decisions of Holdings regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. Therefore, OCG may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware. F17: OCGH GP, in its capacity as the duly appointed manager of OCG, has the ability appoint and remove directors of OCG and, as such, may indirectly control the decisions of OCG regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware; therefore, OCGH GP may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware. F18: Each Reporting Person disclaims beneficial ownership of all equity securities and derivative securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities or derivative securities covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: On March 1, 2017, Oaktree Opportunities Fund IX Delaware, L.P., ("Fund IX Delaware") purchased 198,182 shares of common stock of the Issuer ("Common Stock") and Oaktree Opportunities Fund IX (Parallel 2), L.P. ("IX Parallel 2") purchased 1,818 shares of Common Stock, each on the open market (the " March 1 Purchases").
F2: On March 2, 2017, Fund IX Delaware purchased 419,427 shares of Common Stock and IX Parallel 2 purchased 3,848 shares of Common Stock, each on the open market (the "March 2 Purchases" and together with the March 1 Purchases, the "Purchases").
F3: After giving effect to the Purchases, Fund IX Delaware directly holds 3,286,612 shares of Common Stock and IX Parallel 2 directly holds 30,154 shares of Common Stock.
F4: This Form 4 is being filed by the following persons (collectively, the "Reporting Persons" and each a "Reporting Person"):(i) Oaktree-Forrest Multi-Strategy, LLC, a Delaware limited liability company ("Forrest"); (ii) Fund IX Delaware, a Delaware limited partnership; (iii) Oaktree Fund GP, LLC, a Delaware limited liability company ("Fund GP"), in its capacity as the general partner of Fund IX Delaware; (iv) Oaktree Value Opportunities Fund Holdings, L.P., a Delaware limited partnership ("VOF Holdings"); (v) Oaktree Value Opportunities Fund GP, L.P., a Cayman Islands limited partnership ("VOF GP"), in its capacity as the general partner of VOF Holdings; (vi) Oaktree Value Opportunities Fund GP Ltd., a Cayman Islands exempted company ("VOF GP Ltd."), in its capacity as the general partner of VOF GP; (vii) IX Parallel 2, a Cayman Islands limited partnership;
F5: (viii) Oaktree Opportunities Fund IX GP, L.P., a Cayman Islands limited partnership ("Fund IX GP"), in its capacity as the general partner of IX Parallel 2; (ix) Oaktree Opportunities Fund IX GP Ltd., a Cayman Islands exempted company ("Fund IX GP Ltd."), in its capacity as the general partner of Fund IX GP; (x) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as the managing member of Fund GP and as the sole shareholder of each of VOF GP Ltd. and Fund IX GP Ltd.; (xi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (xii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (xiii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings") in its capacity as the managing member of Holdings I;
F6: (xiv) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of each of VOF GP Ltd. and Fund IX GP Ltd. and as the manager of Forrest; (xv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings, Inc."), in its capacity as the general partner of Management; (xvi) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the managing member of Holdings and as the sole shareholder of Holdings, Inc.; and (xvii) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP"), in its capacity as the duly elected manager of OCG.
F7: Forrest directly holds 28,860 shares of Common Stock and has the sole power to vote and dispose of such securities.
F8: As of the date of this Form 4 filing, Fund IX Delaware directly holds 3,286,612 shares of Common Stock and 64,995 warrants of the Issuer ("Warrants") and has the sole power to vote and dispose of such securities. Fund GP, in its capacity as the general partner of Fund IX Delaware, has the ability to direct the management of Fund IX Delaware's businesses, including the power to vote and dispose of securities held by Fund IX Delaware; therefore, Fund GP may be deemed to beneficially own the securities of the Issuer held by Fund IX Delaware. As of the date of this Form 4 filing, IX Parallel 2 directly holds 30,154 shares of Common Stock and 594 Warrants and has the sole power to vote and dispose of such securities.
F9: Fund IX GP, in its capacity as the general partner of IX Parallel 2, has the ability to direct the management of IX Parallel 2's business, including the power to vote and dispose of securities held by IX Parallel 2; therefore, Fund IX GP may be deemed to beneficially own the securities of the Issuer held by IX Parallel 2. Fund IX GP Ltd., in its capacity as the general partner of Fund IX GP, has the ability to direct the management of Fund IX GP's business, including the power to direct the decisions of Fund IX GP regarding the vote and disposition of securities held by Fund IX GP; therefore, VOF GP Ltd. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by IX Parallel 2. VOF Holdings directly holds 564,923 shares of Common Stock and 22,113 Warrants and has the sole power to vote and dispose of such securities.
F10: VOF GP, in its capacity as the general partner of VOF Holdings, has the ability to direct the management of VOF Holdings' business, including the power to vote and dispose of securities held by VOF Holdings; therefore, VOF GP may be deemed to beneficially own the securities of the Issuer held by VOF Holdings. VOF GP Ltd., in its capacity as the general partner of VOF GP, has the ability to direct the management of VOF GP's business, including the power to direct the decisions of VOF GP regarding the vote and disposition of securities held by VOF Holdings; therefore, VOF GP Ltd. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by VOF Holdings.
F11: GP I, in its capacity as the sole shareholder of each of Fund IX GP Ltd. and VOF GP Ltd., has the ability to appoint and remove the directors and direct the management of the business of each of Fund IX GP Ltd. and VOF GP Ltd. As such, GP I has the power to direct the decisions of each of Fund IX GP Ltd. and VOF GP Ltd. regarding the vote and disposition of securities held by each of IX Parallel 2 and VOF Holdings. Additionally, GP I, in its capacity as the managing member of Fund GP, has the ability to direct the management of Fund GP's business, including the power to direct the decisions of Fund GP regarding the vote and disposition of securities held by Fund IX Delaware. Therefore, GP I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware.
F12: Capital I, in its capacity as the general partner of GP I, has the ability to direct the management of GP I's business, including the power to direct the decisions of GP I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Capital I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. Holdings I, in its capacity as the general partner of Capital I, has the ability to direct the management of Capital I's business, including the power to direct the decisions of Capital I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Holdings I may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware.
F13: Holdings, in its capacity as the managing member of Holdings I, has the ability to direct the management of Holding I's business, including the power to direct the decisions of Holdings I regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware; therefore, Holdings may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware.
F14: Management, in its capacity as the sole director of each of Fund IX GP Ltd. and VOF GP Ltd., has the ability to direct the management of IX Parallel 2 and VOF Holdings, including the power to direct the decisions of IX Parallel 2 and VOF Holdings regarding the vote and disposition of securities held by each of IX Parallel 2 and VOF Holdings. Additionally, Management, in its capacity as the manager of Forrest, has the ability to direct the management of Forrest's business, including the power to direct the decisions of Forrest regarding the vote and disposition of securities held by Forrest. Therefore, Management may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Forrest.
F15: Holdings, Inc., in its capacity as the general partner of Management, has the ability to direct the management of Management's business, including the power to vote and dispose of securities held by each of IX Parallel 2, VOF Holdings and Forrest; therefore, Holdings, Inc. may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings and Forrest.
F16: OCG, in its capacity as the sole shareholder of Holdings, Inc., has the ability to appoint and remove directors of Holdings, Inc. and, as such, may indirectly control the decisions of Holdings, Inc. regarding the vote and disposition of securities held by IX Parallel 2, VOF Holdings and Forrest. Additionally, OCG, in its capacity as the managing member of Holdings, has the ability to direct the management of Holdings' business, including the power to direct the decisions of Holdings regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings and Fund IX Delaware. Therefore, OCG may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware.
F17: OCGH GP, in its capacity as the duly appointed manager of OCG, has the ability appoint and remove directors of OCG and, as such, may indirectly control the decisions of OCG regarding the vote and disposition of securities held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware; therefore, OCGH GP may be deemed to have indirect beneficial ownership of the securities of the Issuer held by each of IX Parallel 2, VOF Holdings, Forrest and Fund IX Delaware.
F18: Each Reporting Person disclaims beneficial ownership of all equity securities and derivative securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities or derivative securities covered by this Form 4.
ITG, Inc./DE/
Report date July 01, 2026 · Filed July 02, 2026
Jointly reported with Oaktree Capital Holdings, LLC, OAKTREE CAPITAL MANAGEMENT LP, OCM ITG Aggregator, LLC, OCM Power VI AIV Holdings (Delaware), L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stockSEC Table I · non-derivative | IndirectSee footnotes | 26,005,508 |
Reported balance
Holding disclosure · report date 2026-07-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 26,005,508 F1: The reported securities are directly held by OCM Power VI AIV Holdings (Delaware), L.P. F2: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and Oaktree Capital Management, L.P. ("OCM") is the indirect investment manager of each of the direct holders of the securities. Accordingly, OCG, OCGH, and OCM may each be deemed to beneficially own the reported securities, but each of the Reporting Persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. |
| Class B common stockSEC Table I · non-derivative | IndirectSee footnotes | 31,880,101 |
Reported balance
Holding disclosure · report date 2026-07-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 31,880,101 F2: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and Oaktree Capital Management, L.P. ("OCM") is the indirect investment manager of each of the direct holders of the securities. Accordingly, OCG, OCGH, and OCM may each be deemed to beneficially own the reported securities, but each of the Reporting Persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F3: The reported securities represent common units of ITG Parent, LLC ("LLC Interests") and an equal number of non-economic voting shares of Class B common stock, each directly held by OCM ITG Aggregator, LLC. |
| LLC InterestsSEC Table II · derivative / convertible security | IndirectSee footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2026-07-01 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F4: Each LLC Interest, upon the cancellation of an equal number of shares of Class B common stock, may be exchanged from time to time, for an equal number of shares of Class A common stock (or, at the election of a majority of the Issuer's disinterested directors, a cash payment equal to a volume-weighted average market price of one share of Class A common stock for each LLC Interest). F2: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and Oaktree Capital Management, L.P. ("OCM") is the indirect investment manager of each of the direct holders of the securities. Accordingly, OCG, OCGH, and OCM may each be deemed to beneficially own the reported securities, but each of the Reporting Persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F3: The reported securities represent common units of ITG Parent, LLC ("LLC Interests") and an equal number of non-economic voting shares of Class B common stock, each directly held by OCM ITG Aggregator, LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities are directly held by OCM Power VI AIV Holdings (Delaware), L.P.
F2: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and Oaktree Capital Management, L.P. ("OCM") is the indirect investment manager of each of the direct holders of the securities. Accordingly, OCG, OCGH, and OCM may each be deemed to beneficially own the reported securities, but each of the Reporting Persons disclaims beneficial ownership except to the extent of its pecuniary interest therein.
F3: The reported securities represent common units of ITG Parent, LLC ("LLC Interests") and an equal number of non-economic voting shares of Class B common stock, each directly held by OCM ITG Aggregator, LLC.
F4: Each LLC Interest, upon the cancellation of an equal number of shares of Class B common stock, may be exchanged from time to time, for an equal number of shares of Class A common stock (or, at the election of a majority of the Issuer's disinterested directors, a cash payment equal to a volume-weighted average market price of one share of Class A common stock for each LLC Interest).
Infinera Corp
Report date March 19, 2020 · Filed March 23, 2020
Jointly reported with Oaktree Optical Holdings, L.P., Oaktree Fund GP, LLC, OAKTREE FUND GP I, L.P., Oaktree Capital I, L.P., Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, Brookfield Oaktree Holdings, LLC, BROOKFIELD Corp /ON/, Partners Ltd
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 25,175,384 |
Reported balance
After 2020-03-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-03-19 · Purchase · Acquired 1,000,000 · Balance 25,175,384 F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.60 to $5.25, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1). F2: Oaktree Optical Holdings, L.P. ("Optical") directly owns the Common Stock reported herein. This Form 4 is also being filed by (i) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of Optical; (ii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iii) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (iv) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (v) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I;. F3: (cont'd from footnote 2) (vi) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (vii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (viii) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG and (ix) Partners Limited, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of all securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities reported herein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.60 to $5.25, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1).
F2: Oaktree Optical Holdings, L.P. ("Optical") directly owns the Common Stock reported herein. This Form 4 is also being filed by (i) Oaktree Fund GP, LLC ("Fund GP") in its capacity as general partner of Optical; (ii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (iii) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (iv) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (v) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I;.
F3: (cont'd from footnote 2) (vi) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; (vii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (viii) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG and (ix) Partners Limited, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (each a "Reporting Person" and, collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of all securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities reported herein.
Infrastructure & Energy Alternatives, Inc.
Report date March 26, 2020 · Filed April 02, 2020
Jointly reported with Brookfield Oaktree Holdings, LLC, OAKTREE CAPITAL MANAGEMENT LP, Oaktree Holdings, Inc., OCM FIE, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnotes | 81,433 |
Reported balance
After 2020-03-26 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-03-26 · Grant · Acquired 34,529 · Balance 81,433 F1: Represents restricted stock units, which vest on March 26, 2021, granted to Peter Jonna, Senior Vice President of Oaktree Capital Management L.P. and director of Infrastructure and Energy Alternatives, Inc. ("IEA"). F2: Pursuant to the policies of the OCM LP, Mr. Jonna holds these securities for the benefit of OCM FIE, LLC ("FIE"). This Form 4 with respect to these securities is being filed by Oaktree Capital Group, LLC ("OCG") and (ii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the manager of OCG (iii) FIE, (iv) OCM LP, in its capacity as the managing member of FIE, and (v) Oaktree Holdings, Inc, ("Holdings") in its capacity as the general partner of OCM LP. OCG is the sole shareholder of Holdings. F3: Information with respect to the Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Concurrently with the filing of this Form 4, Mr. Jonna is filing a Form 4 with respect to the securities reported herein. F4: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank and Jay S. Wintrob (each, an "OCGH GP Member"). Each OCGH GP Member expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F5: The reporting person is filing this Form 4 pursuant to Rule 16a-3(j) under the Securities and Exchange Act of 1934, as amended. F6: As a result of Mr. Jonna's position as Senior Vice President of OCM LP and director of IEA, the Reporting Person may be deemed director by deputization. |
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectBy Infrastructure and Energy Alt., Inc. | 10,313,500 |
Reported balance
Holding disclosure · report date 2020-03-26 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 10,313,500 F7: Represents shares held of record by Infrastructure & Energy Alternatives, LLC ("IEA LLC"). Oaktree Power Opportunities Fund III Delaware, L.P. ("Fund III") is the controlling equity holder of IEA LLC. The general partner of Fund III is Oaktree Fund GP, LLC. The managing member of Oaktree Fund GP, LLC is Oaktree Fund GP I, L.P. The general partner of Oaktree Fund GP I, L.P. is Oaktree Capital I, L.P. The general partner of Oaktree Capital I, L.P. is OCM Holdings I, LLC. The managing member of OCM Holdings I, LLC is Oaktree Holdings, LLC. The managing member of Oaktree Holdings, LLC is OCG. The duly appointed manager of Oaktree Capital Group, LLC is OCGH GP. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units, which vest on March 26, 2021, granted to Peter Jonna, Senior Vice President of Oaktree Capital Management L.P. and director of Infrastructure and Energy Alternatives, Inc. ("IEA").
F2: Pursuant to the policies of the OCM LP, Mr. Jonna holds these securities for the benefit of OCM FIE, LLC ("FIE"). This Form 4 with respect to these securities is being filed by Oaktree Capital Group, LLC ("OCG") and (ii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the manager of OCG (iii) FIE, (iv) OCM LP, in its capacity as the managing member of FIE, and (v) Oaktree Holdings, Inc, ("Holdings") in its capacity as the general partner of OCM LP. OCG is the sole shareholder of Holdings.
F3: Information with respect to the Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Concurrently with the filing of this Form 4, Mr. Jonna is filing a Form 4 with respect to the securities reported herein.
F4: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank and Jay S. Wintrob (each, an "OCGH GP Member"). Each OCGH GP Member expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4.
F5: The reporting person is filing this Form 4 pursuant to Rule 16a-3(j) under the Securities and Exchange Act of 1934, as amended.
F6: As a result of Mr. Jonna's position as Senior Vice President of OCM LP and director of IEA, the Reporting Person may be deemed director by deputization.
F7: Represents shares held of record by Infrastructure & Energy Alternatives, LLC ("IEA LLC"). Oaktree Power Opportunities Fund III Delaware, L.P. ("Fund III") is the controlling equity holder of IEA LLC. The general partner of Fund III is Oaktree Fund GP, LLC. The managing member of Oaktree Fund GP, LLC is Oaktree Fund GP I, L.P. The general partner of Oaktree Fund GP I, L.P. is Oaktree Capital I, L.P. The general partner of Oaktree Capital I, L.P. is OCM Holdings I, LLC. The managing member of OCM Holdings I, LLC is Oaktree Holdings, LLC. The managing member of Oaktree Holdings, LLC is OCG. The duly appointed manager of Oaktree Capital Group, LLC is OCGH GP.
Oaktree Acquisition Corp. II
Report date September 16, 2020 · Filed February 16, 2021 · Amendment
Jointly reported with Oaktree Acquisition Holdings II, L.P., Oaktree Acquisition Holdings II GP, Ltd., OAKTREE CAPITAL MANAGEMENT LP, Oaktree Capital Management GP, LLC, Oaktree Capital Holdings, LLC, BROOKFIELD Corp /ON/, Partners Ltd
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 B ordinary sharesSEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2020-09-16 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance Not disclosed F3: As described in the issuer's registration statement on Form S-1 (File No. 333-248508) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001 will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date. F1: This filing amends the Form 3 filed on September 16, 2020 to reflect the addition of Atlas OCM Holdings, LLC and Brookfield Asset Management, Inc. each as a Reporting Person. This Form 3 is being filed by Oaktree Acquisition Holdings II, L.P. ("Holdings"). The general partner of Holdings is Oaktree Acquisition Holdings II GP Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The director of Oaktree is Oaktree Capital Management GP, LLC ("Management GP"). The sole managing member of Management GP is Atlas OCM Holdings, LLC ("Atlas"). Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the indirect owner of the class B units of Atlas. Brookfield Asset Management, Inc. ("BAM") is the indirect owner of the class A units of Atlas. F2: (Continued from footnote 1) Partners Limited is the sole owner of Class B Limited Voting Shares of BAM. Each reporting person under this Form 3 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 3 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 3. |
Filing footnotes · ownership attribution and instrument terms
F1: This filing amends the Form 3 filed on September 16, 2020 to reflect the addition of Atlas OCM Holdings, LLC and Brookfield Asset Management, Inc. each as a Reporting Person. This Form 3 is being filed by Oaktree Acquisition Holdings II, L.P. ("Holdings"). The general partner of Holdings is Oaktree Acquisition Holdings II GP Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The director of Oaktree is Oaktree Capital Management GP, LLC ("Management GP"). The sole managing member of Management GP is Atlas OCM Holdings, LLC ("Atlas"). Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the indirect owner of the class B units of Atlas. Brookfield Asset Management, Inc. ("BAM") is the indirect owner of the class A units of Atlas.
F2: (Continued from footnote 1) Partners Limited is the sole owner of Class B Limited Voting Shares of BAM. Each reporting person under this Form 3 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 3 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 3.
F3: As described in the issuer's registration statement on Form S-1 (File No. 333-248508) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001 will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.
Oaktree Acquisition Corp. III Life Sciences
Report date October 30, 2024 · Filed October 31, 2024
Jointly reported with Oaktree Acquisition Holdings III LS, LLC, Oaktree Acquisition Holdings III LS GP, Ltd., OAKTREE CAPITAL MANAGEMENT LP, Oaktree Capital Management GP, LLC, Oaktree Capital Holdings, LLC, Brookfield Asset Management Ltd., BROOKFIELD Corp /ON/, Oaktree Capital Group Holdings, L.P., BAM Partners Trust
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A ordinary sharesSEC Table I · non-derivative | Direct | 583,981 |
Reported balance
After 2024-10-30 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-10-30 · Conversion · Acquired 33,981 · Balance 583,981 F4: Represents Class A ordinary shares, par value $0.0001, of the issuer (the "Private Placement Shares") that are included in the 33,981 additional private placement units (the "Private Placement Units") purchased by Holdings from the issuer in a private placement at $10.00 per Private Placement Unit in connection with the partial over-allotment option exercise of the underwriters of the issuer's initial public offering (the "Private Placement"), as described in the issuer's registration statement on Form S-1 (File No. 333-282508) (the "Registration Statement"). Each Private Placement Unit is comprised of one Private Placement Share and one-fifth of one warrant (the "Private Placement Warrants"), each whole Private Placement Warrant exercisable to purchase one Private Placement Share. Does not represent any Private Placement Shares issuable upon the exercise of Private Placement Warrants. F1: This Form 4 is being filed by Oaktree Acquisition Holdings III, LLC ("Holdings"). The managing member of Holdings is Oaktree Acquisition Holdings III LS GP, Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Capital Management GP, LLC ("Oaktree GP"). The sole managing member of Oaktree GP is Oaktree Capital Holdings, LLC ("OCH"). Oaktree Capital Group Holdings, L.P. ("OCGH") is the direct owner of all of the Class B units of OCH. Brookfield Corporation ("BN") and Brookfield Asset Management, Ltd. ("BAM" and, together with BN, "Brookfield") are the indirect owners of all of the Class A units of OCH. Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the general partner of OCGH. F2: (Continued from footnote 1) BAM Partners Trust (the "BAM Partnership") is the sole owner of class B Limited Voting Shares of each of BN and BAM. These shares provide the holder thereof with the right to elect one half of the board of directors of each of BN and BAM and, as such, may indirectly control the decisions of Brookfield regarding the votes and disposition of securities held of record by Holdings; therefore the BAM Partnership may be deemed to have indirect beneficial ownership of the Class B ordinary shares held of record by Holdings. F3: (Continued from footnote 2) Each reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 4. |
| Class B ordinary sharesSEC Table II · derivative / convertible security | Direct | 4,799,758 |
Reported balance
After 2024-10-30 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-10-30 · Other · Disposed 231,492 · Balance 4,799,758 F5: As described in the Registration Statement under the heading "Description of Securities - Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination on a one-for-one basis or earlier at the option of the holder on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights, and have no expiration date. F6: On October 30, 2024, the underwriters partially exercised the over-allotment option that was granted to them in connection with the issuer's initial public offering and purchased 1,699,029 additional public units. Concurrently, with the partial exercise of the over-allotment option, the underwriters also agreed to forfeit the portion of the over-allotment option that was not exercised and would have continued to be exercisable for 45 days from the date of the final prospectus related to the issuer's initial public offering. Based on the partial exercise of the over-allotment option, Holdings forfeited at no cost 231,492 Class B ordinary shares, as described in the Registration Statement. F1: This Form 4 is being filed by Oaktree Acquisition Holdings III, LLC ("Holdings"). The managing member of Holdings is Oaktree Acquisition Holdings III LS GP, Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Capital Management GP, LLC ("Oaktree GP"). The sole managing member of Oaktree GP is Oaktree Capital Holdings, LLC ("OCH"). Oaktree Capital Group Holdings, L.P. ("OCGH") is the direct owner of all of the Class B units of OCH. Brookfield Corporation ("BN") and Brookfield Asset Management, Ltd. ("BAM" and, together with BN, "Brookfield") are the indirect owners of all of the Class A units of OCH. Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the general partner of OCGH. F2: (Continued from footnote 1) BAM Partners Trust (the "BAM Partnership") is the sole owner of class B Limited Voting Shares of each of BN and BAM. These shares provide the holder thereof with the right to elect one half of the board of directors of each of BN and BAM and, as such, may indirectly control the decisions of Brookfield regarding the votes and disposition of securities held of record by Holdings; therefore the BAM Partnership may be deemed to have indirect beneficial ownership of the Class B ordinary shares held of record by Holdings. F3: (Continued from footnote 2) Each reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 4. |
| Private placement warrantsSEC Table II · derivative / convertible security | Direct | 116,796 |
Reported balance
After 2024-10-30 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-10-30 · Conversion · Acquired 6,796 · Balance 116,796 F7: Represents Private Placement Warrants included in the 33,981 Private Placement Units purchased by Holdings in connection with the Private Placement. F8: Each Private Placement Warrant is exercisable for cash or cashless, as described in the Registration Statement. Assuming an exercise for cash, 6,796 Private Placement Shares could be issued upon exercise of the Private Placement Warrants. The Private Placement Warrants expire five years after the completion of the issuer's initial business combination or earlier upon redemption or liquidation of the company, as described in the Registration Statement. F1: This Form 4 is being filed by Oaktree Acquisition Holdings III, LLC ("Holdings"). The managing member of Holdings is Oaktree Acquisition Holdings III LS GP, Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Capital Management GP, LLC ("Oaktree GP"). The sole managing member of Oaktree GP is Oaktree Capital Holdings, LLC ("OCH"). Oaktree Capital Group Holdings, L.P. ("OCGH") is the direct owner of all of the Class B units of OCH. Brookfield Corporation ("BN") and Brookfield Asset Management, Ltd. ("BAM" and, together with BN, "Brookfield") are the indirect owners of all of the Class A units of OCH. Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the general partner of OCGH. F2: (Continued from footnote 1) BAM Partners Trust (the "BAM Partnership") is the sole owner of class B Limited Voting Shares of each of BN and BAM. These shares provide the holder thereof with the right to elect one half of the board of directors of each of BN and BAM and, as such, may indirectly control the decisions of Brookfield regarding the votes and disposition of securities held of record by Holdings; therefore the BAM Partnership may be deemed to have indirect beneficial ownership of the Class B ordinary shares held of record by Holdings. F3: (Continued from footnote 2) Each reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 4. |
| Private placement units (obligation to buy)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-10-30 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-10-30 · Conversion · Disposed 33,981 · Balance 0 F9: Holdings had an obligation to purchase up to an additional 52,500 Private Placement Units, including 52,500 Private Placement Shares and 10,500 Private Placement Warrants, to the extent the underwriters of the issuer's initial public offering exercise their over-allotment option, as described in the Registration Statement. Holdings purchased 33,981 additional Private Placement Units in connection with the underwriters' partial exercise of their over-allotment option, with the remaining obligation to purchase 18,519 additional Private Placement Units being forfeited for no consideration. F1: This Form 4 is being filed by Oaktree Acquisition Holdings III, LLC ("Holdings"). The managing member of Holdings is Oaktree Acquisition Holdings III LS GP, Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Capital Management GP, LLC ("Oaktree GP"). The sole managing member of Oaktree GP is Oaktree Capital Holdings, LLC ("OCH"). Oaktree Capital Group Holdings, L.P. ("OCGH") is the direct owner of all of the Class B units of OCH. Brookfield Corporation ("BN") and Brookfield Asset Management, Ltd. ("BAM" and, together with BN, "Brookfield") are the indirect owners of all of the Class A units of OCH. Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the general partner of OCGH. F2: (Continued from footnote 1) BAM Partners Trust (the "BAM Partnership") is the sole owner of class B Limited Voting Shares of each of BN and BAM. These shares provide the holder thereof with the right to elect one half of the board of directors of each of BN and BAM and, as such, may indirectly control the decisions of Brookfield regarding the votes and disposition of securities held of record by Holdings; therefore the BAM Partnership may be deemed to have indirect beneficial ownership of the Class B ordinary shares held of record by Holdings. F3: (Continued from footnote 2) Each reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed by Oaktree Acquisition Holdings III, LLC ("Holdings"). The managing member of Holdings is Oaktree Acquisition Holdings III LS GP, Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Capital Management GP, LLC ("Oaktree GP"). The sole managing member of Oaktree GP is Oaktree Capital Holdings, LLC ("OCH"). Oaktree Capital Group Holdings, L.P. ("OCGH") is the direct owner of all of the Class B units of OCH. Brookfield Corporation ("BN") and Brookfield Asset Management, Ltd. ("BAM" and, together with BN, "Brookfield") are the indirect owners of all of the Class A units of OCH. Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the general partner of OCGH.
F2: (Continued from footnote 1) BAM Partners Trust (the "BAM Partnership") is the sole owner of class B Limited Voting Shares of each of BN and BAM. These shares provide the holder thereof with the right to elect one half of the board of directors of each of BN and BAM and, as such, may indirectly control the decisions of Brookfield regarding the votes and disposition of securities held of record by Holdings; therefore the BAM Partnership may be deemed to have indirect beneficial ownership of the Class B ordinary shares held of record by Holdings.
F3: (Continued from footnote 2) Each reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 4.
F4: Represents Class A ordinary shares, par value $0.0001, of the issuer (the "Private Placement Shares") that are included in the 33,981 additional private placement units (the "Private Placement Units") purchased by Holdings from the issuer in a private placement at $10.00 per Private Placement Unit in connection with the partial over-allotment option exercise of the underwriters of the issuer's initial public offering (the "Private Placement"), as described in the issuer's registration statement on Form S-1 (File No. 333-282508) (the "Registration Statement"). Each Private Placement Unit is comprised of one Private Placement Share and one-fifth of one warrant (the "Private Placement Warrants"), each whole Private Placement Warrant exercisable to purchase one Private Placement Share. Does not represent any Private Placement Shares issuable upon the exercise of Private Placement Warrants.
F5: As described in the Registration Statement under the heading "Description of Securities - Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination on a one-for-one basis or earlier at the option of the holder on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights, and have no expiration date.
F6: On October 30, 2024, the underwriters partially exercised the over-allotment option that was granted to them in connection with the issuer's initial public offering and purchased 1,699,029 additional public units. Concurrently, with the partial exercise of the over-allotment option, the underwriters also agreed to forfeit the portion of the over-allotment option that was not exercised and would have continued to be exercisable for 45 days from the date of the final prospectus related to the issuer's initial public offering. Based on the partial exercise of the over-allotment option, Holdings forfeited at no cost 231,492 Class B ordinary shares, as described in the Registration Statement.
F7: Represents Private Placement Warrants included in the 33,981 Private Placement Units purchased by Holdings in connection with the Private Placement.
F8: Each Private Placement Warrant is exercisable for cash or cashless, as described in the Registration Statement. Assuming an exercise for cash, 6,796 Private Placement Shares could be issued upon exercise of the Private Placement Warrants. The Private Placement Warrants expire five years after the completion of the issuer's initial business combination or earlier upon redemption or liquidation of the company, as described in the Registration Statement.
F9: Holdings had an obligation to purchase up to an additional 52,500 Private Placement Units, including 52,500 Private Placement Shares and 10,500 Private Placement Warrants, to the extent the underwriters of the issuer's initial public offering exercise their over-allotment option, as described in the Registration Statement. Holdings purchased 33,981 additional Private Placement Units in connection with the underwriters' partial exercise of their over-allotment option, with the remaining obligation to purchase 18,519 additional Private Placement Units being forfeited for no consideration.
Oaktree Asset-Backed Income Private Fund Inc.
Report date February 03, 2025 · Filed February 13, 2025
Jointly reported with OAKTREE FUND GP I, L.P., Oaktree Capital Holdings, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class I Common StockSEC Table I · non-derivative | Direct | 100 |
Reported balance
Holding disclosure · report date 2025-02-03 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 100 F1: The securities are directly held by Oaktree Fund GP I, L.P., which is indirectly managed by Oaktree Capital Holdings, LLC, which is managed by Oaktree Capital Group Holdings GP, LLC. Each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by Oaktree Fund GP I, L.P., which is indirectly managed by Oaktree Capital Holdings, LLC, which is managed by Oaktree Capital Group Holdings GP, LLC. Each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein.
Oaktree Specialty Lending Corp
Report date December 13, 2017 · Filed December 16, 2017
Jointly reported with OAKTREE CAPITAL MANAGEMENT LP, Oaktree Holdings, Inc., Brookfield Oaktree Holdings, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Oaktree Capital I, L.P. | 276,000 |
Last balance in matching sequence
After 2017-12-14 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2017-12-13 · Purchase · Acquired 138,000 · Balance 138,000 F1: The shares reported as purchased on December 13, 2017 were purchased in multiple transactions at actual purchase prices ranging from $4.775 to $4.83 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price. F3: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I") purchased shares of the common stock (the "Common Stock") of Oaktree Specialty Lending Corporation ("Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG. F4: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings, L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation, the Tannenbaum Family 2012 Trust and 777 West Putnam Avenue LLC (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information. Row 2 · 2017-12-14 · Purchase · Acquired 138,000 · Balance 276,000 F2: The shares reported as purchased on December 14, 2017 were purchased in multiple transactions at actual purchase prices ranging from $4.68 to $4.84 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price. F3: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I") purchased shares of the common stock (the "Common Stock") of Oaktree Specialty Lending Corporation ("Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG. F4: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings, L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation, the Tannenbaum Family 2012 Trust and 777 West Putnam Avenue LLC (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares reported as purchased on December 13, 2017 were purchased in multiple transactions at actual purchase prices ranging from $4.775 to $4.83 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.
F2: The shares reported as purchased on December 14, 2017 were purchased in multiple transactions at actual purchase prices ranging from $4.68 to $4.84 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.
F3: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I") purchased shares of the common stock (the "Common Stock") of Oaktree Specialty Lending Corporation ("Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG.
F4: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings, L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation, the Tannenbaum Family 2012 Trust and 777 West Putnam Avenue LLC (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information.
Oaktree Strategic Credit Fund
Report date March 07, 2022 · Filed March 09, 2022
Jointly reported with OAKTREE FUND GP I, L.P., BAM Partners Trust, BROOKFIELD Corp /ON/, Oaktree Capital I, L.P., Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, Brookfield Oaktree Holdings, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class I Common Shares of Beneficial InterestSEC Table I · non-derivative | IndirectSee Footnotes | 4,000,000 |
Reported balance
After 2022-03-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-03-07 · Purchase · Acquired 1,600,000 · Balance 4,000,000 F1: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) Oaktree Fund GP I, L.P. ("GP I"), as the direct beneficial owner of the Class I Common Shares of Beneficial Interest (the "Shares"), (ii) Oaktree Capital I, L.P. ("Capital I"), as general partner of GP I, (iii) OCM Holdings I, LLC ("Holdings I"), as general partner of Capital I, (iv) Oaktree Holdings, LLC ("Holdings"), as managing member of Holdings I, (v) Oaktree Capital Group, LLC ("OCG"), as managing member of Holdings, (vi) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of OCG, (vii) Brookfield Asset Management Inc. ("BAM"), as indirect owner of the class A units of OCG, and (viii) BAM Partners Trust (the "BAM Partnership"), as sole owner of the Class B Limited Voting Shares of BAM. F2: Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares, except to the extent of their respective pecuniary interests therein, and the filing of this Form 3 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) Oaktree Fund GP I, L.P. ("GP I"), as the direct beneficial owner of the Class I Common Shares of Beneficial Interest (the "Shares"), (ii) Oaktree Capital I, L.P. ("Capital I"), as general partner of GP I, (iii) OCM Holdings I, LLC ("Holdings I"), as general partner of Capital I, (iv) Oaktree Holdings, LLC ("Holdings"), as managing member of Holdings I, (v) Oaktree Capital Group, LLC ("OCG"), as managing member of Holdings, (vi) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of OCG, (vii) Brookfield Asset Management Inc. ("BAM"), as indirect owner of the class A units of OCG, and (viii) BAM Partners Trust (the "BAM Partnership"), as sole owner of the Class B Limited Voting Shares of BAM.
F2: Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares, except to the extent of their respective pecuniary interests therein, and the filing of this Form 3 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.
Oaktree Strategic Income Corp
Report date March 08, 2018 · Filed March 12, 2018
Jointly reported with OAKTREE CAPITAL MANAGEMENT LP, Oaktree Holdings, Inc., Brookfield Oaktree Holdings, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Oaktree Capital I, L.P. | 392,000 |
Reported balance
After 2018-03-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-03-08 · Purchase · Acquired 26,900 · Balance 392,000 F1: The shares reported as purchased on March 8, 2018 were purchased in multiple transactions at actual purchase prices ranging from $7.80 to $7.98 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price. F2: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), purchased the shares of the common stock (the "Common Stock") of Oaktree Strategic Income Corporation (the "Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG. F3: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation and the Tannenbaum Family 2012 Trust (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares reported as purchased on March 8, 2018 were purchased in multiple transactions at actual purchase prices ranging from $7.80 to $7.98 per share. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.
F2: Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), purchased the shares of the common stock (the "Common Stock") of Oaktree Strategic Income Corporation (the "Issuer") on the open market. OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), serves as the general partner of Capital I. Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings"), serves as the managing member of Holdings I. Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG") and a Reporting Person for the purposes of this Form 4, serves as the managing member of Holdings. Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company and a Reporting Person for the purposes of this Form 4, serves as the duly elected manager of OCG.
F3: On July 13, 2017, Oaktree Capital Management, L.P. ("Oaktree") entered into a Voting Agreement, dated as of July 13, 2017 (the "Voting Agreement"), with Fifth Street Holdings L.P., Leonard M. Tannenbaum, the Leonard M. Tannenbaum Foundation and the Tannenbaum Family 2012 Trust (collectively, the "Stockholders") with respect to the shares of common stock, par value $0.01 per share, of the Issuer (the "Common Stock") owned by the Stockholders. As a result, Oaktree and the other Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended, in excess of 10% of the issued and outstanding Common Stock. See the Form 3 filed by the Reporting Persons with the Securities and Exchange Commission on July 21, 2017 with respect to the Issuer for additional information.
Runway Growth Finance Corp.
Report date November 17, 2025 · Filed November 20, 2025
Jointly reported with OCM Growth Holdings LLC, Oaktree Capital Holdings, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 7,029,668 |
Reported balance
After 2025-11-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-11-17 · Sale · Disposed 1,250,000 · Balance 7,029,668 F1: This Form 4 is being filed by (i) OCM Growth Holdings LLC, a Delaware limited liability company ("OCMGH") and the direct holder of the reported securities, (ii) Oaktree Capital Holdings, LLC, limited liability company ("OCH"), in its capacity as the indirect manager of OCMGH and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of class B units of OCH. F2: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F3: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone and John B. Frank (the "OCGH GP Members"). Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed by (i) OCM Growth Holdings LLC, a Delaware limited liability company ("OCMGH") and the direct holder of the reported securities, (ii) Oaktree Capital Holdings, LLC, limited liability company ("OCH"), in its capacity as the indirect manager of OCMGH and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of class B units of OCH.
F2: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.
F3: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone and John B. Frank (the "OCGH GP Members"). Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4.
STONEMOR PARTNERS LP
Report date May 14, 2018 · Filed May 16, 2018
Jointly reported with OAKTREE CAPITAL MANAGEMENT LP, OAKTREE FUND GP I, L.P., Oaktree Capital I, L.P., Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, Brookfield Oaktree Holdings, LLC, Oaktree Holdings, Inc.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common units representing partnership interestsSEC Table I · non-derivative | Direct | 4,477,857 |
Last balance in matching sequence
After 2018-05-16 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2018-05-14 · Purchase · Acquired 1,866 · Balance 4,459,267 F1: By Oaktree Value Equity Holdings, L.P., a Delaware limited partnership ("VE Holdings"). This Form 4 is also being filed by (i) Oaktree Value Equity Fund GP, L.P., a Cayman Islands exempted limited partnership ("VEF GP"), in its capacity as the general partner of VE Holdings; (ii) Oaktree Value Equity Fund GP Ltd., a Cayman Islands exempted company ("VEF Ltd."), in its capacity as the general partner of VEF GP; (iii) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of VEF Ltd.; (iv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings"), in its capacity as the general partner of Management; (v) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as sole shareholder of VEF Ltd.; (vi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (continue on footnote 2) F2: (continued from footnote 1) (vii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC") in its capacity as the managing member of Holdings I; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH"), in its capacity as the duly elected manager of OCG. F3: Each Reporting Person disclaims beneficial ownership of the Common Units reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of the Common Units covered by this Form 4. F4: OCGH is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH Members"). In such capacity, the OCGH Members may be deemed to have indirect beneficial ownership of the Common Units reported herein. Each OCGH Member expressly disclaims beneficial ownership of the Common Units reported herein, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Common Units covered by this Form 4. Row 2 · 2018-05-15 · Purchase · Acquired 12,956 · Balance 4,472,223 F5: The price reported in Column 4 is a weighted average price. These Common Units were acquired in multiple transactions at prices ranging from $6.00 to $6.08, inclusive. The reporting persons undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Units sold at each separate price within the ranges set forth in footnotes (5), (6) and (7) to this Form 4. F1: By Oaktree Value Equity Holdings, L.P., a Delaware limited partnership ("VE Holdings"). This Form 4 is also being filed by (i) Oaktree Value Equity Fund GP, L.P., a Cayman Islands exempted limited partnership ("VEF GP"), in its capacity as the general partner of VE Holdings; (ii) Oaktree Value Equity Fund GP Ltd., a Cayman Islands exempted company ("VEF Ltd."), in its capacity as the general partner of VEF GP; (iii) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of VEF Ltd.; (iv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings"), in its capacity as the general partner of Management; (v) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as sole shareholder of VEF Ltd.; (vi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (continue on footnote 2) F2: (continued from footnote 1) (vii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC") in its capacity as the managing member of Holdings I; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH"), in its capacity as the duly elected manager of OCG. F3: Each Reporting Person disclaims beneficial ownership of the Common Units reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of the Common Units covered by this Form 4. F4: OCGH is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH Members"). In such capacity, the OCGH Members may be deemed to have indirect beneficial ownership of the Common Units reported herein. Each OCGH Member expressly disclaims beneficial ownership of the Common Units reported herein, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Common Units covered by this Form 4. Row 3 · 2018-05-16 · Purchase · Acquired 5,634 · Balance 4,477,857 F6: The price reported in Column 4 is a weighted average price. These Common Units were acquired in multiple transactions at prices ranging from $6.08 to $6.10, inclusive. F1: By Oaktree Value Equity Holdings, L.P., a Delaware limited partnership ("VE Holdings"). This Form 4 is also being filed by (i) Oaktree Value Equity Fund GP, L.P., a Cayman Islands exempted limited partnership ("VEF GP"), in its capacity as the general partner of VE Holdings; (ii) Oaktree Value Equity Fund GP Ltd., a Cayman Islands exempted company ("VEF Ltd."), in its capacity as the general partner of VEF GP; (iii) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of VEF Ltd.; (iv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings"), in its capacity as the general partner of Management; (v) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as sole shareholder of VEF Ltd.; (vi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (continue on footnote 2) F2: (continued from footnote 1) (vii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC") in its capacity as the managing member of Holdings I; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH"), in its capacity as the duly elected manager of OCG. F3: Each Reporting Person disclaims beneficial ownership of the Common Units reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of the Common Units covered by this Form 4. F4: OCGH is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH Members"). In such capacity, the OCGH Members may be deemed to have indirect beneficial ownership of the Common Units reported herein. Each OCGH Member expressly disclaims beneficial ownership of the Common Units reported herein, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Common Units covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: By Oaktree Value Equity Holdings, L.P., a Delaware limited partnership ("VE Holdings"). This Form 4 is also being filed by (i) Oaktree Value Equity Fund GP, L.P., a Cayman Islands exempted limited partnership ("VEF GP"), in its capacity as the general partner of VE Holdings; (ii) Oaktree Value Equity Fund GP Ltd., a Cayman Islands exempted company ("VEF Ltd."), in its capacity as the general partner of VEF GP; (iii) Oaktree Capital Management, L.P., a Delaware limited partnership ("Management"), in its capacity as the sole director of VEF Ltd.; (iv) Oaktree Holdings, Inc., a Delaware corporation ("Holdings"), in its capacity as the general partner of Management; (v) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), in its capacity as sole shareholder of VEF Ltd.; (vi) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as the general partner of GP I; (continue on footnote 2)
F2: (continued from footnote 1) (vii) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC") in its capacity as the managing member of Holdings I; (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC; and (x) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH"), in its capacity as the duly elected manager of OCG.
F3: Each Reporting Person disclaims beneficial ownership of the Common Units reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of the Common Units covered by this Form 4.
F4: OCGH is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH Members"). In such capacity, the OCGH Members may be deemed to have indirect beneficial ownership of the Common Units reported herein. Each OCGH Member expressly disclaims beneficial ownership of the Common Units reported herein, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of the Common Units covered by this Form 4.
F5: The price reported in Column 4 is a weighted average price. These Common Units were acquired in multiple transactions at prices ranging from $6.00 to $6.08, inclusive. The reporting persons undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Common Units sold at each separate price within the ranges set forth in footnotes (5), (6) and (7) to this Form 4.
F6: The price reported in Column 4 is a weighted average price. These Common Units were acquired in multiple transactions at prices ranging from $6.08 to $6.10, inclusive.
Sitio Royalties Corp.
Report date August 19, 2025 · Filed August 22, 2025
Jointly reported with Source Energy Permian II, LLC, Sierra Energy Royalties, LLC, Source Energy Partners, LLC, OCM FIE, LLC, OAKTREE CAPITAL MANAGEMENT LP, Oaktree Capital Holdings, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2025-08-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-08-19 · Sale · Disposed 10,431 · Balance 0 F1: In connection with merger of the Issuer with Viper Energy, Inc., the reporting person disposed of all issuer equity securities in exchange for the merger consideration pursuant to the Agreement and Plan of Merger dated as of June 2, 2025, by and among the parties thereto. F2: The reported securities were directly held by (i) Source Energy Permian II, LLC ("Source"), as the direct holder of securities, (ii) Sierra Energy Royalties, LLC ("Sierra") (iii) Source Energy Partners, LLC ("Source Energy") (iv) OCM FIE, LLC ("FIE"). Oaktree Capital Management L.P., Oaktree Capital Holdings, LLC and Oaktree Capital Group Holdings GP LLP are the indirect managers of Source, Sierra, Source Energy, and FIE, but each of the foregoing disclaim beneficial ownership of the reported securities except to the extent of any pecuniary interest therein. |
| Class C Common StockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2025-08-19 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2025-08-19 · Sale · Disposed 15,443,610 · Balance 0 F3: Each Sitio Royalties Operating Partnership, LP Unit, together with a share of Class C Common Stock, is exchangeable, for no additional consideration, into one share of Class A Common Stock. F1: In connection with merger of the Issuer with Viper Energy, Inc., the reporting person disposed of all issuer equity securities in exchange for the merger consideration pursuant to the Agreement and Plan of Merger dated as of June 2, 2025, by and among the parties thereto. F2: The reported securities were directly held by (i) Source Energy Permian II, LLC ("Source"), as the direct holder of securities, (ii) Sierra Energy Royalties, LLC ("Sierra") (iii) Source Energy Partners, LLC ("Source Energy") (iv) OCM FIE, LLC ("FIE"). Oaktree Capital Management L.P., Oaktree Capital Holdings, LLC and Oaktree Capital Group Holdings GP LLP are the indirect managers of Source, Sierra, Source Energy, and FIE, but each of the foregoing disclaim beneficial ownership of the reported securities except to the extent of any pecuniary interest therein. |
| Sitio Royalties Operating Partnership, LP UnitsSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2025-08-19 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-08-19 · Sale · Acquired 15,443,610 · Balance 0 F3: Each Sitio Royalties Operating Partnership, LP Unit, together with a share of Class C Common Stock, is exchangeable, for no additional consideration, into one share of Class A Common Stock. F2: The reported securities were directly held by (i) Source Energy Permian II, LLC ("Source"), as the direct holder of securities, (ii) Sierra Energy Royalties, LLC ("Sierra") (iii) Source Energy Partners, LLC ("Source Energy") (iv) OCM FIE, LLC ("FIE"). Oaktree Capital Management L.P., Oaktree Capital Holdings, LLC and Oaktree Capital Group Holdings GP LLP are the indirect managers of Source, Sierra, Source Energy, and FIE, but each of the foregoing disclaim beneficial ownership of the reported securities except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with merger of the Issuer with Viper Energy, Inc., the reporting person disposed of all issuer equity securities in exchange for the merger consideration pursuant to the Agreement and Plan of Merger dated as of June 2, 2025, by and among the parties thereto.
F2: The reported securities were directly held by (i) Source Energy Permian II, LLC ("Source"), as the direct holder of securities, (ii) Sierra Energy Royalties, LLC ("Sierra") (iii) Source Energy Partners, LLC ("Source Energy") (iv) OCM FIE, LLC ("FIE"). Oaktree Capital Management L.P., Oaktree Capital Holdings, LLC and Oaktree Capital Group Holdings GP LLP are the indirect managers of Source, Sierra, Source Energy, and FIE, but each of the foregoing disclaim beneficial ownership of the reported securities except to the extent of any pecuniary interest therein.
F3: Each Sitio Royalties Operating Partnership, LP Unit, together with a share of Class C Common Stock, is exchangeable, for no additional consideration, into one share of Class A Common Stock.
Townsquare Media, Inc.
Report date March 09, 2021 · Filed March 12, 2021
Jointly reported with Oaktree Fund GP III, L.P., Oaktree AIF Investments, L.P., Oaktree AIF Investment GP, LLC, Oaktree Capital Holdings, LLC, Oaktree Capital Group Holdings, L.P., BROOKFIELD Corp /ON/, Partners Ltd
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common UnitsSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2021-03-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-03-09 · Sale · Disposed 1,595,224 · Balance 0 F1: On March 9, 2021, the repurchase by the Issuer of 1,595,224 shares of Class A Common Stock, 2,151,373 shares of Class B Common Stock and 8,814,980 warrants to purchase Class A Common Stock (collectively, the "Securities") pursuant to that certain stock repurchase agreement, dated as of January 24, 2021, by and among the Issuer, OCM POF IV AIF GAP Holdings, L.P. ("GAP Holdings"), OCM PF/FF Radio Holdings PT, L.P. ("Radio Holdings") and the other sellers named therein for $6.40 per Security, was consummated. F2: This Form 4 is also being filed by: Partners Limited, in its capacity as the sole owner of class B limited voting shares of Brookfield Asset Management Inc. ("BAM"); BAM, in its capacity as the indirect owner of the Class A units of each of Oaktree Capital Group Holdings GP, LLC ("OCGH") and Atlas OCM Holdings, LLC ("Atlas OCM"); OCGH, in its capacity as general partner of Oaktree Capital Group Holdings, L.P. ("Capital Group LP"); Capital Group LP, in its capacity as sole managing member of Atlas OCM; Atlas OCM, in its capacity as sole managing member of Oaktree AIF Investment G.P. LLC ("AIF GP"); AIF GP, in its capacity as general partner of Oaktree AIF Investments, L.P. ("AIF Investments"); AIF Investments, in its capacity as general partner of Oaktree Fund GP III, L.P. F3: (Continued from (2)) Oaktree Fund GP AIF, LLC ("Fund GP AIF LLC"), in its capacity as general partner of Oaktree Fund AIF Series, L.P. - Series B ("Series B"), Oaktree Fund AIF Series, L.P. - Series I ("Series I") and Oaktree Fund AIF Series, L.P. - Series D ("Series D"); Series B, in its capacity as general partner of OCM Principal Opportunities Fund IV AIF (Delaware), L.P. ("Principal Opportunities"); Series I and Series D, in their capacity as general partners of Radio Holdings; Principal Opportunities, in its capacity as the sole member of OCM/GAP Holdings IV, LLC ("OCM/GAP"); and OCM/GAP, in its capacity as general partner of GAP Holdings. F4: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person, other than Radio Holdings and GAP Holdings with respect to their direct holdings, disclaims beneficial ownership of the securities reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4. F5: OCGH is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, John B. Frank, Sheldon M. Stone and Jay S. Wintrob (each, an "OCGH Member" and, collectively, the "OCGH Members"). In such capacity, the OCGH Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4. F6: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. F7: In connection with the Issuer's initial public offering, GAP Holdings and Radio Holdings entered into a stockholders' agreement (the "Stockholders' Agreement") with FiveWire Media Ventures, LLC ("FiveWire"), and the members of FiveWire. Pursuant to the Stockholders' Agreement, FiveWire and its members agreed to support certain nominees of affiliates of GAP Holdings and Radio Holdings and their affiliates (collectively, "Oaktree"), as directors of the Issuer, and will grant to Oaktree an irrevocable proxy to vote the shares of Class B common stock of the Issuer held by FiveWire and its members. As a result, the Reporting Persons may have been deemed to form a "group" with FiveWire and its members. The Reporting Persons disclaim beneficial ownership of any securities held by FiveWire and its members. |
| Warrants to purchase Class A Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 0 |
Reported balance
After 2021-03-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-03-09 · Sale · Disposed 8,814,980 · Balance 0 F1: On March 9, 2021, the repurchase by the Issuer of 1,595,224 shares of Class A Common Stock, 2,151,373 shares of Class B Common Stock and 8,814,980 warrants to purchase Class A Common Stock (collectively, the "Securities") pursuant to that certain stock repurchase agreement, dated as of January 24, 2021, by and among the Issuer, OCM POF IV AIF GAP Holdings, L.P. ("GAP Holdings"), OCM PF/FF Radio Holdings PT, L.P. ("Radio Holdings") and the other sellers named therein for $6.40 per Security, was consummated. F8: The warrants are immediately exercisable and do not expire unless so elected by the board of directors of the Issuer in certain circumstances. F2: This Form 4 is also being filed by: Partners Limited, in its capacity as the sole owner of class B limited voting shares of Brookfield Asset Management Inc. ("BAM"); BAM, in its capacity as the indirect owner of the Class A units of each of Oaktree Capital Group Holdings GP, LLC ("OCGH") and Atlas OCM Holdings, LLC ("Atlas OCM"); OCGH, in its capacity as general partner of Oaktree Capital Group Holdings, L.P. ("Capital Group LP"); Capital Group LP, in its capacity as sole managing member of Atlas OCM; Atlas OCM, in its capacity as sole managing member of Oaktree AIF Investment G.P. LLC ("AIF GP"); AIF GP, in its capacity as general partner of Oaktree AIF Investments, L.P. ("AIF Investments"); AIF Investments, in its capacity as general partner of Oaktree Fund GP III, L.P. F3: (Continued from (2)) Oaktree Fund GP AIF, LLC ("Fund GP AIF LLC"), in its capacity as general partner of Oaktree Fund AIF Series, L.P. - Series B ("Series B"), Oaktree Fund AIF Series, L.P. - Series I ("Series I") and Oaktree Fund AIF Series, L.P. - Series D ("Series D"); Series B, in its capacity as general partner of OCM Principal Opportunities Fund IV AIF (Delaware), L.P. ("Principal Opportunities"); Series I and Series D, in their capacity as general partners of Radio Holdings; Principal Opportunities, in its capacity as the sole member of OCM/GAP Holdings IV, LLC ("OCM/GAP"); and OCM/GAP, in its capacity as general partner of GAP Holdings. F4: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person, other than Radio Holdings and GAP Holdings with respect to their direct holdings, disclaims beneficial ownership of the securities reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4. F5: OCGH is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, John B. Frank, Sheldon M. Stone and Jay S. Wintrob (each, an "OCGH Member" and, collectively, the "OCGH Members"). In such capacity, the OCGH Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4. F6: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. F7: In connection with the Issuer's initial public offering, GAP Holdings and Radio Holdings entered into a stockholders' agreement (the "Stockholders' Agreement") with FiveWire Media Ventures, LLC ("FiveWire"), and the members of FiveWire. Pursuant to the Stockholders' Agreement, FiveWire and its members agreed to support certain nominees of affiliates of GAP Holdings and Radio Holdings and their affiliates (collectively, "Oaktree"), as directors of the Issuer, and will grant to Oaktree an irrevocable proxy to vote the shares of Class B common stock of the Issuer held by FiveWire and its members. As a result, the Reporting Persons may have been deemed to form a "group" with FiveWire and its members. The Reporting Persons disclaim beneficial ownership of any securities held by FiveWire and its members. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 0 |
Reported balance
After 2021-03-09 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-03-09 · Sale · Disposed 2,151,373 · Balance 0 F1: On March 9, 2021, the repurchase by the Issuer of 1,595,224 shares of Class A Common Stock, 2,151,373 shares of Class B Common Stock and 8,814,980 warrants to purchase Class A Common Stock (collectively, the "Securities") pursuant to that certain stock repurchase agreement, dated as of January 24, 2021, by and among the Issuer, OCM POF IV AIF GAP Holdings, L.P. ("GAP Holdings"), OCM PF/FF Radio Holdings PT, L.P. ("Radio Holdings") and the other sellers named therein for $6.40 per Security, was consummated. F9: The shares of Class B Common Stock are convertible at any time or times into an equal number of shares of Class A Common Stock. F2: This Form 4 is also being filed by: Partners Limited, in its capacity as the sole owner of class B limited voting shares of Brookfield Asset Management Inc. ("BAM"); BAM, in its capacity as the indirect owner of the Class A units of each of Oaktree Capital Group Holdings GP, LLC ("OCGH") and Atlas OCM Holdings, LLC ("Atlas OCM"); OCGH, in its capacity as general partner of Oaktree Capital Group Holdings, L.P. ("Capital Group LP"); Capital Group LP, in its capacity as sole managing member of Atlas OCM; Atlas OCM, in its capacity as sole managing member of Oaktree AIF Investment G.P. LLC ("AIF GP"); AIF GP, in its capacity as general partner of Oaktree AIF Investments, L.P. ("AIF Investments"); AIF Investments, in its capacity as general partner of Oaktree Fund GP III, L.P. F3: (Continued from (2)) Oaktree Fund GP AIF, LLC ("Fund GP AIF LLC"), in its capacity as general partner of Oaktree Fund AIF Series, L.P. - Series B ("Series B"), Oaktree Fund AIF Series, L.P. - Series I ("Series I") and Oaktree Fund AIF Series, L.P. - Series D ("Series D"); Series B, in its capacity as general partner of OCM Principal Opportunities Fund IV AIF (Delaware), L.P. ("Principal Opportunities"); Series I and Series D, in their capacity as general partners of Radio Holdings; Principal Opportunities, in its capacity as the sole member of OCM/GAP Holdings IV, LLC ("OCM/GAP"); and OCM/GAP, in its capacity as general partner of GAP Holdings. F4: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person, other than Radio Holdings and GAP Holdings with respect to their direct holdings, disclaims beneficial ownership of the securities reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4. F5: OCGH is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, John B. Frank, Sheldon M. Stone and Jay S. Wintrob (each, an "OCGH Member" and, collectively, the "OCGH Members"). In such capacity, the OCGH Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4. F6: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. F7: In connection with the Issuer's initial public offering, GAP Holdings and Radio Holdings entered into a stockholders' agreement (the "Stockholders' Agreement") with FiveWire Media Ventures, LLC ("FiveWire"), and the members of FiveWire. Pursuant to the Stockholders' Agreement, FiveWire and its members agreed to support certain nominees of affiliates of GAP Holdings and Radio Holdings and their affiliates (collectively, "Oaktree"), as directors of the Issuer, and will grant to Oaktree an irrevocable proxy to vote the shares of Class B common stock of the Issuer held by FiveWire and its members. As a result, the Reporting Persons may have been deemed to form a "group" with FiveWire and its members. The Reporting Persons disclaim beneficial ownership of any securities held by FiveWire and its members. |
Filing footnotes · ownership attribution and instrument terms
F1: On March 9, 2021, the repurchase by the Issuer of 1,595,224 shares of Class A Common Stock, 2,151,373 shares of Class B Common Stock and 8,814,980 warrants to purchase Class A Common Stock (collectively, the "Securities") pursuant to that certain stock repurchase agreement, dated as of January 24, 2021, by and among the Issuer, OCM POF IV AIF GAP Holdings, L.P. ("GAP Holdings"), OCM PF/FF Radio Holdings PT, L.P. ("Radio Holdings") and the other sellers named therein for $6.40 per Security, was consummated.
F2: This Form 4 is also being filed by: Partners Limited, in its capacity as the sole owner of class B limited voting shares of Brookfield Asset Management Inc. ("BAM"); BAM, in its capacity as the indirect owner of the Class A units of each of Oaktree Capital Group Holdings GP, LLC ("OCGH") and Atlas OCM Holdings, LLC ("Atlas OCM"); OCGH, in its capacity as general partner of Oaktree Capital Group Holdings, L.P. ("Capital Group LP"); Capital Group LP, in its capacity as sole managing member of Atlas OCM; Atlas OCM, in its capacity as sole managing member of Oaktree AIF Investment G.P. LLC ("AIF GP"); AIF GP, in its capacity as general partner of Oaktree AIF Investments, L.P. ("AIF Investments"); AIF Investments, in its capacity as general partner of Oaktree Fund GP III, L.P.
F3: (Continued from (2)) Oaktree Fund GP AIF, LLC ("Fund GP AIF LLC"), in its capacity as general partner of Oaktree Fund AIF Series, L.P. - Series B ("Series B"), Oaktree Fund AIF Series, L.P. - Series I ("Series I") and Oaktree Fund AIF Series, L.P. - Series D ("Series D"); Series B, in its capacity as general partner of OCM Principal Opportunities Fund IV AIF (Delaware), L.P. ("Principal Opportunities"); Series I and Series D, in their capacity as general partners of Radio Holdings; Principal Opportunities, in its capacity as the sole member of OCM/GAP Holdings IV, LLC ("OCM/GAP"); and OCM/GAP, in its capacity as general partner of GAP Holdings.
F4: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person, other than Radio Holdings and GAP Holdings with respect to their direct holdings, disclaims beneficial ownership of the securities reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4.
F5: OCGH is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, John B. Frank, Sheldon M. Stone and Jay S. Wintrob (each, an "OCGH Member" and, collectively, the "OCGH Members"). In such capacity, the OCGH Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4.
F6: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors.
F7: In connection with the Issuer's initial public offering, GAP Holdings and Radio Holdings entered into a stockholders' agreement (the "Stockholders' Agreement") with FiveWire Media Ventures, LLC ("FiveWire"), and the members of FiveWire. Pursuant to the Stockholders' Agreement, FiveWire and its members agreed to support certain nominees of affiliates of GAP Holdings and Radio Holdings and their affiliates (collectively, "Oaktree"), as directors of the Issuer, and will grant to Oaktree an irrevocable proxy to vote the shares of Class B common stock of the Issuer held by FiveWire and its members. As a result, the Reporting Persons may have been deemed to form a "group" with FiveWire and its members. The Reporting Persons disclaim beneficial ownership of any securities held by FiveWire and its members.
F8: The warrants are immediately exercisable and do not expire unless so elected by the board of directors of the Issuer in certain circumstances.
F9: The shares of Class B Common Stock are convertible at any time or times into an equal number of shares of Class A Common Stock.
Past disclosures · reporting ended (14)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Berry Corp (bry)
Report date November 08, 2022 · Filed November 10, 2022
Jointly reported with OAKTREE CAPITAL MANAGEMENT LP, Oaktree Capital Management GP, LLC, Oaktree Capital Holdings, LLC, Brookfield Oaktree Holdings, LLC, BROOKFIELD Corp /ON/, BAM Partners Trust
Section 16 reporting ended · disclosed 2022-11-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,797,000 |
Reported balance
After 2022-11-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-11-08 · Sale · Disposed 1,000,000 · Balance 6,797,000 F1: This Form 4 is being filed by the Reporting Persons (as defined below) to reflect the acquisition of beneficial ownership (as defined under Section 13D of the Securities Exchange Act of 1934, as amended) of more than 10% of the common stock, par value $0.001 per share (the "Common Stock") of the Issuer. The Reporting Persons had, prior to the above described acquisition on the date of the event requiring this Form 3, beneficially owned less than 10% of the Common Stock. F2: Consists of 2,924,200 shares of Common Stock held by Oaktree Opportunities Fund X Holdings (Delaware), L.P. ("Fund X Delaware"), 2,676,519 shares of Common Stock held by Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. ("Fund Xb Delaware") and 1,196,281 shares of Common Stock held by Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"). F3: This Form 4 is being filed jointly by (each "Reporting Person" and, collectively, the "Reporting Persons") (i) VOF Holdings, (ii) Oaktree Value Opportunities Fund GP, L.P. ("VOF GP") in its capacity as the general partner of VOF Holdings, (iii) Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd."), (iv) Fund X Delaware, (v) Fund Xb Delaware, (vi) Oaktree Fund GP, LLC ("Fund GP") in its capacity as the general partner of Fund X Delaware and Fund Xb Delaware, (in its capacity as the general partner of VOF GP, (vii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as the managing member of Fund GP and the sole shareholder of VOF GP Ltd., (viii) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I, (ix) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I, (x) Oaktree Holdings, LLC ("Holdings") in its capacity as the managing member of Holdings I, (cont'd in FN 4) F4: (cont'd from FN 3) (xi) Oaktree Capital Management, L.P. ("Management") in its capacity as the sole director of VOF GP Ltd, (xii) Oaktree Capital Management GP, LLC ("Management GP"), in its capacity as the general partner of Management, (xiii) Atlas OCM Holdings LLC ("Atlas"), in its capacity as the sole managing member of Management GP, (xiv) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings, (xv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the indirect owner of the class B units of each of OCG and Atlas, (xvi) Brookfield Asset Management Inc. ("BAM"), in its capacity as the indirect owner of the class A units of each of OCG and Atlas and (xvii) BAM Partners Trust ("BAM Partnership"), in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock and Series A Preferred Stock reported herein. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of the securities reported herein beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed by the Reporting Persons (as defined below) to reflect the acquisition of beneficial ownership (as defined under Section 13D of the Securities Exchange Act of 1934, as amended) of more than 10% of the common stock, par value $0.001 per share (the "Common Stock") of the Issuer. The Reporting Persons had, prior to the above described acquisition on the date of the event requiring this Form 3, beneficially owned less than 10% of the Common Stock.
F2: Consists of 2,924,200 shares of Common Stock held by Oaktree Opportunities Fund X Holdings (Delaware), L.P. ("Fund X Delaware"), 2,676,519 shares of Common Stock held by Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. ("Fund Xb Delaware") and 1,196,281 shares of Common Stock held by Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings").
F3: This Form 4 is being filed jointly by (each "Reporting Person" and, collectively, the "Reporting Persons") (i) VOF Holdings, (ii) Oaktree Value Opportunities Fund GP, L.P. ("VOF GP") in its capacity as the general partner of VOF Holdings, (iii) Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd."), (iv) Fund X Delaware, (v) Fund Xb Delaware, (vi) Oaktree Fund GP, LLC ("Fund GP") in its capacity as the general partner of Fund X Delaware and Fund Xb Delaware, (in its capacity as the general partner of VOF GP, (vii) Oaktree Fund GP I, L.P. ("GP I") in its capacity as the managing member of Fund GP and the sole shareholder of VOF GP Ltd., (viii) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I, (ix) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I, (x) Oaktree Holdings, LLC ("Holdings") in its capacity as the managing member of Holdings I, (cont'd in FN 4)
F4: (cont'd from FN 3) (xi) Oaktree Capital Management, L.P. ("Management") in its capacity as the sole director of VOF GP Ltd, (xii) Oaktree Capital Management GP, LLC ("Management GP"), in its capacity as the general partner of Management, (xiii) Atlas OCM Holdings LLC ("Atlas"), in its capacity as the sole managing member of Management GP, (xiv) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings, (xv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the indirect owner of the class B units of each of OCG and Atlas, (xvi) Brookfield Asset Management Inc. ("BAM"), in its capacity as the indirect owner of the class A units of each of OCG and Atlas and (xvii) BAM Partners Trust ("BAM Partnership"), in its capacity as the sole owner of Class B Limited Voting Shares of BAM.
F5: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock and Series A Preferred Stock reported herein. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of the securities reported herein beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein.
EXPAND ENERGY Corp
Report date March 25, 2022 · Filed March 29, 2022
Jointly reported with BAM Partners Trust, BROOKFIELD Corp /ON/, Brookfield US Inc., Brookfield Public Securities Group Holdings LLC, Brookfield Oaktree Holdings, LLC, Brookfield OCM Holdings, LLC, Brookfield OCM Holdings II, LLC, Oaktree Capital I, L.P., OAKTREE FUND GP I, L.P.
Section 16 reporting ended · disclosed 2022-03-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 11,001,153 |
Reported balance
After 2022-03-25 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-03-25 · Disposition to issuer · Disposed 1,000,000 · Balance 11,001,153 F1: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) OCM XI CHK Holdings, LLC ("XI CHK Holdings"), (ii) OCM Xb CHK Holdings, LLC ("Xb CHK Holdings"), (iii) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the manager of XI CHK Holdings and Xb CHK Holdings, (iv) Oaktree Fund GP I, L.P. ("Fund GP I"), in its capacity as the managing member of Fund GP, (v) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of Fund GP I, (vi) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I, (vii) Oaktree Holdings, LLC ("Holdings LLC"), in its capacity as the managing member of Holdings I, (viii) Oaktree Capital Group, LLC ("OCG"), in its capacity as the managing member of Holdings LLC, (ix) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG, (cont'd in FN 2) F2: (cont'd from FN 1) (x) Brookfield Public Securities Group Holdings LLC ("Securities Group Holdings"), (xi) Brookfield US Inc. ("Brookfield US"), in its capacity as managing member of Securities Group Holdings, (xii) Brookfield Asset Management Inc. ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole indirect shareholder of Brookfield US and (xiii) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. Each of the Reporting Persons expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of their respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) OCM XI CHK Holdings, LLC ("XI CHK Holdings"), (ii) OCM Xb CHK Holdings, LLC ("Xb CHK Holdings"), (iii) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the manager of XI CHK Holdings and Xb CHK Holdings, (iv) Oaktree Fund GP I, L.P. ("Fund GP I"), in its capacity as the managing member of Fund GP, (v) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of Fund GP I, (vi) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I, (vii) Oaktree Holdings, LLC ("Holdings LLC"), in its capacity as the managing member of Holdings I, (viii) Oaktree Capital Group, LLC ("OCG"), in its capacity as the managing member of Holdings LLC, (ix) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG, (cont'd in FN 2)
F2: (cont'd from FN 1) (x) Brookfield Public Securities Group Holdings LLC ("Securities Group Holdings"), (xi) Brookfield US Inc. ("Brookfield US"), in its capacity as managing member of Securities Group Holdings, (xii) Brookfield Asset Management Inc. ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole indirect shareholder of Brookfield US and (xiii) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. Each of the Reporting Persons expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of their respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.
Eagle Bulk Shipping Inc.
Report date June 22, 2023 · Filed June 23, 2023
Jointly reported with OCM Opps EB Holdings Ltd., Oaktree Fund GP, LLC, OAKTREE FUND GP I, L.P., Oaktree Capital I, L.P., Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, Brookfield Oaktree Holdings, LLC, BROOKFIELD Corp /ON/, BAM Partners Trust
Section 16 reporting ended · disclosed 2023-06-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per share ("Common Stock")SEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2023-06-22 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-06-22 · Sale · Disposed 3,781,561 · Balance 0 F1: On June 22, 2023, OCM Opps EB Holdings Ltd. (the "EB Holdings") entered into a securities purchase agreement (the "Securities Purchase Agreement") with Eagle Bulk Shipping Inc. (the "Company"), pursuant to which the Company agreed to purchase 3,781,561 shares of the Company's common stock, par value $0.1 per share (the "Common Stock") (the "Purchased Shares") from EB Holdings at an aggregate purchase price of $219,330,538.00 (the "Purchase Price"), representing a purchase price of $58.00 per share. The Purchased Shares constitute all of the Common Stock of the Company owned by EB Holdings. F2: This Form 4 is being filed by EB Holdings with respect to the Common Stock, that may be deemed to be beneficially owned by the Reporting Persons (as defined below) all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of EB Holdings, (ii) Oaktree Fund GP I, L.P. ("GP I"), in its capacity as the managing member of Fund GP, (iii) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of GP I, (iv) OCM Holdings I, LLC ("Holdings I"), in its capacity as the general partner of Capital I, (v) Oaktree Holdings, LLC ("Holdings"), in its capacity as the managing member of Holdings I, (vi) Oaktree Capital Group, LLC ("OCG"), in its capacity as the managing member of Holdings, (vii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as (cont'd in FN 3) F3: (cont'd from FN 2) the indirect owner of the class B units of OCG, (viii) Brookfield Corporation ("Brookfield"), in its capacity as the indirect owner of the class A units of OCG and (ix) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of Brookfield ("BAM," and, together with EB Holdings, Fund GP, GP I, Capital I, Holdings I, Holdings, OCG, OCGH GP and Brookfield, the "Reporting Persons" and each a "Reporting Person"). F4: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any Common Stock covered by this Form 4. F5: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On June 22, 2023, OCM Opps EB Holdings Ltd. (the "EB Holdings") entered into a securities purchase agreement (the "Securities Purchase Agreement") with Eagle Bulk Shipping Inc. (the "Company"), pursuant to which the Company agreed to purchase 3,781,561 shares of the Company's common stock, par value $0.1 per share (the "Common Stock") (the "Purchased Shares") from EB Holdings at an aggregate purchase price of $219,330,538.00 (the "Purchase Price"), representing a purchase price of $58.00 per share. The Purchased Shares constitute all of the Common Stock of the Company owned by EB Holdings.
F2: This Form 4 is being filed by EB Holdings with respect to the Common Stock, that may be deemed to be beneficially owned by the Reporting Persons (as defined below) all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of EB Holdings, (ii) Oaktree Fund GP I, L.P. ("GP I"), in its capacity as the managing member of Fund GP, (iii) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of GP I, (iv) OCM Holdings I, LLC ("Holdings I"), in its capacity as the general partner of Capital I, (v) Oaktree Holdings, LLC ("Holdings"), in its capacity as the managing member of Holdings I, (vi) Oaktree Capital Group, LLC ("OCG"), in its capacity as the managing member of Holdings, (vii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as (cont'd in FN 3)
F3: (cont'd from FN 2) the indirect owner of the class B units of OCG, (viii) Brookfield Corporation ("Brookfield"), in its capacity as the indirect owner of the class A units of OCG and (ix) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of Brookfield ("BAM," and, together with EB Holdings, Fund GP, GP I, Capital I, Holdings I, Holdings, OCG, OCGH GP and Brookfield, the "Reporting Persons" and each a "Reporting Person").
F4: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any Common Stock covered by this Form 4.
F5: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein.
Euronav MI II Inc.
Report date June 12, 2018 · Filed June 13, 2018
Jointly reported with Brookfield Oaktree Holdings, LLC, OAKTREE CAPITAL MANAGEMENT LP, Oaktree Holdings, Inc.
Section 16 reporting ended · disclosed 2018-06-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-06-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-06-12 · Disposition to issuer · Disposed 11,923,244 · Balance 0 F1: Disposed of pursuant to a merger agreement among GNRT, Euronav NV ("Euronav") and Euronav MI Inc., a direct wholly owned subsidiary of Euronav, whereby each GNRT Common Share will be exchanged for 0.7272 ordinary shares of Euronav, such ordinary shares of Euronav having a market value of $9.20 per share on the effective date of the merger. GNRT Common Stock entitled to a fraction of a Euronav ordinary share will be entitled to receive an amount of cash (without interest, rounded to the nearest whole cent) determined by a formula outlined in the merger agreement. F2: OCM Marine Holdings TP, L.P. ("OCM Marine") directly owns the GNRT Common Stock. This Form 4 is also being filed by: (i) OCM Marine GP CTB, Ltd. ("OCM Marine GP") in its capacity as the general partner of OCM Marine; (ii) Oaktree Principal Fund V, L.P. ("PFV") in its capacity as the majority shareholder of OCM Marine GP; (iii) Oaktree Principal Fund V GP, L.P. ("PFV GP") in its capacity as the general partner of PFV; (iv) Oaktree Principal Fund V GP Ltd. ("PFV GP GP") in its capacity as the general partner of PFV GP; (v) Oaktree Fund GP I, L.P. ("GP I") in its capacity as the sole shareholder of PFV GP GP; (vi) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (vii) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; F3: (cont'd from footnote 2) (ix) Oaktree Capital Management, L.P. ("OCM LP") in its capacity as the sole director of OCM Marine, GP; (x) Oaktree Holdings, Inc. ("Holdings, Inc.") in its capacity as the general partner of OCM LP; (xi) Oaktree Capital Group, LLC ("OCG") in its capacity as the sole shareholder of Holdings, Inc. and the managing member of Oaktree Holdings, LLC ("Holdings LLC"); and (xii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG (each a "Reporting Person" and, collectively, the "Reporting Persons"). F4: Each Reporting Person disclaims beneficial ownership of all Common Stock reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any Common Stock covered by this Form 4. F5: OCGH GP is a limited liability company managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock held directly by OCM Marine. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock held directly by OCM Marine, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any Common Stock covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to a merger agreement among GNRT, Euronav NV ("Euronav") and Euronav MI Inc., a direct wholly owned subsidiary of Euronav, whereby each GNRT Common Share will be exchanged for 0.7272 ordinary shares of Euronav, such ordinary shares of Euronav having a market value of $9.20 per share on the effective date of the merger. GNRT Common Stock entitled to a fraction of a Euronav ordinary share will be entitled to receive an amount of cash (without interest, rounded to the nearest whole cent) determined by a formula outlined in the merger agreement.
F2: OCM Marine Holdings TP, L.P. ("OCM Marine") directly owns the GNRT Common Stock. This Form 4 is also being filed by: (i) OCM Marine GP CTB, Ltd. ("OCM Marine GP") in its capacity as the general partner of OCM Marine; (ii) Oaktree Principal Fund V, L.P. ("PFV") in its capacity as the majority shareholder of OCM Marine GP; (iii) Oaktree Principal Fund V GP, L.P. ("PFV GP") in its capacity as the general partner of PFV; (iv) Oaktree Principal Fund V GP Ltd. ("PFV GP GP") in its capacity as the general partner of PFV GP; (v) Oaktree Fund GP I, L.P. ("GP I") in its capacity as the sole shareholder of PFV GP GP; (vi) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (vii) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (viii) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I;
F3: (cont'd from footnote 2) (ix) Oaktree Capital Management, L.P. ("OCM LP") in its capacity as the sole director of OCM Marine, GP; (x) Oaktree Holdings, Inc. ("Holdings, Inc.") in its capacity as the general partner of OCM LP; (xi) Oaktree Capital Group, LLC ("OCG") in its capacity as the sole shareholder of Holdings, Inc. and the managing member of Oaktree Holdings, LLC ("Holdings LLC"); and (xii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG (each a "Reporting Person" and, collectively, the "Reporting Persons").
F4: Each Reporting Person disclaims beneficial ownership of all Common Stock reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any Common Stock covered by this Form 4.
F5: OCGH GP is a limited liability company managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock held directly by OCM Marine. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock held directly by OCM Marine, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any Common Stock covered by this Form 4.
FIRST BANCORP /PR/
Report date August 07, 2017 · Filed August 09, 2017
Jointly reported with Oaktree Fund GP, LLC, OAKTREE FUND GP I, L.P., Oaktree Capital I, L.P., Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, Brookfield Oaktree Holdings, LLC, Oaktree Capital Group Holdings, L.P., OCM FIE, LLC
Section 16 reporting ended · disclosed 2017-08-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.10 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 10,051,733 |
Reported balance
After 2017-08-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-08-07 · Sale · Disposed 10,000,000 · Balance 10,051,733 F1: On August 7, 2017, Oaktree Principal Fund V (Delaware), L.P. (the "PF V Fund") sold 8,273,000 shares of Common Stock of the Issuer and Oaktree FF Investment Fund AIF (Delaware), L.P. (the "AIF Fund") sold 1,727,000 shares of Common Stock of the Issuer pursuant to the Underwriting Agreement, dated as of August 2, 2017, among Goldman Sachs & Co. LLC, the Issuer and the selling stockholders named therein, including the PF V Fund and the AIF Fund (the "Sale"). F2: After giving effect to the Sale, the PF V Fund holds 8,267,689 shares of Common Stock of the Issuer and the AIF Fund holds 1,725,892 shares of Common Stock of the Issuer. OCM FIE, LLC ("FIE") also holds 58,152 shares of Common Stock and restricted stock. F3: This Form 4 is being filed by (i) the PF V Fund, (ii) the AIF Fund, (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacities as manager of Oaktree Capital Group, LLC ("OCG") and general partner of Oaktree Capital Group Holdings, L.P. ("OCGH LP"), (iv) OCG, in its capacities as managing member of Oaktree Holdings, LLC ("Oaktree Holdings") and sole stockholder of Oaktree Holdings, Inc. ("Holdings"), (v) Oaktree Holdings, in its capacity as managing member of OCM Holdings I, LLC ("Oaktree Holdings I"), (vi) Oaktree Holdings I, in its capacity as general partner of Oaktree Capital I, L.P. ("Oaktree Capital I"), (vii) Oaktree Capital I, in its capacity as general partner of Oaktree Fund GP I, L.P. ("Oaktree Fund GP I"), (viii) Oaktree Fund GP I, in its capacity as managing member of Oaktree Fund GP, LLC ("Oaktree Fund GP"), (ix) Oaktree Fund GP, in its capacity as general partner of the PF V Fund, F4: (Continued from Footnote 3) (x) OCGH LP in its capacity as controlling shareholder of Oaktree AIF Holdings, Inc. ("Oaktree AIF Holdings"), (xi) Oaktree AIF Holdings, in its capacity as general partner of Oaktree AIF Investments, L.P. ("Oaktree AIF Investments"), (xii) Oaktree AIF Investments, in its capacity as general partner of Oaktree Fund GP III, L.P. ("Oaktree GP III"), (xiii) Oaktree GP III, in its capacity as the managing member of Oaktree Fund GP AIF, LLC ("Oaktree GP AIF"), (xiv) Oaktree GP AIF, in its capacity as general partner of Oaktree Fund AIF Series, L.P. - Series I ("Oaktree AIF" and, collectively with the PF Fund, the AIF Fund, OCGH GP, OCGH LP, OCG, Oaktree Holdings, Oaktree Holdings I, Oaktree Capital I, Oaktree Fund GP I, Oaktree Fund GP, Oaktree AIF Holdings, Oaktree AIF Investments, Oaktree GP III, Oaktree GP AIF, Oaktree AIF, FIE and Holdings, the "Reporting Persons" and each, a "Reporting Person"), F5: (Continued from Footnote 4) (xv) Oaktree AIF, in its capacity as general partner of the AIF Fund, (xvi) FIE, (xvii) Oaktree Capital Management, L.P. ("OCM"), in its capacity as the managing member of FIE, and (xviii) Holdings, in its capacity as the general partner of OCM. F6: OCGH GP may be deemed to have a beneficial ownership interest in the 10,051,733 shares of Common Stock that are held and collectively owned by the PF V Fund, the AIF Fund and FIE. Each of OCG, Oaktree Holdings, Oaktree Holdings I, Oaktree Capital I, Oaktree Fund GP I and Oaktree Fund GP may be deemed to have a beneficial ownership interest in the 8,325,841 shares of Common Stock that are held and collectively owned by the PF V Fund and FIE. Each of OCG, Holdings and OCM may be deemed to have a beneficial ownership interest in the 58,152 shares of Common Stock that are held by FIE. Each of OCGH LP, Oaktree AIF Holdings, Oaktree AIF Investments, Oaktree GP III, Oaktree GP AIF and Oaktree AIF may be deemed to have a beneficial ownership interest in the 1,725,892 shares of Common Stock that are held by the AIF Fund. F7: (Continued from Footnote 6) Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person disclaims beneficial ownership of all shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any shares covered by this Form 4. F8: OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 7, 2017, Oaktree Principal Fund V (Delaware), L.P. (the "PF V Fund") sold 8,273,000 shares of Common Stock of the Issuer and Oaktree FF Investment Fund AIF (Delaware), L.P. (the "AIF Fund") sold 1,727,000 shares of Common Stock of the Issuer pursuant to the Underwriting Agreement, dated as of August 2, 2017, among Goldman Sachs & Co. LLC, the Issuer and the selling stockholders named therein, including the PF V Fund and the AIF Fund (the "Sale").
F2: After giving effect to the Sale, the PF V Fund holds 8,267,689 shares of Common Stock of the Issuer and the AIF Fund holds 1,725,892 shares of Common Stock of the Issuer. OCM FIE, LLC ("FIE") also holds 58,152 shares of Common Stock and restricted stock.
F3: This Form 4 is being filed by (i) the PF V Fund, (ii) the AIF Fund, (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacities as manager of Oaktree Capital Group, LLC ("OCG") and general partner of Oaktree Capital Group Holdings, L.P. ("OCGH LP"), (iv) OCG, in its capacities as managing member of Oaktree Holdings, LLC ("Oaktree Holdings") and sole stockholder of Oaktree Holdings, Inc. ("Holdings"), (v) Oaktree Holdings, in its capacity as managing member of OCM Holdings I, LLC ("Oaktree Holdings I"), (vi) Oaktree Holdings I, in its capacity as general partner of Oaktree Capital I, L.P. ("Oaktree Capital I"), (vii) Oaktree Capital I, in its capacity as general partner of Oaktree Fund GP I, L.P. ("Oaktree Fund GP I"), (viii) Oaktree Fund GP I, in its capacity as managing member of Oaktree Fund GP, LLC ("Oaktree Fund GP"), (ix) Oaktree Fund GP, in its capacity as general partner of the PF V Fund,
F4: (Continued from Footnote 3) (x) OCGH LP in its capacity as controlling shareholder of Oaktree AIF Holdings, Inc. ("Oaktree AIF Holdings"), (xi) Oaktree AIF Holdings, in its capacity as general partner of Oaktree AIF Investments, L.P. ("Oaktree AIF Investments"), (xii) Oaktree AIF Investments, in its capacity as general partner of Oaktree Fund GP III, L.P. ("Oaktree GP III"), (xiii) Oaktree GP III, in its capacity as the managing member of Oaktree Fund GP AIF, LLC ("Oaktree GP AIF"), (xiv) Oaktree GP AIF, in its capacity as general partner of Oaktree Fund AIF Series, L.P. - Series I ("Oaktree AIF" and, collectively with the PF Fund, the AIF Fund, OCGH GP, OCGH LP, OCG, Oaktree Holdings, Oaktree Holdings I, Oaktree Capital I, Oaktree Fund GP I, Oaktree Fund GP, Oaktree AIF Holdings, Oaktree AIF Investments, Oaktree GP III, Oaktree GP AIF, Oaktree AIF, FIE and Holdings, the "Reporting Persons" and each, a "Reporting Person"),
F5: (Continued from Footnote 4) (xv) Oaktree AIF, in its capacity as general partner of the AIF Fund, (xvi) FIE, (xvii) Oaktree Capital Management, L.P. ("OCM"), in its capacity as the managing member of FIE, and (xviii) Holdings, in its capacity as the general partner of OCM.
F6: OCGH GP may be deemed to have a beneficial ownership interest in the 10,051,733 shares of Common Stock that are held and collectively owned by the PF V Fund, the AIF Fund and FIE. Each of OCG, Oaktree Holdings, Oaktree Holdings I, Oaktree Capital I, Oaktree Fund GP I and Oaktree Fund GP may be deemed to have a beneficial ownership interest in the 8,325,841 shares of Common Stock that are held and collectively owned by the PF V Fund and FIE. Each of OCG, Holdings and OCM may be deemed to have a beneficial ownership interest in the 58,152 shares of Common Stock that are held by FIE. Each of OCGH LP, Oaktree AIF Holdings, Oaktree AIF Investments, Oaktree GP III, Oaktree GP AIF and Oaktree AIF may be deemed to have a beneficial ownership interest in the 1,725,892 shares of Common Stock that are held by the AIF Fund.
F7: (Continued from Footnote 6) Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person disclaims beneficial ownership of all shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any shares covered by this Form 4.
F8: OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4.
Garrett Motion Inc.
Report date November 10, 2025 · Filed November 13, 2025
Jointly reported with Oaktree Value Opportunities Fund Holdings, L.P., OCM Opps GTM Holdings, LLC, Oaktree Capital Holdings, LLC, Oaktree Phoenix Investment Fund, L.P., Oaktree Opportunities Fund Xb Holdings (Delaware), L.P.
Section 16 reporting ended · disclosed 2025-11-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par value per shareSEC Table I · non-derivative | IndirectSee Footnotes | 17,094,816 |
Reported balance
After 2025-11-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-11-10 · Sale · Disposed 6,300,000 · Balance 17,094,816 F1: The reported securities are directly held by Oaktree Value Opportunities Fund Holdings, L.P., OCM Opps GTM Holdings LLC, Oaktree Phoenix Investment Fund LP, and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. (collectively, the "Oaktree Entities"), which securities may be deemed beneficially owned by the direct and indirect managers or general partners of the Direct Holders including Oaktree Capital Holdings, LLC and Oaktree Capital Group Holdings GP, LLC. F2: Each Reporting Person expressly disclaims beneficial ownership of the reported securities except with respect to such Reporting Person's pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities are directly held by Oaktree Value Opportunities Fund Holdings, L.P., OCM Opps GTM Holdings LLC, Oaktree Phoenix Investment Fund LP, and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. (collectively, the "Oaktree Entities"), which securities may be deemed beneficially owned by the direct and indirect managers or general partners of the Direct Holders including Oaktree Capital Holdings, LLC and Oaktree Capital Group Holdings GP, LLC.
F2: Each Reporting Person expressly disclaims beneficial ownership of the reported securities except with respect to such Reporting Person's pecuniary interest therein.
Hims & Hers Health, Inc.
Report date January 20, 2021 · Filed January 23, 2021
Jointly reported with Oaktree Acquisition Holdings, L.P., Partners Ltd, Oaktree Acquisition Holdings GP Ltd., OAKTREE CAPITAL MANAGEMENT LP, Oaktree Capital Management GP, LLC, Oaktree Capital Holdings, LLC, BROOKFIELD Corp /ON/
Section 16 reporting ended · disclosed 2021-01-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 3,773,437 |
Reported balance
After 2021-01-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-01-20 · Other · Acquired 3,773,437 · Balance 3,773,437 F4: In connection with the Agreement and Plan of Merger, dated September 30, 2020, by and among Oaktree Acquisition Corp. (the "Company"), Hims, Inc. ("Hims"), and the other parties thereto (the transactions contemplated thereby, the "Business Combination"), the Company domesticated as a Delaware corporation (the "Domestication") and changed its name to "Hims & Hers, Inc." ("New Hims"). In connection with the Domestication, 1,257,813 of Holdings' Class B ordinary shares, par value $0.0001, of the Company ("OAC Class B Ordinary Shares"), which were previously convertible into Class A ordinary shares, par value $0.0001, of the Company ("OAC Class A Ordinary Shares"), were forfeited and surrendered for no consideration and the remaining 3,773,437 OAC Class B Ordinary Shares held by Holdings converted to shares of Class A common stock, par value $0.0001, of New Hims ("New Hims Class A Common Stock") simultaneously with the closing of the Business Combination. F5: (Continued from Footnote 4) After giving effect to this transaction, Holdings will own less than 10% of the outstanding common stock of New Hims. F1: This Form 4 is being filed by Oaktree Acquisition Holdings, L.P. ("Holdings"). The general partner of Holdings is Oaktree Acquisition Holdings GP Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Capital Management GP, LLC ("Management GP"). The sole member of Management GP is Atlas OCM Holdings, LLC ("Atlas"). Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the indirect owner of the class B units of Atlas and has the ability to appoint and remove certain directors of Atlas and, as such, may indirectly control the decisions of Atlas regarding the vote and disposition of securities held by Holdings; therefore, OCGH GP may be deemed to have indirect beneficial ownership of the New Hims Class A Common Stock (as defined below) held by Holdings. F2: (Continued from Footnote 1) Brookfield Asset Management, Inc. ("BAM"), in its capacity as the indirect owner of the class A units of each of OCG GP and Atlas, has the ability to appoint and remove certain directors of Atlas and, as such, may indirectly control the decisions of Atlas regarding the vote and disposition of securities held by Holdings; therefore BAM may be deemed to have indirect beneficial ownership of the Hims Class A Common Stock (as defined below) held by Holdings. Partners Limited ("Partners"), in its capacity as the sole owner of Class B Limited Voting Shares of BAM, has the ability to appoint and remove certain directors of BAM and, as such, may indirectly control the decisions of BAM regarding the vote and disposition of securities held by Holdings; therefore Partners may be deemed to have indirect beneficial ownership of the Hims Class A Common Stock held by Holdings. F3: (Continued from Footnote 2) Each reporting person under this Form 4 disclaims beneficial ownership of the securities reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any securities covered by this Form 4. |
| Class B Ordinary SharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-01-20 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-01-20 · Other · Disposed 5,031,250 · Balance 0 F4: In connection with the Agreement and Plan of Merger, dated September 30, 2020, by and among Oaktree Acquisition Corp. (the "Company"), Hims, Inc. ("Hims"), and the other parties thereto (the transactions contemplated thereby, the "Business Combination"), the Company domesticated as a Delaware corporation (the "Domestication") and changed its name to "Hims & Hers, Inc." ("New Hims"). In connection with the Domestication, 1,257,813 of Holdings' Class B ordinary shares, par value $0.0001, of the Company ("OAC Class B Ordinary Shares"), which were previously convertible into Class A ordinary shares, par value $0.0001, of the Company ("OAC Class A Ordinary Shares"), were forfeited and surrendered for no consideration and the remaining 3,773,437 OAC Class B Ordinary Shares held by Holdings converted to shares of Class A common stock, par value $0.0001, of New Hims ("New Hims Class A Common Stock") simultaneously with the closing of the Business Combination. F5: (Continued from Footnote 4) After giving effect to this transaction, Holdings will own less than 10% of the outstanding common stock of New Hims. F1: This Form 4 is being filed by Oaktree Acquisition Holdings, L.P. ("Holdings"). The general partner of Holdings is Oaktree Acquisition Holdings GP Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Capital Management GP, LLC ("Management GP"). The sole member of Management GP is Atlas OCM Holdings, LLC ("Atlas"). Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the indirect owner of the class B units of Atlas and has the ability to appoint and remove certain directors of Atlas and, as such, may indirectly control the decisions of Atlas regarding the vote and disposition of securities held by Holdings; therefore, OCGH GP may be deemed to have indirect beneficial ownership of the New Hims Class A Common Stock (as defined below) held by Holdings. F2: (Continued from Footnote 1) Brookfield Asset Management, Inc. ("BAM"), in its capacity as the indirect owner of the class A units of each of OCG GP and Atlas, has the ability to appoint and remove certain directors of Atlas and, as such, may indirectly control the decisions of Atlas regarding the vote and disposition of securities held by Holdings; therefore BAM may be deemed to have indirect beneficial ownership of the Hims Class A Common Stock (as defined below) held by Holdings. Partners Limited ("Partners"), in its capacity as the sole owner of Class B Limited Voting Shares of BAM, has the ability to appoint and remove certain directors of BAM and, as such, may indirectly control the decisions of BAM regarding the vote and disposition of securities held by Holdings; therefore Partners may be deemed to have indirect beneficial ownership of the Hims Class A Common Stock held by Holdings. F3: (Continued from Footnote 2) Each reporting person under this Form 4 disclaims beneficial ownership of the securities reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any securities covered by this Form 4. |
| WarrantsSEC Table II · derivative / convertible security | Direct | 3,012,500 |
Reported balance
After 2021-01-20 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-01-20 · Other · Acquired 3,012,500 · Balance 3,012,500 F6: In connection with the Domestication, 1,004,167 of the private placement warrants of the Company ("OAC Private Placement Warrants) held by Holdings, which previously entitled Holdings to purchase one OAC Class A Ordinary Share at a price of $11.50 per whole share at any time commencing on the later of one year from the closing of the Company's initial public offering or thirty (30) days after the completion of an initial business combination of the Company, were forfeited and surrendered for no consideration and the remaining 3,012,500 OAC Private Placement Warrants converted into warrants of New Hims (each a "New Hims Warrant") simultaneously with the closing of the Business Combination, with each whole New Hims Warrant entitling the holder thereof to the right to purchase one share of New Hims Class A Common Stock. F1: This Form 4 is being filed by Oaktree Acquisition Holdings, L.P. ("Holdings"). The general partner of Holdings is Oaktree Acquisition Holdings GP Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Capital Management GP, LLC ("Management GP"). The sole member of Management GP is Atlas OCM Holdings, LLC ("Atlas"). Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the indirect owner of the class B units of Atlas and has the ability to appoint and remove certain directors of Atlas and, as such, may indirectly control the decisions of Atlas regarding the vote and disposition of securities held by Holdings; therefore, OCGH GP may be deemed to have indirect beneficial ownership of the New Hims Class A Common Stock (as defined below) held by Holdings. F2: (Continued from Footnote 1) Brookfield Asset Management, Inc. ("BAM"), in its capacity as the indirect owner of the class A units of each of OCG GP and Atlas, has the ability to appoint and remove certain directors of Atlas and, as such, may indirectly control the decisions of Atlas regarding the vote and disposition of securities held by Holdings; therefore BAM may be deemed to have indirect beneficial ownership of the Hims Class A Common Stock (as defined below) held by Holdings. Partners Limited ("Partners"), in its capacity as the sole owner of Class B Limited Voting Shares of BAM, has the ability to appoint and remove certain directors of BAM and, as such, may indirectly control the decisions of BAM regarding the vote and disposition of securities held by Holdings; therefore Partners may be deemed to have indirect beneficial ownership of the Hims Class A Common Stock held by Holdings. F3: (Continued from Footnote 2) Each reporting person under this Form 4 disclaims beneficial ownership of the securities reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any securities covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed by Oaktree Acquisition Holdings, L.P. ("Holdings"). The general partner of Holdings is Oaktree Acquisition Holdings GP Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Capital Management GP, LLC ("Management GP"). The sole member of Management GP is Atlas OCM Holdings, LLC ("Atlas"). Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the indirect owner of the class B units of Atlas and has the ability to appoint and remove certain directors of Atlas and, as such, may indirectly control the decisions of Atlas regarding the vote and disposition of securities held by Holdings; therefore, OCGH GP may be deemed to have indirect beneficial ownership of the New Hims Class A Common Stock (as defined below) held by Holdings.
F2: (Continued from Footnote 1) Brookfield Asset Management, Inc. ("BAM"), in its capacity as the indirect owner of the class A units of each of OCG GP and Atlas, has the ability to appoint and remove certain directors of Atlas and, as such, may indirectly control the decisions of Atlas regarding the vote and disposition of securities held by Holdings; therefore BAM may be deemed to have indirect beneficial ownership of the Hims Class A Common Stock (as defined below) held by Holdings. Partners Limited ("Partners"), in its capacity as the sole owner of Class B Limited Voting Shares of BAM, has the ability to appoint and remove certain directors of BAM and, as such, may indirectly control the decisions of BAM regarding the vote and disposition of securities held by Holdings; therefore Partners may be deemed to have indirect beneficial ownership of the Hims Class A Common Stock held by Holdings.
F3: (Continued from Footnote 2) Each reporting person under this Form 4 disclaims beneficial ownership of the securities reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any securities covered by this Form 4.
F4: In connection with the Agreement and Plan of Merger, dated September 30, 2020, by and among Oaktree Acquisition Corp. (the "Company"), Hims, Inc. ("Hims"), and the other parties thereto (the transactions contemplated thereby, the "Business Combination"), the Company domesticated as a Delaware corporation (the "Domestication") and changed its name to "Hims & Hers, Inc." ("New Hims"). In connection with the Domestication, 1,257,813 of Holdings' Class B ordinary shares, par value $0.0001, of the Company ("OAC Class B Ordinary Shares"), which were previously convertible into Class A ordinary shares, par value $0.0001, of the Company ("OAC Class A Ordinary Shares"), were forfeited and surrendered for no consideration and the remaining 3,773,437 OAC Class B Ordinary Shares held by Holdings converted to shares of Class A common stock, par value $0.0001, of New Hims ("New Hims Class A Common Stock") simultaneously with the closing of the Business Combination.
F5: (Continued from Footnote 4) After giving effect to this transaction, Holdings will own less than 10% of the outstanding common stock of New Hims.
F6: In connection with the Domestication, 1,004,167 of the private placement warrants of the Company ("OAC Private Placement Warrants) held by Holdings, which previously entitled Holdings to purchase one OAC Class A Ordinary Share at a price of $11.50 per whole share at any time commencing on the later of one year from the closing of the Company's initial public offering or thirty (30) days after the completion of an initial business combination of the Company, were forfeited and surrendered for no consideration and the remaining 3,012,500 OAC Private Placement Warrants converted into warrants of New Hims (each a "New Hims Warrant") simultaneously with the closing of the Business Combination, with each whole New Hims Warrant entitling the holder thereof to the right to purchase one share of New Hims Class A Common Stock.
NGL Energy Partners LP
Report date May 10, 2019 · Filed May 14, 2019
Jointly reported with OAKTREE FUND GP II, L.P., Oaktree Capital II, L.P., Oaktree Holdings, Inc., Brookfield Oaktree Holdings, LLC
Section 16 reporting ended · disclosed 2019-05-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 10.75% Class A Convertible Preferred UnitsSEC Table II · derivative / convertible security | IndirectSee footnotes | 0 |
Reported balance
After 2019-05-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-05-10 · Disposition to issuer · Disposed 12,473,191 · Balance 0 F1: The 10.75% Class A Convertible Preferred Units (the "Preferred Units") are convertible at the quotient (the "Conversion Rate"), per unit and subject to certain adjustments, of (i) $12.035 (the "Class A Preferred Unit Price") and (ii) the Class A Preferred Unit Price; provided, however, that if the volume-weighted average trading price (the "VWAP Price") for the fifteen (15) consecutive trading days ending on the trading day immediately preceding the Initial Conversion Date is less than the Class A Preferred Unit Price (such price, the "Adjusted VWAP Price"), then at all times on and after the Initial Conversion Date, the figure used in clause (ii) shall be the greater of (A) the Adjusted VWAP Price and (B) $5.00 (subject to adjustment for any splits, combinations or recapitalizations). F2: On May 10, 2019, the Issuer redeemed all outstanding Preferred Units for consideration of $13.2385 per unit. F3: The Form 4 filed by the Reporting Persons on April 9, 2019 incorrectly stated the number of securities beneficially owned following the reported redemption of Preferred Units. F4: Highstar Capital NGL Co-Invest Manager LLC ("Highstar Co-Invest") is the managing member of NGL CIV A, LLC ("NGL CIV") and as a result may be deemed to share beneficial ownership of the securities held of record by NGL CIV. Highstar Capital GP IV, L.P. ("Highstar GP IV") is one of two members of Highstar NGL Prism/IV-A Interco LLC ("Highstar Prism") and is the non-member manager of the other member. In addition, Highstar GP IV is the non-member manager of Highstar NGL Main Interco LLC ("Highstar Main") and is the managing member of NGL Prism/IV-A Blocker LLC ("NGL Blocker") and Highstar Co-Invest. As a result, Highstar GP IV may deemed to share beneficial ownership of the securities held of record by Highstar Prism, Highstar Main, NGL CIV and NGL Blocker. F5: Oaktree Capital Group Holdings GP, LLC is the duly elected manager of Oaktree Capital Group, LLC, which is the sole shareholder of Oaktree Holdings, Inc., which is the general partner of Oaktree Capital II, L.P., which is the general partner of Oaktree Fund GP II, L.P., which is the sole shareholder of Highstar Capital GP IV Holdings, which is the sole member of Highstar Capital GP IV, LLC, which is the general partner of Highstar GP IV. Oaktree Capital Group Holdings GP, LLC is managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone who, by virtue of their membership interests in Oaktree Capital Group Holdings GP, LLC, may be deemed to share voting and dispositive power with respect to the Preferred Units and Warrants held by Highstar Prism, Highstar Main, NGL CIV A, LLC and NGL Prism/IV-A Blocker LLC. Each such entity or person disclaims any such beneficial ownership of such securities. |
Filing footnotes · ownership attribution and instrument terms
F1: The 10.75% Class A Convertible Preferred Units (the "Preferred Units") are convertible at the quotient (the "Conversion Rate"), per unit and subject to certain adjustments, of (i) $12.035 (the "Class A Preferred Unit Price") and (ii) the Class A Preferred Unit Price; provided, however, that if the volume-weighted average trading price (the "VWAP Price") for the fifteen (15) consecutive trading days ending on the trading day immediately preceding the Initial Conversion Date is less than the Class A Preferred Unit Price (such price, the "Adjusted VWAP Price"), then at all times on and after the Initial Conversion Date, the figure used in clause (ii) shall be the greater of (A) the Adjusted VWAP Price and (B) $5.00 (subject to adjustment for any splits, combinations or recapitalizations).
F2: On May 10, 2019, the Issuer redeemed all outstanding Preferred Units for consideration of $13.2385 per unit.
F3: The Form 4 filed by the Reporting Persons on April 9, 2019 incorrectly stated the number of securities beneficially owned following the reported redemption of Preferred Units.
F4: Highstar Capital NGL Co-Invest Manager LLC ("Highstar Co-Invest") is the managing member of NGL CIV A, LLC ("NGL CIV") and as a result may be deemed to share beneficial ownership of the securities held of record by NGL CIV. Highstar Capital GP IV, L.P. ("Highstar GP IV") is one of two members of Highstar NGL Prism/IV-A Interco LLC ("Highstar Prism") and is the non-member manager of the other member. In addition, Highstar GP IV is the non-member manager of Highstar NGL Main Interco LLC ("Highstar Main") and is the managing member of NGL Prism/IV-A Blocker LLC ("NGL Blocker") and Highstar Co-Invest. As a result, Highstar GP IV may deemed to share beneficial ownership of the securities held of record by Highstar Prism, Highstar Main, NGL CIV and NGL Blocker.
F5: Oaktree Capital Group Holdings GP, LLC is the duly elected manager of Oaktree Capital Group, LLC, which is the sole shareholder of Oaktree Holdings, Inc., which is the general partner of Oaktree Capital II, L.P., which is the general partner of Oaktree Fund GP II, L.P., which is the sole shareholder of Highstar Capital GP IV Holdings, which is the sole member of Highstar Capital GP IV, LLC, which is the general partner of Highstar GP IV. Oaktree Capital Group Holdings GP, LLC is managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone who, by virtue of their membership interests in Oaktree Capital Group Holdings GP, LLC, may be deemed to share voting and dispositive power with respect to the Preferred Units and Warrants held by Highstar Prism, Highstar Main, NGL CIV A, LLC and NGL Prism/IV-A Blocker LLC. Each such entity or person disclaims any such beneficial ownership of such securities.
STR Sub Inc.
Report date December 29, 2022 · Filed January 03, 2023
Jointly reported with Brookfield Oaktree Holdings, LLC, BROOKFIELD Corp /ON/, BAM Partners Trust
Section 16 reporting ended · disclosed 2023-01-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2022-12-29 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-12-29 · Other · Disposed 10,431 · Balance 0 F3: On December 29, 2022, pursuant to the Agreement and Plan of Merger, dated September 6, 2022 (the "Merger Agreement"), each share of Class C Common Stock ("Issuer Class C Common Stock") of the Issuer, issued and outstanding was converted into one share of Class C Common Stock of Snapper Merger Sub I, Inc., which was renamed "Sitio Royalties Corp." ("New Sitio"), and the Opco Units were no longer redeemable for Issuer Class A Common Stock and are instead redeemable for Class A Common Stock of New Sitio. F6: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) FIE, (ii), OCMP LP, (iii) Oaktree Holdings, Ltd. ("Holdings Ltd."), in its capacity as the general partner of OCM LP, (iv) Source Energy Partners, LLC ("Source Energy"), (v) OCM Source Holdings, L.P. ("OCM Source"), in its capacity as the sole owner of Series A Units of Source Energy, (vi) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of OCM Source, (vii) Oaktree Fund GP I, L.P. ("Fund GP I"), in its capacity as the managing member of Fund GP, (viii) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of Fund GP I, (ix) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I, (cont'd in FN7) F7: (cont'd from FN 6) (x) Oaktree Holdings, LLC ("Holdings"), in its capacity as the managing member of Holdings I, (xi) Oaktree Capital Group, LLC ("OCG"), in its capacity as managing member of Holdings and sole director of Holdings Ltd., (xii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of OCG, (xiii) Brookfield Corporation (f/k/a Brookfield Asset Management Inc.) ("BAM"), in its capacity as the indirect owner of the class A units of OCG and (xiv) BAM Partners Trust ("BAM Partnership"), in its capacity as the sole owner of Class B Limited Voting Shares of BAM. |
| Class C Common StockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2022-12-29 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2022-12-29 · Other · Disposed 12,935,120 · Balance 0 F3: On December 29, 2022, pursuant to the Agreement and Plan of Merger, dated September 6, 2022 (the "Merger Agreement"), each share of Class C Common Stock ("Issuer Class C Common Stock") of the Issuer, issued and outstanding was converted into one share of Class C Common Stock of Snapper Merger Sub I, Inc., which was renamed "Sitio Royalties Corp." ("New Sitio"), and the Opco Units were no longer redeemable for Issuer Class A Common Stock and are instead redeemable for Class A Common Stock of New Sitio. F6: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) FIE, (ii), OCMP LP, (iii) Oaktree Holdings, Ltd. ("Holdings Ltd."), in its capacity as the general partner of OCM LP, (iv) Source Energy Partners, LLC ("Source Energy"), (v) OCM Source Holdings, L.P. ("OCM Source"), in its capacity as the sole owner of Series A Units of Source Energy, (vi) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of OCM Source, (vii) Oaktree Fund GP I, L.P. ("Fund GP I"), in its capacity as the managing member of Fund GP, (viii) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of Fund GP I, (ix) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I, (cont'd in FN7) F7: (cont'd from FN 6) (x) Oaktree Holdings, LLC ("Holdings"), in its capacity as the managing member of Holdings I, (xi) Oaktree Capital Group, LLC ("OCG"), in its capacity as managing member of Holdings and sole director of Holdings Ltd., (xii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of OCG, (xiii) Brookfield Corporation (f/k/a Brookfield Asset Management Inc.) ("BAM"), in its capacity as the indirect owner of the class A units of OCG and (xiv) BAM Partners Trust ("BAM Partnership"), in its capacity as the sole owner of Class B Limited Voting Shares of BAM. |
| Opco UnitsSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2022-12-29 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-12-29 · Other · Disposed 12,935,120 · Balance 0 F1: The terms of the Second Amended and Restated Agreement of Limited Partnership of Sitio Royalties Operating Partnership, LP (f/k/a Falcon Minerals Operating Partnership, LP) ("Opco") provide that, subject to certain restrictions contained therein, each holder of the common units ("Opco Units") in Opco (other than Sitio Royalties Corp. (f/k/a Falcon Minerals Corporation) (the "Issuer")) generally has the right to cause Opco to redeem all or a portion of its Opco Units (the "Redemption Right") in exchange for shares of Class A Common Stock of the Issuer on a one-for-one basis or, at Opco's election, an equivalent amount of cash. (cont'd in FN2) F2: (cont'd from FN 1) The Issuer may, at its option, effect a direct purchase of such Opco Units for shares of Class A Common Stock of the Issuer in lieu of such a redemption by Opco. Upon the future redemption or sale of Opco Units pursuant to the Redemption Right, a corresponding number of shares of Class C Common Stock and Opco Units will be cancelled. The Opco Units and the right to exercise the Redemption Right have no expiration date. F3: On December 29, 2022, pursuant to the Agreement and Plan of Merger, dated September 6, 2022 (the "Merger Agreement"), each share of Class C Common Stock ("Issuer Class C Common Stock") of the Issuer, issued and outstanding was converted into one share of Class C Common Stock of Snapper Merger Sub I, Inc., which was renamed "Sitio Royalties Corp." ("New Sitio"), and the Opco Units were no longer redeemable for Issuer Class A Common Stock and are instead redeemable for Class A Common Stock of New Sitio. F6: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) FIE, (ii), OCMP LP, (iii) Oaktree Holdings, Ltd. ("Holdings Ltd."), in its capacity as the general partner of OCM LP, (iv) Source Energy Partners, LLC ("Source Energy"), (v) OCM Source Holdings, L.P. ("OCM Source"), in its capacity as the sole owner of Series A Units of Source Energy, (vi) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of OCM Source, (vii) Oaktree Fund GP I, L.P. ("Fund GP I"), in its capacity as the managing member of Fund GP, (viii) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of Fund GP I, (ix) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I, (cont'd in FN7) F7: (cont'd from FN 6) (x) Oaktree Holdings, LLC ("Holdings"), in its capacity as the managing member of Holdings I, (xi) Oaktree Capital Group, LLC ("OCG"), in its capacity as managing member of Holdings and sole director of Holdings Ltd., (xii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of OCG, (xiii) Brookfield Corporation (f/k/a Brookfield Asset Management Inc.) ("BAM"), in its capacity as the indirect owner of the class A units of OCG and (xiv) BAM Partners Trust ("BAM Partnership"), in its capacity as the sole owner of Class B Limited Voting Shares of BAM. |
| Allocation RightsSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2022-12-29 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-12-29 · Other · Disposed 65,001 · Balance 0 F4: The Issuer previously granted restricted stock awards (the "Stock Awards"), consisting of shares of the Issuer's Class C Common Stock and Opco Units, to its executive officers in an amount equal to 0.5% of the number of shares received by the former holders of the limited liability company interests of DPM HoldCo, LLC (the "DPM Members") (the "Restricted Shares"). Each restricted stock award will vest in equal installments on the first four anniversaries of the applicable date of grant, so long as the executive officer remains continuously employed by the Issuer through each vesting date. To the extent that a restricted stock award is forfeited, the shares of Class C Common Stock and Opco Units subject to such forfeited award will be returned to the Issuer. (cont'd in FN5) F5: (cont'd from FN 4) In connection with the foregoing, the Issuer and the DPM Members entered into that certain Assignment and Allocation Agreement, dated as of June 7, 2022 (the "Allocation Agreement"), pursuant to which the Issuer agreed that it would re-issue to the DPM Members, on a one-for-one basis, shares of Class C Common Stock and Opco Units to the extent Restricted Shares are forfeited by the original holders thereof, with Source Energy Partners, LLC entitled to receive its pro rata portion of any such shares re-issued. The Issuer's obligations under the Stock Awards were assigned to New Sitio in connection with the transactions contemplated by the Merger Agreement. F6: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) FIE, (ii), OCMP LP, (iii) Oaktree Holdings, Ltd. ("Holdings Ltd."), in its capacity as the general partner of OCM LP, (iv) Source Energy Partners, LLC ("Source Energy"), (v) OCM Source Holdings, L.P. ("OCM Source"), in its capacity as the sole owner of Series A Units of Source Energy, (vi) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of OCM Source, (vii) Oaktree Fund GP I, L.P. ("Fund GP I"), in its capacity as the managing member of Fund GP, (viii) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of Fund GP I, (ix) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I, (cont'd in FN7) F7: (cont'd from FN 6) (x) Oaktree Holdings, LLC ("Holdings"), in its capacity as the managing member of Holdings I, (xi) Oaktree Capital Group, LLC ("OCG"), in its capacity as managing member of Holdings and sole director of Holdings Ltd., (xii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of OCG, (xiii) Brookfield Corporation (f/k/a Brookfield Asset Management Inc.) ("BAM"), in its capacity as the indirect owner of the class A units of OCG and (xiv) BAM Partners Trust ("BAM Partnership"), in its capacity as the sole owner of Class B Limited Voting Shares of BAM. |
Filing footnotes · ownership attribution and instrument terms
F1: The terms of the Second Amended and Restated Agreement of Limited Partnership of Sitio Royalties Operating Partnership, LP (f/k/a Falcon Minerals Operating Partnership, LP) ("Opco") provide that, subject to certain restrictions contained therein, each holder of the common units ("Opco Units") in Opco (other than Sitio Royalties Corp. (f/k/a Falcon Minerals Corporation) (the "Issuer")) generally has the right to cause Opco to redeem all or a portion of its Opco Units (the "Redemption Right") in exchange for shares of Class A Common Stock of the Issuer on a one-for-one basis or, at Opco's election, an equivalent amount of cash. (cont'd in FN2)
F2: (cont'd from FN 1) The Issuer may, at its option, effect a direct purchase of such Opco Units for shares of Class A Common Stock of the Issuer in lieu of such a redemption by Opco. Upon the future redemption or sale of Opco Units pursuant to the Redemption Right, a corresponding number of shares of Class C Common Stock and Opco Units will be cancelled. The Opco Units and the right to exercise the Redemption Right have no expiration date.
F3: On December 29, 2022, pursuant to the Agreement and Plan of Merger, dated September 6, 2022 (the "Merger Agreement"), each share of Class C Common Stock ("Issuer Class C Common Stock") of the Issuer, issued and outstanding was converted into one share of Class C Common Stock of Snapper Merger Sub I, Inc., which was renamed "Sitio Royalties Corp." ("New Sitio"), and the Opco Units were no longer redeemable for Issuer Class A Common Stock and are instead redeemable for Class A Common Stock of New Sitio.
F4: The Issuer previously granted restricted stock awards (the "Stock Awards"), consisting of shares of the Issuer's Class C Common Stock and Opco Units, to its executive officers in an amount equal to 0.5% of the number of shares received by the former holders of the limited liability company interests of DPM HoldCo, LLC (the "DPM Members") (the "Restricted Shares"). Each restricted stock award will vest in equal installments on the first four anniversaries of the applicable date of grant, so long as the executive officer remains continuously employed by the Issuer through each vesting date. To the extent that a restricted stock award is forfeited, the shares of Class C Common Stock and Opco Units subject to such forfeited award will be returned to the Issuer. (cont'd in FN5)
F5: (cont'd from FN 4) In connection with the foregoing, the Issuer and the DPM Members entered into that certain Assignment and Allocation Agreement, dated as of June 7, 2022 (the "Allocation Agreement"), pursuant to which the Issuer agreed that it would re-issue to the DPM Members, on a one-for-one basis, shares of Class C Common Stock and Opco Units to the extent Restricted Shares are forfeited by the original holders thereof, with Source Energy Partners, LLC entitled to receive its pro rata portion of any such shares re-issued. The Issuer's obligations under the Stock Awards were assigned to New Sitio in connection with the transactions contemplated by the Merger Agreement.
F6: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) FIE, (ii), OCMP LP, (iii) Oaktree Holdings, Ltd. ("Holdings Ltd."), in its capacity as the general partner of OCM LP, (iv) Source Energy Partners, LLC ("Source Energy"), (v) OCM Source Holdings, L.P. ("OCM Source"), in its capacity as the sole owner of Series A Units of Source Energy, (vi) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of OCM Source, (vii) Oaktree Fund GP I, L.P. ("Fund GP I"), in its capacity as the managing member of Fund GP, (viii) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of Fund GP I, (ix) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I, (cont'd in FN7)
F7: (cont'd from FN 6) (x) Oaktree Holdings, LLC ("Holdings"), in its capacity as the managing member of Holdings I, (xi) Oaktree Capital Group, LLC ("OCG"), in its capacity as managing member of Holdings and sole director of Holdings Ltd., (xii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of OCG, (xiii) Brookfield Corporation (f/k/a Brookfield Asset Management Inc.) ("BAM"), in its capacity as the indirect owner of the class A units of OCG and (xiv) BAM Partners Trust ("BAM Partnership"), in its capacity as the sole owner of Class B Limited Voting Shares of BAM.
SunOpta Inc.
Report date May 01, 2026 · Filed May 05, 2026
Jointly reported with Oaktree Capital Holdings, LLC, Oaktree Huntington Investment Fund II, L.P., Oaktree Organics, L.P.
Section 16 reporting ended · disclosed 2026-05-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectSee | 0 |
Reported balance
After 2026-05-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-05-01 · Sale · Disposed 20,651,812 · Balance 0 F1: The reported securities were disposed of in connection with the consummation of the plan of arrangement (the "Plan of Arrangement") of SunOpta Inc. (the "Issuer") and 2786694 Alberta Ltd. (the "Purchaser"). F2: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F3: Represents 17,241,579 Common Shares held directly by Oaktree Organics, L.P. ("Oaktree Organics") and 3,410,233 Common Shares held directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). |
| Series B-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50 | IndirectSee | 0 |
Reported balance
After 2026-05-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-05-01 · Sale · Disposed 30,000 · Balance 0 F4: Pursuant to the Plan of Arrangement, each issued and outstanding share of the Series B-1 Preferred Stock in the capital of SunOpta Foods, Inc. ("Series B-1 Preferred Stock"), a wholly-owned subsidiary of the Issuer was transferred to the Issuer in exchange for an aggregate of 12,178,666.40 Exchange Shares, calculated by multiplying the number of shares of Series B-1 Preferred Stock by 405.9555467 (being the exchange rate of the Series B-1 Preferred Stock contemplated by their terms), and the resulting Exchange Shares were transferred to Purchaser in exchange for a cash payment of $6.50 per share. F2: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F5: The reported securities were directly held as follows: (i) 12,538.52 shares of Series B-1 Preferred Stock held by Oaktree Organics; (ii) 2,461.48 shares of Series B-1 Preferred Stock held by OHIF; and (iii) 15,000 shares of Series B-1 Preferred Stock held by OCG. |
| Special Shares, Series 2SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee | 0 |
Reported balance
After 2026-05-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-05-01 · Sale · Disposed 2,932,453 · Balance 0 F6: Represents Special Shares, Series 2, directly held by Oaktree Organics, OHIF, and OCG, which pursuant to the Plan of Arrangement, were disposed of for no consideration. F2: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. |
| Cash-Settled Total Return SwapSEC Table II · derivative / convertible security · Conversion / exercise price $12.08 | IndirectSee | 0 |
Reported balance
After 2026-05-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-05-01 · Sale · Disposed 1 · Balance 0 F7: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F2: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F8: OCG is indirectly the general partner or manager of each of the Trading Funds. |
| Cash-Settled Total Return SwapSEC Table II · derivative / convertible security · Conversion / exercise price $12.08 | IndirectSee | 0 |
Reported balance
After 2026-05-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-05-01 · Sale · Disposed 1 · Balance 0 F7: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F2: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F8: OCG is indirectly the general partner or manager of each of the Trading Funds. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities were disposed of in connection with the consummation of the plan of arrangement (the "Plan of Arrangement") of SunOpta Inc. (the "Issuer") and 2786694 Alberta Ltd. (the "Purchaser").
F2: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein.
F3: Represents 17,241,579 Common Shares held directly by Oaktree Organics, L.P. ("Oaktree Organics") and 3,410,233 Common Shares held directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF").
F4: Pursuant to the Plan of Arrangement, each issued and outstanding share of the Series B-1 Preferred Stock in the capital of SunOpta Foods, Inc. ("Series B-1 Preferred Stock"), a wholly-owned subsidiary of the Issuer was transferred to the Issuer in exchange for an aggregate of 12,178,666.40 Exchange Shares, calculated by multiplying the number of shares of Series B-1 Preferred Stock by 405.9555467 (being the exchange rate of the Series B-1 Preferred Stock contemplated by their terms), and the resulting Exchange Shares were transferred to Purchaser in exchange for a cash payment of $6.50 per share.
F5: The reported securities were directly held as follows: (i) 12,538.52 shares of Series B-1 Preferred Stock held by Oaktree Organics; (ii) 2,461.48 shares of Series B-1 Preferred Stock held by OHIF; and (iii) 15,000 shares of Series B-1 Preferred Stock held by OCG.
F6: Represents Special Shares, Series 2, directly held by Oaktree Organics, OHIF, and OCG, which pursuant to the Plan of Arrangement, were disposed of for no consideration.
F7: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms.
F8: OCG is indirectly the general partner or manager of each of the Trading Funds.
TPI COMPOSITES, INC
Report date September 08, 2022 · Filed September 12, 2022
Jointly reported with Opps TPIC Holdings, LLC, Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P., Oaktree Fund GP, LLC, OAKTREE FUND GP I, L.P., Oaktree Capital I, L.P., Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, Brookfield Oaktree Holdings, LLC, BROOKFIELD Corp /ON/
Section 16 reporting ended · disclosed 2022-09-12. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 425,699 |
Reported balance
After 2022-09-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-09-08 · Sale · Disposed 2,407,775 · Balance 425,699 F1: Consists of shares of Common Stock beneficially owned by Opps TPIC Holdings, LLC ("Opps"). F4: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collective, the "Reporting Persons") (i) Opps, (ii) Power V, (iii) Oaktree Fund GP, LLC ("Fund GP"), as general partner of TPIC and Power V, (iv) Oaktree Fund GP I, L.P. ("GP I"), as managing member of Fund GP, (v) Oaktree Capital I, L.P. ("Capital I"), as general partner of GP I, (vi) OCM Holdings I, LLC ("Holdings I"), as general partner of Capital I, (vii) Oaktree Holdings LLC ("Holdings"), as managing member of Holdings I, (viii) Oaktree Capital Group, LLC ("OCG"), as managing member of Holdings, (ix) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of OCG, (x) Brookfield Asset Management Inc. ("BAM"), as indirect owner of the class A units of OCG, (xi) BAM Partners Trust (the "BAM Partnership"), as sole owner of the Class B Limited Voting Shares of BAM and (xii) Phoenix. F5: Each of the Reporting Persons expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of their respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 262,777 |
Reported balance
After 2022-09-08 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2022-09-08 · Sale · Disposed 1,486,281 · Balance 262,777 F2: Consists of shares of Common Stock beneficially owned by Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. ("Power V"). F4: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collective, the "Reporting Persons") (i) Opps, (ii) Power V, (iii) Oaktree Fund GP, LLC ("Fund GP"), as general partner of TPIC and Power V, (iv) Oaktree Fund GP I, L.P. ("GP I"), as managing member of Fund GP, (v) Oaktree Capital I, L.P. ("Capital I"), as general partner of GP I, (vi) OCM Holdings I, LLC ("Holdings I"), as general partner of Capital I, (vii) Oaktree Holdings LLC ("Holdings"), as managing member of Holdings I, (viii) Oaktree Capital Group, LLC ("OCG"), as managing member of Holdings, (ix) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of OCG, (x) Brookfield Asset Management Inc. ("BAM"), as indirect owner of the class A units of OCG, (xi) BAM Partners Trust (the "BAM Partnership"), as sole owner of the Class B Limited Voting Shares of BAM and (xii) Phoenix. F5: Each of the Reporting Persons expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of their respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 12,263 |
Reported balance
After 2022-09-08 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2022-09-08 · Sale · Disposed 69,360 · Balance 12,263 F3: Consists of shares of Common Stock beneficially owned by Oaktree Phoenix Investment Fund, L.P. ("Phoenix"). F4: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collective, the "Reporting Persons") (i) Opps, (ii) Power V, (iii) Oaktree Fund GP, LLC ("Fund GP"), as general partner of TPIC and Power V, (iv) Oaktree Fund GP I, L.P. ("GP I"), as managing member of Fund GP, (v) Oaktree Capital I, L.P. ("Capital I"), as general partner of GP I, (vi) OCM Holdings I, LLC ("Holdings I"), as general partner of Capital I, (vii) Oaktree Holdings LLC ("Holdings"), as managing member of Holdings I, (viii) Oaktree Capital Group, LLC ("OCG"), as managing member of Holdings, (ix) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of OCG, (x) Brookfield Asset Management Inc. ("BAM"), as indirect owner of the class A units of OCG, (xi) BAM Partners Trust (the "BAM Partnership"), as sole owner of the Class B Limited Voting Shares of BAM and (xii) Phoenix. F5: Each of the Reporting Persons expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of their respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of shares of Common Stock beneficially owned by Opps TPIC Holdings, LLC ("Opps").
F2: Consists of shares of Common Stock beneficially owned by Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. ("Power V").
F3: Consists of shares of Common Stock beneficially owned by Oaktree Phoenix Investment Fund, L.P. ("Phoenix").
F4: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collective, the "Reporting Persons") (i) Opps, (ii) Power V, (iii) Oaktree Fund GP, LLC ("Fund GP"), as general partner of TPIC and Power V, (iv) Oaktree Fund GP I, L.P. ("GP I"), as managing member of Fund GP, (v) Oaktree Capital I, L.P. ("Capital I"), as general partner of GP I, (vi) OCM Holdings I, LLC ("Holdings I"), as general partner of Capital I, (vii) Oaktree Holdings LLC ("Holdings"), as managing member of Holdings I, (viii) Oaktree Capital Group, LLC ("OCG"), as managing member of Holdings, (ix) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of OCG, (x) Brookfield Asset Management Inc. ("BAM"), as indirect owner of the class A units of OCG, (xi) BAM Partners Trust (the "BAM Partnership"), as sole owner of the Class B Limited Voting Shares of BAM and (xii) Phoenix.
F5: Each of the Reporting Persons expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of their respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.
TRIBUNE MEDIA CO
Report date December 04, 2017 · Filed December 05, 2017
Jointly reported with Oaktree Tribune, L.P., Oaktree AIF Investments, L.P., Oaktree AIF Investment GP, LLC, Oaktree Capital Group Holdings, L.P.
Section 16 reporting ended · disclosed 2017-12-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 7,189,156 |
Reported balance
After 2017-12-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-12-04 · Sale · Disposed 7,000,000 · Balance 7,189,156 F1: On December 4, 2017, Oaktree Tribune, L.P. sold 7,000,000 shares of common stock, par value $0.001 per share (the "Common Stock") of Tribune Media Company. (the "Company") in an underwritten offering for $40.36 per share. F2: Includes 7,145,447 shares of Common Stock directly held by Oaktree Tribune, L.P., and 36,514 shares of Common Stock and 7,195 restricted share units, which vest by their terms on January 1, 2018, each directly held by OCM FIE, LLC ("FIE"), an affiliate of the Reporting Persons (as defined below). F3: This Form 4 is being filed with respect to certain shares of Common Stock directly held by Oaktree Tribune, L.P. and FIE. The general partner of Oaktree Tribune, L.P. is Oaktree AIF Investments, L.P. ("AIF Investments"). The general partner of AIF Investments is Oaktree AIF Holdings, Inc. ("AIF Holdings"). The holder of all of the voting shares of AIF Holdings is Oaktree Capital Group Holdings, L.P. ("OCGH"). The general partner of OCGH is Oaktree Capital Group Holdings GP, LLC ("OCGH GP") (together with Oaktree Tribune, L.P., AIF Investments, AIF Holdings and OCGH, collectively, the "Reporting Persons," and each individually, a "Reporting Person"). (cont'd in FN 4) F4: (cont'd from FN 3) OCGH GP may be deemed to indirectly control FIE and decisions with respect to the voting and disposition of Common Stock held by FIE. The media company business of OCGH GP is managed by a media company committee of OCGH GP, which controls the decisions of OCGH GP with respect to the vote and disposition of the Common Stock held by Oaktree Tribune, L.P. The members of such committee are Howard S. Marks, Bruce A. Karsh, John B. Frank, David M. Kirchheimer and Stephen A. Kaplan. F5: Each of the Reporting Persons and any other directors, shareholders, general partners, managing members, managers and members described above disclaims beneficial ownership of any shares of Common Stock owned beneficially or of record by Oaktree Tribune, L.P. or FIE, except to the extent of their respective pecuniary interest therein, and the inclusion of these securities in this Form 4 shall not be deemed an admission that any such person has beneficial ownership of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: On December 4, 2017, Oaktree Tribune, L.P. sold 7,000,000 shares of common stock, par value $0.001 per share (the "Common Stock") of Tribune Media Company. (the "Company") in an underwritten offering for $40.36 per share.
F2: Includes 7,145,447 shares of Common Stock directly held by Oaktree Tribune, L.P., and 36,514 shares of Common Stock and 7,195 restricted share units, which vest by their terms on January 1, 2018, each directly held by OCM FIE, LLC ("FIE"), an affiliate of the Reporting Persons (as defined below).
F3: This Form 4 is being filed with respect to certain shares of Common Stock directly held by Oaktree Tribune, L.P. and FIE. The general partner of Oaktree Tribune, L.P. is Oaktree AIF Investments, L.P. ("AIF Investments"). The general partner of AIF Investments is Oaktree AIF Holdings, Inc. ("AIF Holdings"). The holder of all of the voting shares of AIF Holdings is Oaktree Capital Group Holdings, L.P. ("OCGH"). The general partner of OCGH is Oaktree Capital Group Holdings GP, LLC ("OCGH GP") (together with Oaktree Tribune, L.P., AIF Investments, AIF Holdings and OCGH, collectively, the "Reporting Persons," and each individually, a "Reporting Person"). (cont'd in FN 4)
F4: (cont'd from FN 3) OCGH GP may be deemed to indirectly control FIE and decisions with respect to the voting and disposition of Common Stock held by FIE. The media company business of OCGH GP is managed by a media company committee of OCGH GP, which controls the decisions of OCGH GP with respect to the vote and disposition of the Common Stock held by Oaktree Tribune, L.P. The members of such committee are Howard S. Marks, Bruce A. Karsh, John B. Frank, David M. Kirchheimer and Stephen A. Kaplan.
F5: Each of the Reporting Persons and any other directors, shareholders, general partners, managing members, managers and members described above disclaims beneficial ownership of any shares of Common Stock owned beneficially or of record by Oaktree Tribune, L.P. or FIE, except to the extent of their respective pecuniary interest therein, and the inclusion of these securities in this Form 4 shall not be deemed an admission that any such person has beneficial ownership of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Tribune Publishing Co
Report date March 23, 2017 · Filed March 23, 2017
Jointly reported with Oaktree Tribune, L.P., Oaktree AIF Investments, L.P., Oaktree AIF Investment GP, LLC, Oaktree Capital Group Holdings, L.P.
Section 16 reporting ended · disclosed 2017-03-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Oaktree Tribune, L.P. | 0 |
Reported balance
After 2017-03-23 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-03-23 · Sale · Disposed 3,741,371 · Balance 0 F1: OCM FIE, LLC ("FIE"), an affiliate of the Reporting Persons (as defined below), also sold its 4,576 shares of Common Stock in the Issuer. Oaktree Capital Group Holdings GP, LLC ("OCGH GP") may be deemed to indirectly control FIE and decisions with respect to the voting and disposition of Common Stock held by FIE. F2: These shares of Common Stock were directly held by Oaktree Tribune, L.P. The general partner of Oaktree Tribune, L.P. is Oaktree AIF Investments, L.P. ("AIF Investments"). The general partner of AIF Investments is Oaktree AIF Holdings, Inc. ("AIF Holdings"). The holder of all of the voting shares of AIF Holdings is Oaktree Capital Group Holdings, L.P. ("OCGH"). The general partner of OCGH is OCGH GP (collectively with Oaktree Tribune, L.P., AIF Investments, AIF Holdings and OCGH, the "Reporting Persons," and each individually, a "Reporting Person"). The media company business of OCGH GP is managed by a media company committee of OCGH GP, which controls the decisions of OCGH GP with respect to the vote and disposition of the Common Stock held by Oaktree Tribune, L.P. The members of such committee are Howard S. Marks, Bruce A. Karsh, John B. Frank, David M. Kirchheimer and Stephen A. Kaplan. F3: Each of the Reporting Persons and any other directors, shareholders, general partners, managing members and managers described above disclaims beneficial ownership of any shares of Common Stock owned beneficially or of record by Oaktree Tribune, L.P. or FIE, except to the extent of their respective pecuniary interest therein, and the inclusion of these securities in this Form 4 shall not be deemed an admission that any such person has beneficial ownership of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: OCM FIE, LLC ("FIE"), an affiliate of the Reporting Persons (as defined below), also sold its 4,576 shares of Common Stock in the Issuer. Oaktree Capital Group Holdings GP, LLC ("OCGH GP") may be deemed to indirectly control FIE and decisions with respect to the voting and disposition of Common Stock held by FIE.
F2: These shares of Common Stock were directly held by Oaktree Tribune, L.P. The general partner of Oaktree Tribune, L.P. is Oaktree AIF Investments, L.P. ("AIF Investments"). The general partner of AIF Investments is Oaktree AIF Holdings, Inc. ("AIF Holdings"). The holder of all of the voting shares of AIF Holdings is Oaktree Capital Group Holdings, L.P. ("OCGH"). The general partner of OCGH is OCGH GP (collectively with Oaktree Tribune, L.P., AIF Investments, AIF Holdings and OCGH, the "Reporting Persons," and each individually, a "Reporting Person"). The media company business of OCGH GP is managed by a media company committee of OCGH GP, which controls the decisions of OCGH GP with respect to the vote and disposition of the Common Stock held by Oaktree Tribune, L.P. The members of such committee are Howard S. Marks, Bruce A. Karsh, John B. Frank, David M. Kirchheimer and Stephen A. Kaplan.
F3: Each of the Reporting Persons and any other directors, shareholders, general partners, managing members and managers described above disclaims beneficial ownership of any shares of Common Stock owned beneficially or of record by Oaktree Tribune, L.P. or FIE, except to the extent of their respective pecuniary interest therein, and the inclusion of these securities in this Form 4 shall not be deemed an admission that any such person has beneficial ownership of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Vistra Corp.
Report date November 19, 2021 · Filed November 23, 2021
Jointly reported with OAKTREE CAPITAL MANAGEMENT LP, Oaktree Holdings, Inc., Brookfield Oaktree Holdings, LLC
Section 16 reporting ended · disclosed 2021-11-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee footnotes | 28,899,812 |
Reported balance
After 2021-11-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-11-19 · Sale · Disposed 1,041,573 · Balance 28,899,812 F1: The Reporting Persons inadvertently omitted to report 4,783 shares received on October 30, 2020 in connection with a distribution from the First Lien Dispute Escrow Account in the Energy Future Holdings Chapter 11 Cases. F2: This Form 4 is being filed by Oaktree Capital Management, L.P. ("Management"), on behalf of certain of its managed funds and accounts (the "Funds"), with respect to shares of the Issuer's common stock, par value $0.01 per share ("Common Stock") that may be deemed to be beneficially owned by the Reporting Persons (as defined below). This Form 4 is also being filed by each of (i) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (ii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG. F3: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F4: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons inadvertently omitted to report 4,783 shares received on October 30, 2020 in connection with a distribution from the First Lien Dispute Escrow Account in the Energy Future Holdings Chapter 11 Cases.
F2: This Form 4 is being filed by Oaktree Capital Management, L.P. ("Management"), on behalf of certain of its managed funds and accounts (the "Funds"), with respect to shares of the Issuer's common stock, par value $0.01 per share ("Common Stock") that may be deemed to be beneficially owned by the Reporting Persons (as defined below). This Form 4 is also being filed by each of (i) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (ii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG.
F3: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.
F4: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4.
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 |
|---|---|---|---|---|---|---|
| May 01, 2026 Filed May 5, 2026 21:45 UTC | SunOpta Inc. STKL · Entity 49798 | SaleCash-Settled Total Return Swap · Derivative | 1 | Not disclosed Strike: $12.08 | Not disclosed |
DisclosureSEC source: 0001193125-26-206884 · ownership.xml · derivative · entry 5 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Organics, L.P. · CIK 0001687182 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Disclosed balance after: 0 Underlying: Common Shares · 4,404,034 shares Expires not disclosed F7 · kind: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F7 · price: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F7 · derivative.exercise_date: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F7 · derivative.expiration_date: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F2 · ownership.nature: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F8 · ownership.nature: OCG is indirectly the general partner or manager of each of the Trading Funds. Read SEC document |
| May 01, 2026 Filed May 5, 2026 21:45 UTC | SunOpta Inc. STKL · Entity 49798 | SaleCash-Settled Total Return Swap · Derivative | 1 | Not disclosed Strike: $12.08 | Not disclosed |
DisclosureSEC source: 0001193125-26-206884 · ownership.xml · derivative · entry 4 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Organics, L.P. · CIK 0001687182 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Disclosed balance after: 0 Underlying: Common Shares · 871,170 shares Expires not disclosed F7 · kind: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F7 · price: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F7 · derivative.exercise_date: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F7 · derivative.expiration_date: OHIF and Oaktree Special Situations Fund, L.P. (together, the "Trading Funds") were parties to certain cash-settled total return swaps with respect to the reported number of common shares of the Issuer (the "Cash-Settled Swaps"). Pursuant to their terms, upon termination of the Cash-Settled Swaps, the Trading Funds were obligated to pay to the counterparty any negative price performance of the terminated quantity of the Issuer's common shares, and the counterparty was obligated to pay the Trading Funds any positive price performance of the specified quantity of the Issuer's common shares. In connection with consummation of the Plan of Arrangement, the Cash-Settled Swaps were terminated pursuant to their terms. F2 · ownership.nature: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F8 · ownership.nature: OCG is indirectly the general partner or manager of each of the Trading Funds. Read SEC document |
| May 01, 2026 Filed May 5, 2026 21:45 UTC | SunOpta Inc. STKL · Entity 49798 | SaleSpecial Shares, Series 2 · Derivative | 2,932,453 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-206884 · ownership.xml · derivative · entry 3 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Organics, L.P. · CIK 0001687182 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Disclosed balance after: 0 Underlying: Special Shares · Not disclosed shares Expires not disclosed F6 · kind: Represents Special Shares, Series 2, directly held by Oaktree Organics, OHIF, and OCG, which pursuant to the Plan of Arrangement, were disposed of for no consideration. F6 · derivative.exercise_date: Represents Special Shares, Series 2, directly held by Oaktree Organics, OHIF, and OCG, which pursuant to the Plan of Arrangement, were disposed of for no consideration. F6 · derivative.expiration_date: Represents Special Shares, Series 2, directly held by Oaktree Organics, OHIF, and OCG, which pursuant to the Plan of Arrangement, were disposed of for no consideration. F6 · derivative.underlying: Represents Special Shares, Series 2, directly held by Oaktree Organics, OHIF, and OCG, which pursuant to the Plan of Arrangement, were disposed of for no consideration. F6 · derivative.underlying_shares: Represents Special Shares, Series 2, directly held by Oaktree Organics, OHIF, and OCG, which pursuant to the Plan of Arrangement, were disposed of for no consideration. F2 · ownership.nature: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F6 · ownership.nature: Represents Special Shares, Series 2, directly held by Oaktree Organics, OHIF, and OCG, which pursuant to the Plan of Arrangement, were disposed of for no consideration. Read SEC document |
| May 01, 2026 Filed May 5, 2026 21:45 UTC | SunOpta Inc. STKL · Entity 49798 | SaleSeries B-1 Preferred Stock · Derivative | 30,000 | Not disclosed Strike: $2.50 | Not disclosed |
DisclosureSEC source: 0001193125-26-206884 · ownership.xml · derivative · entry 2 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Organics, L.P. · CIK 0001687182 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Disclosed balance after: 0 Underlying: Exchange Shares · 12,178,666.4 shares Expires not disclosed F4 · kind: Pursuant to the Plan of Arrangement, each issued and outstanding share of the Series B-1 Preferred Stock in the capital of SunOpta Foods, Inc. ("Series B-1 Preferred Stock"), a wholly-owned subsidiary of the Issuer was transferred to the Issuer in exchange for an aggregate of 12,178,666.40 Exchange Shares, calculated by multiplying the number of shares of Series B-1 Preferred Stock by 405.9555467 (being the exchange rate of the Series B-1 Preferred Stock contemplated by their terms), and the resulting Exchange Shares were transferred to Purchaser in exchange for a cash payment of $6.50 per share. F4 · price: Pursuant to the Plan of Arrangement, each issued and outstanding share of the Series B-1 Preferred Stock in the capital of SunOpta Foods, Inc. ("Series B-1 Preferred Stock"), a wholly-owned subsidiary of the Issuer was transferred to the Issuer in exchange for an aggregate of 12,178,666.40 Exchange Shares, calculated by multiplying the number of shares of Series B-1 Preferred Stock by 405.9555467 (being the exchange rate of the Series B-1 Preferred Stock contemplated by their terms), and the resulting Exchange Shares were transferred to Purchaser in exchange for a cash payment of $6.50 per share. F4 · derivative.exercise_date: Pursuant to the Plan of Arrangement, each issued and outstanding share of the Series B-1 Preferred Stock in the capital of SunOpta Foods, Inc. ("Series B-1 Preferred Stock"), a wholly-owned subsidiary of the Issuer was transferred to the Issuer in exchange for an aggregate of 12,178,666.40 Exchange Shares, calculated by multiplying the number of shares of Series B-1 Preferred Stock by 405.9555467 (being the exchange rate of the Series B-1 Preferred Stock contemplated by their terms), and the resulting Exchange Shares were transferred to Purchaser in exchange for a cash payment of $6.50 per share. F4 · derivative.expiration_date: Pursuant to the Plan of Arrangement, each issued and outstanding share of the Series B-1 Preferred Stock in the capital of SunOpta Foods, Inc. ("Series B-1 Preferred Stock"), a wholly-owned subsidiary of the Issuer was transferred to the Issuer in exchange for an aggregate of 12,178,666.40 Exchange Shares, calculated by multiplying the number of shares of Series B-1 Preferred Stock by 405.9555467 (being the exchange rate of the Series B-1 Preferred Stock contemplated by their terms), and the resulting Exchange Shares were transferred to Purchaser in exchange for a cash payment of $6.50 per share. F2 · ownership.nature: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F5 · ownership.nature: The reported securities were directly held as follows: (i) 12,538.52 shares of Series B-1 Preferred Stock held by Oaktree Organics; (ii) 2,461.48 shares of Series B-1 Preferred Stock held by OHIF; and (iii) 15,000 shares of Series B-1 Preferred Stock held by OCG. Read SEC document |
| May 01, 2026 Filed May 5, 2026 21:45 UTC | SunOpta Inc. STKL · Entity 49798 | SaleCommon Shares | 20,651,812 | $6.50 | $134,236,778.00 |
DisclosureSEC source: 0001193125-26-206884 · ownership.xml · nonDerivative · entry 1 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Huntington Investment Fund II, L.P. · CIK 0001687181 · 10% owner Oaktree Organics, L.P. · CIK 0001687182 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Disclosed balance after: 0 F1 · kind: The reported securities were disposed of in connection with the consummation of the plan of arrangement (the "Plan of Arrangement") of SunOpta Inc. (the "Issuer") and 2786694 Alberta Ltd. (the "Purchaser"). F2 · ownership.nature: Oaktree Capital Holdings, LLC ("OCG") and Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the duly appointed manager of OCG, indirectly control each of the direct holders of the reported securities and, accordingly, may each be deemed to beneficially own the reported securities, but each of the reporting persons disclaims beneficial ownership except to the extent of its pecuniary interest therein. F3 · ownership.nature: Represents 17,241,579 Common Shares held directly by Oaktree Organics, L.P. ("Oaktree Organics") and 3,410,233 Common Shares held directly by Oaktree Huntington Investment Fund II, L.P. ("OHIF"). Read SEC document |
| November 17, 2025 Filed Nov 20, 2025 00:58 UTC | Runway Growth Finance Corp. RWAY · Entity 6030 | SaleCommon Stock, par value $0.01 per share | 1,250,000 | $9.05 | $11,312,500.00 |
DisclosureSEC source: 0001193125-25-288545 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,029,668 F1 · ownership.direct: This Form 4 is being filed by (i) OCM Growth Holdings LLC, a Delaware limited liability company ("OCMGH") and the direct holder of the reported securities, (ii) Oaktree Capital Holdings, LLC, limited liability company ("OCH"), in its capacity as the indirect manager of OCMGH and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of class B units of OCH. F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F3 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone and John B. Frank (the "OCGH GP Members"). Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. Read SEC document |
| November 10, 2025 Filed Nov 13, 2025 19:52 UTC | Garrett Motion Inc. GTX,GTXAP · Entity 1720 | SaleCommon Stock, $0.001 par value per share | 6,300,000 | $17.00 | $107,100,000.00 |
DisclosureSEC source: 0001140361-25-042042 · form4.xml · nonDerivative · entry 1 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Value Opportunities Fund Holdings, L.P. · CIK 0001474241 · 10% owner OCM Opps GTM Holdings, LLC · CIK 0001860759 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Phoenix Investment Fund, L.P. · CIK 0001815055 · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 17,094,816 F1 · ownership.nature: The reported securities are directly held by Oaktree Value Opportunities Fund Holdings, L.P., OCM Opps GTM Holdings LLC, Oaktree Phoenix Investment Fund LP, and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. (collectively, the "Oaktree Entities"), which securities may be deemed beneficially owned by the direct and indirect managers or general partners of the Direct Holders including Oaktree Capital Holdings, LLC and Oaktree Capital Group Holdings GP, LLC. F2 · ownership.nature: Each Reporting Person expressly disclaims beneficial ownership of the reported securities except with respect to such Reporting Person's pecuniary interest therein. Read SEC document |
| November 03, 2025 Filed Nov 5, 2025 20:12 UTC | Garrett Motion Inc. GTX,GTXAP · Entity 1720 | SaleCommon Stock, $0.001 par value per share | 2,500,000 | $16.26 | $40,650,000.00 |
DisclosureSEC source: 0001140361-25-040609 · form4.xml · nonDerivative · entry 1 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Value Opportunities Fund Holdings, L.P. · CIK 0001474241 · 10% owner OCM Opps GTM Holdings, LLC · CIK 0001860759 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Phoenix Investment Fund, L.P. · CIK 0001815055 · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 23,394,816 F1 · ownership.nature: The reported securities are directly held by Oaktree Value Opportunities Fund Holdings, L.P., OCM Opps GTM Holdings LLC, Oaktree Phoenix Investment Fund LP, and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. (collectively, the "Oaktree Entities"), which securities may be deemed beneficially owned by the direct and indirect managers or general partners of the Direct Holders including Oaktree Capital Holdings, LLC and Oaktree Capital Group Holdings GP, LLC. F2 · ownership.nature: Each Reporting Person expressly disclaims beneficial ownership of the reported securities except with respect to such Reporting Person's pecuniary interest therein. Read SEC document |
| October 27, 2025 Filed Oct 29, 2025 16:01 UTC | Garrett Motion Inc. GTX,GTXAP · Entity 1720 | SaleCommon Stock, $0.001 par value per share | 6,000,000 | $16.25 | $97,500,000.00 |
DisclosureSEC source: 0001140361-25-039701 · form4.xml · nonDerivative · entry 1 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Value Opportunities Fund Holdings, L.P. · CIK 0001474241 · 10% owner OCM Opps GTM Holdings, LLC · CIK 0001860759 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Phoenix Investment Fund, L.P. · CIK 0001815055 · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 25,894,816 F1 · ownership.nature: The reported securities are directly held by Oaktree Value Opportunities Fund Holdings, L.P., OCM Opps GTM Holdings LLC, Oaktree Phoenix Investment Fund LP, and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. (collectively, the "Oaktree Entities"), which securities may be deemed beneficially owned by the direct and indirect managers or general partners of the Direct Holders including Oaktree Capital Holdings, LLC and Oaktree Capital Group Holdings GP, LLC. F2 · ownership.nature: Each Reporting Person expressly disclaims beneficial ownership of the reported securities except with respect to such Reporting Person's pecuniary interest therein. Read SEC document |
| August 20, 2025 Filed Aug 21, 2025 20:18 UTC | Garrett Motion Inc. GTX,GTXAP · Entity 1720 | SaleCommon Stock | 5,000,000 | $12.42 | $62,100,000.00 |
DisclosureSEC source: 0001140361-25-032261 · form4.xml · nonDerivative · entry 1 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Value Opportunities Fund Holdings, L.P. · CIK 0001474241 · 10% owner OCM Opps GTM Holdings, LLC · CIK 0001860759 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Phoenix Investment Fund, L.P. · CIK 0001815055 · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 31,894,816 F1 · shares: The reported securities were repurchased by the Issuer. F2 · ownership.nature: The reported securities are directly held by Oaktree Value Opportunities Fund Holdings, L.P., OCM Opps GTM Holdings LLC, Oaktree Phoenix Investment Fund, L.P. and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. (collectively, the "Direct Holders"), which securities may be deemed beneficially owned by the direct and indirect managers or general partners of the Direct Holders including Oaktree Capital Holdings, LLC and Oaktree Capital Group Holdings GP, LLC. F3 · ownership.nature: Each Reporting Person expressly disclaims beneficial ownership of the reported securities except of such Reporting Person's pecuniary interest therein. Read SEC document |
| August 19, 2025 Filed Aug 22, 2025 01:51 UTC | Sitio Royalties Corp. STR · Entity 15067 | SaleSitio Royalties Operating Partnership, LP Units · Derivative | 15,443,610 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-110790 · ownership.xml · derivative · entry 3 Source Energy Permian II, LLC · CIK 0001982242 · 10% owner Sierra Energy Royalties, LLC · CIK 0001982173 · 10% owner Source Energy Partners, LLC · CIK 0001708926 · 10% owner OCM FIE, LLC · CIK 0001498954 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 15,443,610 shares Expires not disclosed F3 · derivative.exercise_price: Each Sitio Royalties Operating Partnership, LP Unit, together with a share of Class C Common Stock, is exchangeable, for no additional consideration, into one share of Class A Common Stock. F3 · price: Each Sitio Royalties Operating Partnership, LP Unit, together with a share of Class C Common Stock, is exchangeable, for no additional consideration, into one share of Class A Common Stock. F3 · derivative.exercise_date: Each Sitio Royalties Operating Partnership, LP Unit, together with a share of Class C Common Stock, is exchangeable, for no additional consideration, into one share of Class A Common Stock. F3 · derivative.expiration_date: Each Sitio Royalties Operating Partnership, LP Unit, together with a share of Class C Common Stock, is exchangeable, for no additional consideration, into one share of Class A Common Stock. F2 · ownership.nature: The reported securities were directly held by (i) Source Energy Permian II, LLC ("Source"), as the direct holder of securities, (ii) Sierra Energy Royalties, LLC ("Sierra") (iii) Source Energy Partners, LLC ("Source Energy") (iv) OCM FIE, LLC ("FIE"). Oaktree Capital Management L.P., Oaktree Capital Holdings, LLC and Oaktree Capital Group Holdings GP LLP are the indirect managers of Source, Sierra, Source Energy, and FIE, but each of the foregoing disclaim beneficial ownership of the reported securities except to the extent of any pecuniary interest therein. Read SEC document |
| August 19, 2025 Filed Aug 22, 2025 01:51 UTC | Sitio Royalties Corp. STR · Entity 15067 | SaleClass C Common Stock | 15,443,610 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-110790 · ownership.xml · nonDerivative · entry 2 Source Energy Permian II, LLC · CIK 0001982242 · 10% owner Sierra Energy Royalties, LLC · CIK 0001982173 · 10% owner Source Energy Partners, LLC · CIK 0001708926 · 10% owner OCM FIE, LLC · CIK 0001498954 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 F3 · shares: Each Sitio Royalties Operating Partnership, LP Unit, together with a share of Class C Common Stock, is exchangeable, for no additional consideration, into one share of Class A Common Stock. F1 · price: In connection with merger of the Issuer with Viper Energy, Inc., the reporting person disposed of all issuer equity securities in exchange for the merger consideration pursuant to the Agreement and Plan of Merger dated as of June 2, 2025, by and among the parties thereto. F2 · ownership.nature: The reported securities were directly held by (i) Source Energy Permian II, LLC ("Source"), as the direct holder of securities, (ii) Sierra Energy Royalties, LLC ("Sierra") (iii) Source Energy Partners, LLC ("Source Energy") (iv) OCM FIE, LLC ("FIE"). Oaktree Capital Management L.P., Oaktree Capital Holdings, LLC and Oaktree Capital Group Holdings GP LLP are the indirect managers of Source, Sierra, Source Energy, and FIE, but each of the foregoing disclaim beneficial ownership of the reported securities except to the extent of any pecuniary interest therein. Read SEC document |
| August 19, 2025 Filed Aug 22, 2025 01:51 UTC | Sitio Royalties Corp. STR · Entity 15067 | SaleClass A Common Stock | 10,431 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-110790 · ownership.xml · nonDerivative · entry 1 Source Energy Permian II, LLC · CIK 0001982242 · 10% owner Sierra Energy Royalties, LLC · CIK 0001982173 · 10% owner Source Energy Partners, LLC · CIK 0001708926 · 10% owner OCM FIE, LLC · CIK 0001498954 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · price: In connection with merger of the Issuer with Viper Energy, Inc., the reporting person disposed of all issuer equity securities in exchange for the merger consideration pursuant to the Agreement and Plan of Merger dated as of June 2, 2025, by and among the parties thereto. F2 · ownership.nature: The reported securities were directly held by (i) Source Energy Permian II, LLC ("Source"), as the direct holder of securities, (ii) Sierra Energy Royalties, LLC ("Sierra") (iii) Source Energy Partners, LLC ("Source Energy") (iv) OCM FIE, LLC ("FIE"). Oaktree Capital Management L.P., Oaktree Capital Holdings, LLC and Oaktree Capital Group Holdings GP LLP are the indirect managers of Source, Sierra, Source Energy, and FIE, but each of the foregoing disclaim beneficial ownership of the reported securities except to the extent of any pecuniary interest therein. Read SEC document |
| August 08, 2025 Filed Aug 12, 2025 23:20 UTC | Runway Growth Finance Corp. RWAY · Entity 6030 | SaleCommon Stock, par value $0.01 per share | 500,000 | $10.80 | $5,400,000.00 |
DisclosureSEC source: 0000950170-25-107522 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,279,668 F1 · ownership.direct: This Form 4 is being filed by (i) OCM Growth Holdings LLC, a Delaware limited liability company ("OCMGH") and the direct holder of the reported securities, (ii) Oaktree Capital Holdings, LLC, limited liability company ("OCH"), in its capacity as the indirect manager of OCMGH and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of class B units of OCH. F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F3 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone and John B. Frank (the "OCGH GP Members"). Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F4 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| July 01, 2025 Filed Jul 3, 2025 20:29 UTC | Runway Growth Finance Corp. RWAY · Entity 6030 | SaleCommon Stock, par value $0.01 per share | 1,000,000 | $10.45 | $10,450,000.00 |
DisclosureSEC source: 0000950170-25-093898 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,779,668 F1 · ownership.direct: This Form 4 is being filed by (i) OCM Growth Holdings LLC, a Delaware limited liability company ("OCMGH") and the direct holder of the reported securities, (ii) Oaktree Capital Holdings, LLC, limited liability company ("OCH"), in its capacity as the indirect manager of OCMGH and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of class B units of OCH. F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F3 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone and John B. Frank (the "OCGH GP Members"). Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F4 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| May 29, 2025 Filed May 30, 2025 21:52 UTC | Garrett Motion Inc. GTX,GTXAP · Entity 1720 | SaleCommon Stock | 7,000,000 | $10.30 | $72,100,000.00 |
DisclosureSEC source: 0000950170-25-079988 · ownership.xml · nonDerivative · entry 2 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OCM Opps GTM Holdings, LLC · CIK 0001860759 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Phoenix Investment Fund, L.P. · CIK 0001815055 · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · 10% owner Oaktree Value Opportunities Fund Holdings, L.P. · CIK 0001474241 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 36,894,816 F2 · ownership.nature: The reported securities are directly held by Oaktree Value Opportunities Fund Holdings, L.P., OCM Opps GTM Holdings LLC, Oaktree Phoenix Investment Fund LP and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. (collectively, the "Direct Holders"), which securities may be deemed beneficially owned by the direct and indirect managers or general partners of the Direct Holders including Oaktree Capital Holdings, LLC and Oaktree Capital Group Holdings GP, LLC. F3 · ownership.nature: Each Reporting Person expressly disclaims beneficial ownership of the reported securities except of such Reporting Person's pecuniary interest therein. Read SEC document |
| May 28, 2025 Filed May 30, 2025 21:52 UTC | Garrett Motion Inc. GTX,GTXAP · Entity 1720 | SaleCommon Stock | 188,000 | $11.10 | $2,086,800.00 |
DisclosureSEC source: 0000950170-25-079988 · ownership.xml · nonDerivative · entry 1 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OCM Opps GTM Holdings, LLC · CIK 0001860759 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Phoenix Investment Fund, L.P. · CIK 0001815055 · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · 10% owner Oaktree Value Opportunities Fund Holdings, L.P. · CIK 0001474241 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 43,894,816 F1 · price: The price reported is a volume weighted average price. These shares were sold in multiple transactions at prices ranging from $11.09 to $11.14. The Reporting Persons undertake to provide to the Issuer, any security holders of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within this range. F2 · ownership.nature: The reported securities are directly held by Oaktree Value Opportunities Fund Holdings, L.P., OCM Opps GTM Holdings LLC, Oaktree Phoenix Investment Fund LP and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. (collectively, the "Direct Holders"), which securities may be deemed beneficially owned by the direct and indirect managers or general partners of the Direct Holders including Oaktree Capital Holdings, LLC and Oaktree Capital Group Holdings GP, LLC. F3 · ownership.nature: Each Reporting Person expressly disclaims beneficial ownership of the reported securities except of such Reporting Person's pecuniary interest therein. Read SEC document |
| April 01, 2025 Filed Apr 3, 2025 22:34 UTC | Runway Growth Finance Corp. RWAY · Entity 6030 | SaleCommon Stock, par value $0.01 per share | 1,000,000 | $10.35 | $10,350,000.00 |
DisclosureSEC source: 0000950170-25-050769 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,779,668 F1 · ownership.direct: This Form 4 is being filed by (i) OCM Growth Holdings LLC, a Delaware limited liability company ("OCMGH") and the direct holder of the reported securities, (ii) Oaktree Capital Holdings, LLC, limited liability company ("OCH"), in its capacity as the indirect manager of OCMGH and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of class B units of OCH. F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F3 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone and John B. Frank (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F4 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| December 05, 2024 Filed Dec 9, 2024 21:49 UTC | CBL & ASSOCIATES PROPERTIES INC CBL · Entity 1483 | SaleCommon Stock | 1,000,000 | $30.40 | $30,400,000.00 |
DisclosureSEC source: 0001140361-24-048813 · form4.xml · nonDerivative · entry 1 OCM Xb CBL-E Holdings, LLC · CIK 0001892307 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 2,983,967 F1 · balance_after: Reflects securities directly held by OCM Xb CBL-E Holdings ("Xb CBL-E"). Oaktree Capital Holdings, LLC ("OCH"), as the indirect manager of Xb CBL-E, and Oaktree Capital Group Holdings, GP LLC ("OCGH"), as the indirect owner of the class B units of OCH, may be deemed to beneficially own the reported securities held directly by Xb CBL-E. Each of the Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. F1 · ownership.nature: Reflects securities directly held by OCM Xb CBL-E Holdings ("Xb CBL-E"). Oaktree Capital Holdings, LLC ("OCH"), as the indirect manager of Xb CBL-E, and Oaktree Capital Group Holdings, GP LLC ("OCGH"), as the indirect owner of the class B units of OCH, may be deemed to beneficially own the reported securities held directly by Xb CBL-E. Each of the Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Read SEC document |
| November 08, 2024 Filed Nov 14, 2024 02:54 UTC | BROOKFIELD REAL ESTATE INCOME TRUST INC. NA · Entity 20552 | OtherClass C Common Stock | 660,286 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-126683 · ownership.xml · nonDerivative · entry 4 BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner Brookfield Holdings Canada Inc. · CIK 0001540230 · 10% owner Brookfield Corporate Treasury Ltd. · CIK 0001983642 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Brookfield Oaktree Holdings, LLC · CIK 0001403528 · 10% owner OCG NTR Holdings, LLC · CIK 0001983661 · 10% owner BUSI II GP-C LLC · CIK 0001983486 · 10% owner BUSI II-C L.P. · CIK 0001921478 · 10% owner BPG Manager Holdings GP ULC · CIK 0002033622 · 10% owner BPG Manager Holdings L.P. · CIK 0002033338 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · BPG Manager Holdings L.P. Disclosed balance after: 660,286 F3 · shares: On November 8, 2024, BPG Manager Holdings L.P. ("BPG LP") exchanged all of its 643,494 Class I Shares (including 3,454 Shares that will be issued on or about November 20, 2024 pursuant to the DRIP) having a NAV of $11.081 per share, resulting in total NAV of $7,130,492.66, for 660,286 Class C shares of common stock of the Issuer ("Class C Shares") having a NAV of $10.799 per share, having a total NAV of $7,130,492.66. F3 · price: On November 8, 2024, BPG Manager Holdings L.P. ("BPG LP") exchanged all of its 643,494 Class I Shares (including 3,454 Shares that will be issued on or about November 20, 2024 pursuant to the DRIP) having a NAV of $11.081 per share, resulting in total NAV of $7,130,492.66, for 660,286 Class C shares of common stock of the Issuer ("Class C Shares") having a NAV of $10.799 per share, having a total NAV of $7,130,492.66. F3 · balance_after: On November 8, 2024, BPG Manager Holdings L.P. ("BPG LP") exchanged all of its 643,494 Class I Shares (including 3,454 Shares that will be issued on or about November 20, 2024 pursuant to the DRIP) having a NAV of $11.081 per share, resulting in total NAV of $7,130,492.66, for 660,286 Class C shares of common stock of the Issuer ("Class C Shares") having a NAV of $10.799 per share, having a total NAV of $7,130,492.66. F4 · ownership.nature: Includes shares of the Issuer's common stock that will be issued on or about November 20, 2024 pursuant to the Issuer's dividend reinvestment plan. F6 · ownership.nature: These shares are held directly by BPG LP and indirectly by BCORP, Brookfield Asset Management Ltd. ("BAM"), Brookfield Asset Management ULC ("BAM ULC") and BPG Manager Holdings GP ULC ("BPG GP"). BCORP and BAM each hold common shares of BAM ULC, which is the sole member of BPG GP, the general partner of BPG LP. F7 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document |
| November 08, 2024 Filed Nov 14, 2024 02:54 UTC | BROOKFIELD REAL ESTATE INCOME TRUST INC. NA · Entity 20552 | OtherClass I Common Stock | 643,494 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-126683 · ownership.xml · nonDerivative · entry 3 BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner Brookfield Holdings Canada Inc. · CIK 0001540230 · 10% owner Brookfield Corporate Treasury Ltd. · CIK 0001983642 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Brookfield Oaktree Holdings, LLC · CIK 0001403528 · 10% owner OCG NTR Holdings, LLC · CIK 0001983661 · 10% owner BUSI II GP-C LLC · CIK 0001983486 · 10% owner BUSI II-C L.P. · CIK 0001921478 · 10% owner BPG Manager Holdings GP ULC · CIK 0002033622 · 10% owner BPG Manager Holdings L.P. · CIK 0002033338 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · BPG Manager Holdings L.P. Disclosed balance after: 0 F3 · shares: On November 8, 2024, BPG Manager Holdings L.P. ("BPG LP") exchanged all of its 643,494 Class I Shares (including 3,454 Shares that will be issued on or about November 20, 2024 pursuant to the DRIP) having a NAV of $11.081 per share, resulting in total NAV of $7,130,492.66, for 660,286 Class C shares of common stock of the Issuer ("Class C Shares") having a NAV of $10.799 per share, having a total NAV of $7,130,492.66. F3 · price: On November 8, 2024, BPG Manager Holdings L.P. ("BPG LP") exchanged all of its 643,494 Class I Shares (including 3,454 Shares that will be issued on or about November 20, 2024 pursuant to the DRIP) having a NAV of $11.081 per share, resulting in total NAV of $7,130,492.66, for 660,286 Class C shares of common stock of the Issuer ("Class C Shares") having a NAV of $10.799 per share, having a total NAV of $7,130,492.66. F3 · balance_after: On November 8, 2024, BPG Manager Holdings L.P. ("BPG LP") exchanged all of its 643,494 Class I Shares (including 3,454 Shares that will be issued on or about November 20, 2024 pursuant to the DRIP) having a NAV of $11.081 per share, resulting in total NAV of $7,130,492.66, for 660,286 Class C shares of common stock of the Issuer ("Class C Shares") having a NAV of $10.799 per share, having a total NAV of $7,130,492.66. F4 · ownership.nature: Includes shares of the Issuer's common stock that will be issued on or about November 20, 2024 pursuant to the Issuer's dividend reinvestment plan. F6 · ownership.nature: These shares are held directly by BPG LP and indirectly by BCORP, Brookfield Asset Management Ltd. ("BAM"), Brookfield Asset Management ULC ("BAM ULC") and BPG Manager Holdings GP ULC ("BPG GP"). BCORP and BAM each hold common shares of BAM ULC, which is the sole member of BPG GP, the general partner of BPG LP. F7 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document |
| November 08, 2024 Filed Nov 14, 2024 02:54 UTC | BROOKFIELD REAL ESTATE INCOME TRUST INC. NA · Entity 20552 | OtherClass E Common Stock | 2,173,519.737 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-126683 · ownership.xml · nonDerivative · entry 2 BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner Brookfield Holdings Canada Inc. · CIK 0001540230 · 10% owner Brookfield Corporate Treasury Ltd. · CIK 0001983642 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Brookfield Oaktree Holdings, LLC · CIK 0001403528 · 10% owner OCG NTR Holdings, LLC · CIK 0001983661 · 10% owner BUSI II GP-C LLC · CIK 0001983486 · 10% owner BUSI II-C L.P. · CIK 0001921478 · 10% owner BPG Manager Holdings GP ULC · CIK 0002033622 · 10% owner BPG Manager Holdings L.P. · CIK 0002033338 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · BUSI II-C L.P. Disclosed balance after: 451,765 F1 · shares: On November 8, 2024, the Issuer entered into that certain Repurchase and Distribution Agreement (the "Repurchase and Distribution Agreement") by and among the Issuer, BUSI II-C L.P. ("BUSI II-C"), Brookfield REIT OP GP LLC and Brookfield REIT Operating Partnership L.P. (the "Operating Partnership"). Pursuant to the Repurchase and Distribution Agreement, (i) BUSI II-C submitted a repurchase request to the Issuer with respect to (a) 25,123,346.212 of its Class I shares of common stock of the Issuer ("Class I Shares"), having a net asset value ("NAV") per share of $11.081 and (b) 2,173,519.737 of its Class E shares of common stock of the Issuer ("Class E Shares"), F2 · shares: (Continued from footnote 1) having a NAV per share of $11.068, and (ii) the Issuer, through the Operating Partnership, authorized a distribution in kind to BUSI II-C consisting of: (x) 25,123,346.212 Class I units of the Operating Partnership ("OP Units"), having a NAV per unit of $11.081 and (y) 2,173,519.737 Class E OP Units, having a NAV per unit of $11.068. F1 · price: On November 8, 2024, the Issuer entered into that certain Repurchase and Distribution Agreement (the "Repurchase and Distribution Agreement") by and among the Issuer, BUSI II-C L.P. ("BUSI II-C"), Brookfield REIT OP GP LLC and Brookfield REIT Operating Partnership L.P. (the "Operating Partnership"). Pursuant to the Repurchase and Distribution Agreement, (i) BUSI II-C submitted a repurchase request to the Issuer with respect to (a) 25,123,346.212 of its Class I shares of common stock of the Issuer ("Class I Shares"), having a net asset value ("NAV") per share of $11.081 and (b) 2,173,519.737 of its Class E shares of common stock of the Issuer ("Class E Shares"), F2 · price: (Continued from footnote 1) having a NAV per share of $11.068, and (ii) the Issuer, through the Operating Partnership, authorized a distribution in kind to BUSI II-C consisting of: (x) 25,123,346.212 Class I units of the Operating Partnership ("OP Units"), having a NAV per unit of $11.081 and (y) 2,173,519.737 Class E OP Units, having a NAV per unit of $11.068. F1 · balance_after: On November 8, 2024, the Issuer entered into that certain Repurchase and Distribution Agreement (the "Repurchase and Distribution Agreement") by and among the Issuer, BUSI II-C L.P. ("BUSI II-C"), Brookfield REIT OP GP LLC and Brookfield REIT Operating Partnership L.P. (the "Operating Partnership"). Pursuant to the Repurchase and Distribution Agreement, (i) BUSI II-C submitted a repurchase request to the Issuer with respect to (a) 25,123,346.212 of its Class I shares of common stock of the Issuer ("Class I Shares"), having a net asset value ("NAV") per share of $11.081 and (b) 2,173,519.737 of its Class E shares of common stock of the Issuer ("Class E Shares"), F2 · balance_after: (Continued from footnote 1) having a NAV per share of $11.068, and (ii) the Issuer, through the Operating Partnership, authorized a distribution in kind to BUSI II-C consisting of: (x) 25,123,346.212 Class I units of the Operating Partnership ("OP Units"), having a NAV per unit of $11.081 and (y) 2,173,519.737 Class E OP Units, having a NAV per unit of $11.068. F5 · ownership.nature: These shares are held directly by BUSI II-C and indirectly by Brookfield Corporation ("BCORP"), Brookfield Holdings Canada Inc. ("BHC"), Brookfield Corporate Treasury Ltd. ("BCT"), Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), Brookfield Oaktree Holdings, LLC ("OCG LLC"), OCG NTR Holdings, LLC ("OCG NTR") and BUSI II GP-C LLC ("BUSI II GP-C"). BCORP is a holder of common shares of BHC. BHC is the sole shareholder of BCT, which is a holder of Class A units OCG LLC. OCGH GP is the indirect owner of the class B units of OCG LLC. OCG LLC is the sole common shareholder of OCG NTR, which is the managing member of BUSI II GP-C and a limited partner of BUSI II-C. BUSI II GP-C is the general partner of BUSI II-C. F7 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document |
| November 08, 2024 Filed Nov 14, 2024 02:54 UTC | BROOKFIELD REAL ESTATE INCOME TRUST INC. NA · Entity 20552 | OtherClass I Common Stock | 25,123,346.212 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-126683 · ownership.xml · nonDerivative · entry 1 BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner Brookfield Holdings Canada Inc. · CIK 0001540230 · 10% owner Brookfield Corporate Treasury Ltd. · CIK 0001983642 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Brookfield Oaktree Holdings, LLC · CIK 0001403528 · 10% owner OCG NTR Holdings, LLC · CIK 0001983661 · 10% owner BUSI II GP-C LLC · CIK 0001983486 · 10% owner BUSI II-C L.P. · CIK 0001921478 · 10% owner BPG Manager Holdings GP ULC · CIK 0002033622 · 10% owner BPG Manager Holdings L.P. · CIK 0002033338 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · BUSI II-C L.P. Disclosed balance after: 18,049 F1 · shares: On November 8, 2024, the Issuer entered into that certain Repurchase and Distribution Agreement (the "Repurchase and Distribution Agreement") by and among the Issuer, BUSI II-C L.P. ("BUSI II-C"), Brookfield REIT OP GP LLC and Brookfield REIT Operating Partnership L.P. (the "Operating Partnership"). Pursuant to the Repurchase and Distribution Agreement, (i) BUSI II-C submitted a repurchase request to the Issuer with respect to (a) 25,123,346.212 of its Class I shares of common stock of the Issuer ("Class I Shares"), having a net asset value ("NAV") per share of $11.081 and (b) 2,173,519.737 of its Class E shares of common stock of the Issuer ("Class E Shares"), F2 · shares: (Continued from footnote 1) having a NAV per share of $11.068, and (ii) the Issuer, through the Operating Partnership, authorized a distribution in kind to BUSI II-C consisting of: (x) 25,123,346.212 Class I units of the Operating Partnership ("OP Units"), having a NAV per unit of $11.081 and (y) 2,173,519.737 Class E OP Units, having a NAV per unit of $11.068. F1 · price: On November 8, 2024, the Issuer entered into that certain Repurchase and Distribution Agreement (the "Repurchase and Distribution Agreement") by and among the Issuer, BUSI II-C L.P. ("BUSI II-C"), Brookfield REIT OP GP LLC and Brookfield REIT Operating Partnership L.P. (the "Operating Partnership"). Pursuant to the Repurchase and Distribution Agreement, (i) BUSI II-C submitted a repurchase request to the Issuer with respect to (a) 25,123,346.212 of its Class I shares of common stock of the Issuer ("Class I Shares"), having a net asset value ("NAV") per share of $11.081 and (b) 2,173,519.737 of its Class E shares of common stock of the Issuer ("Class E Shares"), F2 · price: (Continued from footnote 1) having a NAV per share of $11.068, and (ii) the Issuer, through the Operating Partnership, authorized a distribution in kind to BUSI II-C consisting of: (x) 25,123,346.212 Class I units of the Operating Partnership ("OP Units"), having a NAV per unit of $11.081 and (y) 2,173,519.737 Class E OP Units, having a NAV per unit of $11.068. F1 · balance_after: On November 8, 2024, the Issuer entered into that certain Repurchase and Distribution Agreement (the "Repurchase and Distribution Agreement") by and among the Issuer, BUSI II-C L.P. ("BUSI II-C"), Brookfield REIT OP GP LLC and Brookfield REIT Operating Partnership L.P. (the "Operating Partnership"). Pursuant to the Repurchase and Distribution Agreement, (i) BUSI II-C submitted a repurchase request to the Issuer with respect to (a) 25,123,346.212 of its Class I shares of common stock of the Issuer ("Class I Shares"), having a net asset value ("NAV") per share of $11.081 and (b) 2,173,519.737 of its Class E shares of common stock of the Issuer ("Class E Shares"), F2 · balance_after: (Continued from footnote 1) having a NAV per share of $11.068, and (ii) the Issuer, through the Operating Partnership, authorized a distribution in kind to BUSI II-C consisting of: (x) 25,123,346.212 Class I units of the Operating Partnership ("OP Units"), having a NAV per unit of $11.081 and (y) 2,173,519.737 Class E OP Units, having a NAV per unit of $11.068. F5 · ownership.nature: These shares are held directly by BUSI II-C and indirectly by Brookfield Corporation ("BCORP"), Brookfield Holdings Canada Inc. ("BHC"), Brookfield Corporate Treasury Ltd. ("BCT"), Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), Brookfield Oaktree Holdings, LLC ("OCG LLC"), OCG NTR Holdings, LLC ("OCG NTR") and BUSI II GP-C LLC ("BUSI II GP-C"). BCORP is a holder of common shares of BHC. BHC is the sole shareholder of BCT, which is a holder of Class A units OCG LLC. OCGH GP is the indirect owner of the class B units of OCG LLC. OCG LLC is the sole common shareholder of OCG NTR, which is the managing member of BUSI II GP-C and a limited partner of BUSI II-C. BUSI II GP-C is the general partner of BUSI II-C. F7 · ownership.nature: This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document |
| October 30, 2024 Filed Oct 31, 2024 20:15 UTC | Oaktree Acquisition Corp. III Life Sciences OACC · Entity 6078 | ConversionPrivate placement units (obligation to buy) · Derivative | 33,981 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-119552 · ownership.xml · derivative · entry 4 Oaktree Acquisition Holdings III LS, LLC · CIK 0002037181 · 10% owner Oaktree Acquisition Holdings III LS GP, Ltd. · CIK 0002029774 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Capital Management GP, LLC · CIK 0001831013 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Brookfield Asset Management Ltd. · CIK 0001937926 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner Oaktree Capital Group Holdings, L.P. · CIK 0001403527 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A ordinary shares and private placement warrants · 33,981 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. F9 · security: Holdings had an obligation to purchase up to an additional 52,500 Private Placement Units, including 52,500 Private Placement Shares and 10,500 Private Placement Warrants, to the extent the underwriters of the issuer's initial public offering exercise their over-allotment option, as described in the Registration Statement. Holdings purchased 33,981 additional Private Placement Units in connection with the underwriters' partial exercise of their over-allotment option, with the remaining obligation to purchase 18,519 additional Private Placement Units being forfeited for no consideration. F9 · derivative.exercise_price: Holdings had an obligation to purchase up to an additional 52,500 Private Placement Units, including 52,500 Private Placement Shares and 10,500 Private Placement Warrants, to the extent the underwriters of the issuer's initial public offering exercise their over-allotment option, as described in the Registration Statement. Holdings purchased 33,981 additional Private Placement Units in connection with the underwriters' partial exercise of their over-allotment option, with the remaining obligation to purchase 18,519 additional Private Placement Units being forfeited for no consideration. F9 · kind: Holdings had an obligation to purchase up to an additional 52,500 Private Placement Units, including 52,500 Private Placement Shares and 10,500 Private Placement Warrants, to the extent the underwriters of the issuer's initial public offering exercise their over-allotment option, as described in the Registration Statement. Holdings purchased 33,981 additional Private Placement Units in connection with the underwriters' partial exercise of their over-allotment option, with the remaining obligation to purchase 18,519 additional Private Placement Units being forfeited for no consideration. F9 · price: Holdings had an obligation to purchase up to an additional 52,500 Private Placement Units, including 52,500 Private Placement Shares and 10,500 Private Placement Warrants, to the extent the underwriters of the issuer's initial public offering exercise their over-allotment option, as described in the Registration Statement. Holdings purchased 33,981 additional Private Placement Units in connection with the underwriters' partial exercise of their over-allotment option, with the remaining obligation to purchase 18,519 additional Private Placement Units being forfeited for no consideration. F9 · derivative.exercise_date: Holdings had an obligation to purchase up to an additional 52,500 Private Placement Units, including 52,500 Private Placement Shares and 10,500 Private Placement Warrants, to the extent the underwriters of the issuer's initial public offering exercise their over-allotment option, as described in the Registration Statement. Holdings purchased 33,981 additional Private Placement Units in connection with the underwriters' partial exercise of their over-allotment option, with the remaining obligation to purchase 18,519 additional Private Placement Units being forfeited for no consideration. F9 · derivative.expiration_date: Holdings had an obligation to purchase up to an additional 52,500 Private Placement Units, including 52,500 Private Placement Shares and 10,500 Private Placement Warrants, to the extent the underwriters of the issuer's initial public offering exercise their over-allotment option, as described in the Registration Statement. Holdings purchased 33,981 additional Private Placement Units in connection with the underwriters' partial exercise of their over-allotment option, with the remaining obligation to purchase 18,519 additional Private Placement Units being forfeited for no consideration. F9 · derivative.underlying: Holdings had an obligation to purchase up to an additional 52,500 Private Placement Units, including 52,500 Private Placement Shares and 10,500 Private Placement Warrants, to the extent the underwriters of the issuer's initial public offering exercise their over-allotment option, as described in the Registration Statement. Holdings purchased 33,981 additional Private Placement Units in connection with the underwriters' partial exercise of their over-allotment option, with the remaining obligation to purchase 18,519 additional Private Placement Units being forfeited for no consideration. F9 · balance_after: Holdings had an obligation to purchase up to an additional 52,500 Private Placement Units, including 52,500 Private Placement Shares and 10,500 Private Placement Warrants, to the extent the underwriters of the issuer's initial public offering exercise their over-allotment option, as described in the Registration Statement. Holdings purchased 33,981 additional Private Placement Units in connection with the underwriters' partial exercise of their over-allotment option, with the remaining obligation to purchase 18,519 additional Private Placement Units being forfeited for no consideration. F1 · ownership.direct: This Form 4 is being filed by Oaktree Acquisition Holdings III, LLC ("Holdings"). The managing member of Holdings is Oaktree Acquisition Holdings III LS GP, Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Capital Management GP, LLC ("Oaktree GP"). The sole managing member of Oaktree GP is Oaktree Capital Holdings, LLC ("OCH"). Oaktree Capital Group Holdings, L.P. ("OCGH") is the direct owner of all of the Class B units of OCH. Brookfield Corporation ("BN") and Brookfield Asset Management, Ltd. ("BAM" and, together with BN, "Brookfield") are the indirect owners of all of the Class A units of OCH. Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the general partner of OCGH. F2 · ownership.direct: (Continued from footnote 1) BAM Partners Trust (the "BAM Partnership") is the sole owner of class B Limited Voting Shares of each of BN and BAM. These shares provide the holder thereof with the right to elect one half of the board of directors of each of BN and BAM and, as such, may indirectly control the decisions of Brookfield regarding the votes and disposition of securities held of record by Holdings; therefore the BAM Partnership may be deemed to have indirect beneficial ownership of the Class B ordinary shares held of record by Holdings. F3 · ownership.direct: (Continued from footnote 2) Each reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 4. Read SEC document |
| October 30, 2024 Filed Oct 31, 2024 20:15 UTC | Oaktree Acquisition Corp. III Life Sciences OACC · Entity 6078 | ConversionPrivate placement warrants · Derivative | 6,796 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-119552 · ownership.xml · derivative · entry 3 Oaktree Acquisition Holdings III LS, LLC · CIK 0002037181 · 10% owner Oaktree Acquisition Holdings III LS GP, Ltd. · CIK 0002029774 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Capital Management GP, LLC · CIK 0001831013 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Brookfield Asset Management Ltd. · CIK 0001937926 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner Oaktree Capital Group Holdings, L.P. · CIK 0001403527 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 116,796 Underlying: Class A ordinary shares · 6,796 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. F7 · security: Represents Private Placement Warrants included in the 33,981 Private Placement Units purchased by Holdings in connection with the Private Placement. F8 · derivative.exercise_price: Each Private Placement Warrant is exercisable for cash or cashless, as described in the Registration Statement. Assuming an exercise for cash, 6,796 Private Placement Shares could be issued upon exercise of the Private Placement Warrants. The Private Placement Warrants expire five years after the completion of the issuer's initial business combination or earlier upon redemption or liquidation of the company, as described in the Registration Statement. F8 · kind: Each Private Placement Warrant is exercisable for cash or cashless, as described in the Registration Statement. Assuming an exercise for cash, 6,796 Private Placement Shares could be issued upon exercise of the Private Placement Warrants. The Private Placement Warrants expire five years after the completion of the issuer's initial business combination or earlier upon redemption or liquidation of the company, as described in the Registration Statement. F8 · price: Each Private Placement Warrant is exercisable for cash or cashless, as described in the Registration Statement. Assuming an exercise for cash, 6,796 Private Placement Shares could be issued upon exercise of the Private Placement Warrants. The Private Placement Warrants expire five years after the completion of the issuer's initial business combination or earlier upon redemption or liquidation of the company, as described in the Registration Statement. F8 · derivative.exercise_date: Each Private Placement Warrant is exercisable for cash or cashless, as described in the Registration Statement. Assuming an exercise for cash, 6,796 Private Placement Shares could be issued upon exercise of the Private Placement Warrants. The Private Placement Warrants expire five years after the completion of the issuer's initial business combination or earlier upon redemption or liquidation of the company, as described in the Registration Statement. F8 · derivative.expiration_date: Each Private Placement Warrant is exercisable for cash or cashless, as described in the Registration Statement. Assuming an exercise for cash, 6,796 Private Placement Shares could be issued upon exercise of the Private Placement Warrants. The Private Placement Warrants expire five years after the completion of the issuer's initial business combination or earlier upon redemption or liquidation of the company, as described in the Registration Statement. F8 · derivative.underlying: Each Private Placement Warrant is exercisable for cash or cashless, as described in the Registration Statement. Assuming an exercise for cash, 6,796 Private Placement Shares could be issued upon exercise of the Private Placement Warrants. The Private Placement Warrants expire five years after the completion of the issuer's initial business combination or earlier upon redemption or liquidation of the company, as described in the Registration Statement. F8 · balance_after: Each Private Placement Warrant is exercisable for cash or cashless, as described in the Registration Statement. Assuming an exercise for cash, 6,796 Private Placement Shares could be issued upon exercise of the Private Placement Warrants. The Private Placement Warrants expire five years after the completion of the issuer's initial business combination or earlier upon redemption or liquidation of the company, as described in the Registration Statement. F1 · ownership.direct: This Form 4 is being filed by Oaktree Acquisition Holdings III, LLC ("Holdings"). The managing member of Holdings is Oaktree Acquisition Holdings III LS GP, Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Capital Management GP, LLC ("Oaktree GP"). The sole managing member of Oaktree GP is Oaktree Capital Holdings, LLC ("OCH"). Oaktree Capital Group Holdings, L.P. ("OCGH") is the direct owner of all of the Class B units of OCH. Brookfield Corporation ("BN") and Brookfield Asset Management, Ltd. ("BAM" and, together with BN, "Brookfield") are the indirect owners of all of the Class A units of OCH. Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the general partner of OCGH. F2 · ownership.direct: (Continued from footnote 1) BAM Partners Trust (the "BAM Partnership") is the sole owner of class B Limited Voting Shares of each of BN and BAM. These shares provide the holder thereof with the right to elect one half of the board of directors of each of BN and BAM and, as such, may indirectly control the decisions of Brookfield regarding the votes and disposition of securities held of record by Holdings; therefore the BAM Partnership may be deemed to have indirect beneficial ownership of the Class B ordinary shares held of record by Holdings. F3 · ownership.direct: (Continued from footnote 2) Each reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 4. Read SEC document |
| October 30, 2024 Filed Oct 31, 2024 20:15 UTC | Oaktree Acquisition Corp. III Life Sciences OACC · Entity 6078 | OtherClass B ordinary shares · Derivative | 231,492 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-119552 · ownership.xml · derivative · entry 2 Oaktree Acquisition Holdings III LS, LLC · CIK 0002037181 · 10% owner Oaktree Acquisition Holdings III LS GP, Ltd. · CIK 0002029774 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Capital Management GP, LLC · CIK 0001831013 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Brookfield Asset Management Ltd. · CIK 0001937926 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner Oaktree Capital Group Holdings, L.P. · CIK 0001403527 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,799,758 Underlying: Class A ordinary shares · 231,492 shares Expires not disclosed F5 · security: As described in the Registration Statement under the heading "Description of Securities - Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination on a one-for-one basis or earlier at the option of the holder on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights, and have no expiration date. F5 · derivative.exercise_price: As described in the Registration Statement under the heading "Description of Securities - Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination on a one-for-one basis or earlier at the option of the holder on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights, and have no expiration date. F6 · kind: On October 30, 2024, the underwriters partially exercised the over-allotment option that was granted to them in connection with the issuer's initial public offering and purchased 1,699,029 additional public units. Concurrently, with the partial exercise of the over-allotment option, the underwriters also agreed to forfeit the portion of the over-allotment option that was not exercised and would have continued to be exercisable for 45 days from the date of the final prospectus related to the issuer's initial public offering. Based on the partial exercise of the over-allotment option, Holdings forfeited at no cost 231,492 Class B ordinary shares, as described in the Registration Statement. F5 · price: As described in the Registration Statement under the heading "Description of Securities - Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination on a one-for-one basis or earlier at the option of the holder on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights, and have no expiration date. F5 · derivative.exercise_date: As described in the Registration Statement under the heading "Description of Securities - Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination on a one-for-one basis or earlier at the option of the holder on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights, and have no expiration date. F5 · derivative.expiration_date: As described in the Registration Statement under the heading "Description of Securities - Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination on a one-for-one basis or earlier at the option of the holder on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights, and have no expiration date. F5 · derivative.underlying: As described in the Registration Statement under the heading "Description of Securities - Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination on a one-for-one basis or earlier at the option of the holder on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights, and have no expiration date. F5 · balance_after: As described in the Registration Statement under the heading "Description of Securities - Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination on a one-for-one basis or earlier at the option of the holder on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights, and have no expiration date. F1 · ownership.direct: This Form 4 is being filed by Oaktree Acquisition Holdings III, LLC ("Holdings"). The managing member of Holdings is Oaktree Acquisition Holdings III LS GP, Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Capital Management GP, LLC ("Oaktree GP"). The sole managing member of Oaktree GP is Oaktree Capital Holdings, LLC ("OCH"). Oaktree Capital Group Holdings, L.P. ("OCGH") is the direct owner of all of the Class B units of OCH. Brookfield Corporation ("BN") and Brookfield Asset Management, Ltd. ("BAM" and, together with BN, "Brookfield") are the indirect owners of all of the Class A units of OCH. Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the general partner of OCGH. F2 · ownership.direct: (Continued from footnote 1) BAM Partners Trust (the "BAM Partnership") is the sole owner of class B Limited Voting Shares of each of BN and BAM. These shares provide the holder thereof with the right to elect one half of the board of directors of each of BN and BAM and, as such, may indirectly control the decisions of Brookfield regarding the votes and disposition of securities held of record by Holdings; therefore the BAM Partnership may be deemed to have indirect beneficial ownership of the Class B ordinary shares held of record by Holdings. F3 · ownership.direct: (Continued from footnote 2) Each reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 4. Read SEC document |
| October 30, 2024 Filed Oct 31, 2024 20:15 UTC | Oaktree Acquisition Corp. III Life Sciences OACC · Entity 6078 | ConversionClass A ordinary shares | 33,981 | $10.00 | $339,810.00 |
DisclosureSEC source: 0000950170-24-119552 · ownership.xml · nonDerivative · entry 1 Oaktree Acquisition Holdings III LS, LLC · CIK 0002037181 · 10% owner Oaktree Acquisition Holdings III LS GP, Ltd. · CIK 0002029774 · 10% owner OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Capital Management GP, LLC · CIK 0001831013 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Brookfield Asset Management Ltd. · CIK 0001937926 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner Oaktree Capital Group Holdings, L.P. · CIK 0001403527 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 583,981 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. F4 · security: Represents Class A ordinary shares, par value $0.0001, of the issuer (the "Private Placement Shares") that are included in the 33,981 additional private placement units (the "Private Placement Units") purchased by Holdings from the issuer in a private placement at $10.00 per Private Placement Unit in connection with the partial over-allotment option exercise of the underwriters of the issuer's initial public offering (the "Private Placement"), as described in the issuer's registration statement on Form S-1 (File No. 333-282508) (the "Registration Statement"). Each Private Placement Unit is comprised of one Private Placement Share and one-fifth of one warrant (the "Private Placement Warrants"), each whole Private Placement Warrant exercisable to purchase one Private Placement Share. Does not represent any Private Placement Shares issuable upon the exercise of Private Placement Warrants. F4 · kind: Represents Class A ordinary shares, par value $0.0001, of the issuer (the "Private Placement Shares") that are included in the 33,981 additional private placement units (the "Private Placement Units") purchased by Holdings from the issuer in a private placement at $10.00 per Private Placement Unit in connection with the partial over-allotment option exercise of the underwriters of the issuer's initial public offering (the "Private Placement"), as described in the issuer's registration statement on Form S-1 (File No. 333-282508) (the "Registration Statement"). Each Private Placement Unit is comprised of one Private Placement Share and one-fifth of one warrant (the "Private Placement Warrants"), each whole Private Placement Warrant exercisable to purchase one Private Placement Share. Does not represent any Private Placement Shares issuable upon the exercise of Private Placement Warrants. F4 · shares: Represents Class A ordinary shares, par value $0.0001, of the issuer (the "Private Placement Shares") that are included in the 33,981 additional private placement units (the "Private Placement Units") purchased by Holdings from the issuer in a private placement at $10.00 per Private Placement Unit in connection with the partial over-allotment option exercise of the underwriters of the issuer's initial public offering (the "Private Placement"), as described in the issuer's registration statement on Form S-1 (File No. 333-282508) (the "Registration Statement"). Each Private Placement Unit is comprised of one Private Placement Share and one-fifth of one warrant (the "Private Placement Warrants"), each whole Private Placement Warrant exercisable to purchase one Private Placement Share. Does not represent any Private Placement Shares issuable upon the exercise of Private Placement Warrants. F1 · ownership.direct: This Form 4 is being filed by Oaktree Acquisition Holdings III, LLC ("Holdings"). The managing member of Holdings is Oaktree Acquisition Holdings III LS GP, Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Capital Management GP, LLC ("Oaktree GP"). The sole managing member of Oaktree GP is Oaktree Capital Holdings, LLC ("OCH"). Oaktree Capital Group Holdings, L.P. ("OCGH") is the direct owner of all of the Class B units of OCH. Brookfield Corporation ("BN") and Brookfield Asset Management, Ltd. ("BAM" and, together with BN, "Brookfield") are the indirect owners of all of the Class A units of OCH. Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the general partner of OCGH. F2 · ownership.direct: (Continued from footnote 1) BAM Partners Trust (the "BAM Partnership") is the sole owner of class B Limited Voting Shares of each of BN and BAM. These shares provide the holder thereof with the right to elect one half of the board of directors of each of BN and BAM and, as such, may indirectly control the decisions of Brookfield regarding the votes and disposition of securities held of record by Holdings; therefore the BAM Partnership may be deemed to have indirect beneficial ownership of the Class B ordinary shares held of record by Holdings. F3 · ownership.direct: (Continued from footnote 2) Each reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such reporting person is the beneficial owner of any Class B ordinary share covered by this Form 4. Read SEC document |
| June 10, 2024 Filed Jun 12, 2024 23:32 UTC | Runway Growth Finance Corp. RWAY · Entity 6030 | SaleCommon Stock, par value $0.01 per share | 400,000 | $11.90 | $4,760,000.00 |
DisclosureSEC source: 0000950170-24-072620 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Brookfield Oaktree Holdings, LLC · CIK 0001403528 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,779,668 F1 · ownership.direct: This Form 4 is being filed by (i) OCM Growth Holdings LLC, a Delaware limited liability company ("OCMGH") and the direct holder of the reported securities, (ii) Brookfield Oaktree Holdings, LLC, a Delaware LLC ("BOH"), in its capacity as the indirect manager of OCMGH; (iii) Oaktree Capital Group Holdings GP, LLC ("OCGHGP"), in its capacity as the indirect owner of class B units of BOH; (iv) Brookfield Corporation, a Canadian corporation ("BN"), in its capacity as the indirect owner of the class A units of BOH and (v) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BN. F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F3 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F4 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| May 14, 2024 Filed May 16, 2024 20:15 UTC | Runway Growth Finance Corp. RWAY · Entity 6030 | SaleCommon Stock, par value $0.01 per share | 4,312,500 | $11.50 | $49,593,750.00 |
DisclosureSEC source: 0000950170-24-061093 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Brookfield Oaktree Holdings, LLC · CIK 0001403528 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,179,668 F1 · price: On May 14, 2024, the Reporting Persons participated in a block trade in which they sold 4,312,500 shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer") for aggregate proceeds of $49,593,750 (the "Block Sale"). The Common Stock reported as sold includes 562,500 shares of Common Stock sold pursuant to the underwriters' exercise of an overallotment right. F2 · ownership.direct: Following the Block Sale, OCM Growth Holdings, LLC, a Delaware limited liability company ("OCMGH") directly owns 11,179,668 shares of Common Stock of the Issuer. F3 · ownership.direct: This Form 4 is being filed by (i) OCMGH; (ii) Brookfield Oaktree Holdings, LLC, a Delaware LLC ("BOH"), in its capacity as the indirect manager of OCMGH; (iii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGHGP"), in its capacity as the indirect owner of class B units of BOH; (iv) Brookfield Corporation, a Canadian corporation ("BN"), in its capacity as the indirect owner of the class A units of BOH and (v) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BN. F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F5 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| May 13, 2024 Filed May 15, 2024 21:36 UTC | BATTALION OIL CORP BATL · Entity 6921 | GrantSeries A-4 Redeemable Convertible Preferred Stock · Derivative | 6,376 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-24-026324 · form4.xml · derivative · entry 1 Brookfield Oaktree Holdings, LLC · CIK 0001403528 · Director · 10% owner Brookfield OCM Holdings II, LLC · CIK 0001407178 · Director · 10% owner Brookfield OCM Holdings, LLC · CIK 0001407181 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · Director · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · Director · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · Director · 10% owner OCM HLCN Holdings, L.P. · CIK 0001791870 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 6,376 Underlying: Common Stock · Not disclosed shares Expires not disclosed F6 · derivative.exercise_price: Pursuant to the Certificate of Designations contemplated by the Series A-4 Purchase Agreement (the "Series A-4 Certificate of Designations"), the conversion price of the Series A-4 Preferred Shares is $6.42 per share and is subject to adjustment for stock splits, combinations, certain distributions or similar events in accordance with the terms of the Series A-4 Certificate of Designations. F5 · price: Pursuant to a Purchase Agreement dated as of May 13, 2024 (the "Series A-4 Purchase Agreement"), on May 13, 2024 (the "Issuance Date"), OCM HLCN acquired from the Issuer 6,376 shares of Series A-4 Redeemable Convertible Preferred Stock of the Issuer, par value $0.0001 per share (the "Series A-4 Preferred Shares") convertible into shares of Common Stock for an aggregate purchase price of approximately $6.2 million. F7 · derivative.exercise_date: Subject to the terms and conditions of the Series A-4 Certificate of Designations, commencing on September 10, 2024, all or any portion of the Series A-4 Preferred Shares may be converted by OCM HLCN at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-4 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-4 Certificate of Designations) and (ii) the then-applicable conversion price. F8 · derivative.expiration_date: The Series A-4 Preferred Shares have no expiration date. If based on the Issuer's financial statements for any fiscal quarter and a reserve report as of the same date, as of such date: (x) the PDP PV-20 value (as determined in accordance with the Series A-4 Certificate of Designations) divided by (y) the number of outstanding shares of Common Stock, calculated on a fully diluted basis is equal to or exceeds 130% of the Conversion Price, then the Issuer may, from time to time until such time that the foregoing conditions are no longer satisfied or a Material Adverse Effect (as defined in the Series A-4 Purchase Agreement) has occurred since the date of the most financial statements that met the foregoing conditions, cause the conversion of all or any portion of the Series A-4 Preferred Shares into Common Stock using the then-applicable Conversion Ratio. F9 · derivative.expiration_date: The Series A-4 Preferred Shares are also subject to redemption by the Issuer at any time following the Issuance Date in accordance with the terms of the Series A-4 Certificate of Designations. In the event of a change of control transaction, the Series A-4 Preferred Shares are subject to redemption or conversion in accordance with the terms of the Series A-4 Certificate of Designations. F7 · derivative.underlying_shares: Subject to the terms and conditions of the Series A-4 Certificate of Designations, commencing on September 10, 2024, all or any portion of the Series A-4 Preferred Shares may be converted by OCM HLCN at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-4 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-4 Certificate of Designations) and (ii) the then-applicable conversion price. F1 · ownership.nature: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) OCM HLCN Holdings, L.P. ("OCM HLCN"), (ii) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of OCM HLCN, (iii) Oaktree Fund GP I, L.P. ("Fund GP I"), in its capacity as the managing member of Fund GP, (iv) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of Fund GP I, (v) Brookfield OCM Holdings II, LLC (f/k/a OCM Holdings I, LLC) ("Holdings II"), in its capacity as general partner of Capital I, (vi) Brookfield OCM Holdings, LLC (f/k/a Oaktree Holdings, LLC) ("Holdings LLC"), in its capacity as the managing member of Holdings II, (vii) Brookfield Oaktree Holdings, LLC (f/k/a Oaktree Capital Group, LLC) ("BOH"), in its capacity as managing member of Holdings LLC, (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of BOH, F2 · ownership.nature: (cont.) (ix) Brookfield Corporation ("Brookfield"), in its capacity as the indirect owner of class A units of BOH, and (x) BAM Partners Trust ("BAM Partnership"), in its capacity as the sole owner of class B limited voting shares of Brookfield. Brookfield Oaktree Holdings, LLC is managed by its ten-member board of directors. OCGH GP, in its capacity as the indirect owner of the class B units of BOH, and Brookfield, in its capacity as the indirect owner of the class A units of BOH, each have the ability to appoint and remove certain directors of BOH and, as such, may indirectly control the decisions of BOH regarding the vote and disposition of securities held by OCM HLCN. BAM Partnership, in its capacity as the sole owner of Class B Limited Voting Shares of Brookfield, has the ability to appoint and remove certain directors of Brookfield and, as such, may indirectly control the decisions of Brookfield regarding the vote and disposition of securities held by OCM HLCN. F3 · ownership.nature: (cont.) The securities reported herein are directly beneficially owned by OCM HLCN. F4 · ownership.nature: Each of the Reporting Persons expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of their respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. Read SEC document |
| May 13, 2024 Filed May 16, 2024 21:47 UTC Amendment | BATTALION OIL CORP BATL · Entity 6921 | GrantSeries A-4 Redeemable Convertible Preferred Stock · Derivative | 6,376 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-24-026529 · form4.xml · derivative · entry 1 Brookfield Oaktree Holdings, LLC · CIK 0001403528 · Director · 10% owner Brookfield OCM Holdings II, LLC · CIK 0001407178 · Director · 10% owner Brookfield OCM Holdings, LLC · CIK 0001407181 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · Director · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · Director · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · Director · 10% owner OCM HLCN Holdings, L.P. · CIK 0001791870 · Director · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 6,376 Underlying: Common Stock · Not disclosed shares Expires not disclosed F6 · derivative.exercise_price: Pursuant to the Certificate of Designations contemplated by the Series A-4 Purchase Agreement (the "Series A-4 Certificate of Designations"), the conversion price of the Series A-4 Preferred Shares is $6.42 per share and is subject to adjustment for stock splits, combinations, certain distributions or similar events in accordance with the terms of the Series A-4 Certificate of Designations. F5 · price: Pursuant to a Purchase Agreement dated as of May 13, 2024 (the "Series A-4 Purchase Agreement"), on May 13, 2024 (the "Issuance Date"), OCM HLCN acquired from the Issuer 6,376 shares of Series A-4 Redeemable Convertible Preferred Stock of the Issuer, par value $0.0001 per share (the "Series A-4 Preferred Shares") convertible into shares of Common Stock for an aggregate purchase price of approximately $6.2 million. F7 · derivative.exercise_date: Subject to the terms and conditions of the Series A-4 Certificate of Designations, commencing on September 10, 2024, all or any portion of the Series A-4 Preferred Shares may be converted by OCM HLCN at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-4 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-4 Certificate of Designations) and (ii) the then-applicable conversion price. F8 · derivative.expiration_date: The Series A-4 Preferred Shares have no expiration date. If based on the Issuer's financial statements for any fiscal quarter and a reserve report as of the same date, as of such date: (x) the PDP PV-20 value (as determined in accordance with the Series A-4 Certificate of Designations) divided by (y) the number of outstanding shares of Common Stock, calculated on a fully diluted basis is equal to or exceeds 130% of the Conversion Price, then the Issuer may, from time to time until such time that the foregoing conditions are no longer satisfied or a Material Adverse Effect (as defined in the Series A-4 Purchase Agreement) has occurred since the date of the most financial statements that met the foregoing conditions, cause the conversion of all or any portion of the Series A-4 Preferred Shares into Common Stock using the then-applicable Conversion Ratio. F9 · derivative.expiration_date: The Series A-4 Preferred Shares are also subject to redemption by the Issuer at any time following the Issuance Date in accordance with the terms of the Series A-4 Certificate of Designations. In the event of a change of control transaction, the Series A-4 Preferred Shares are subject to redemption or conversion in accordance with the terms of the Series A-4 Certificate of Designations. F7 · derivative.underlying_shares: Subject to the terms and conditions of the Series A-4 Certificate of Designations, commencing on September 10, 2024, all or any portion of the Series A-4 Preferred Shares may be converted by OCM HLCN at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-4 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-4 Certificate of Designations) and (ii) the then-applicable conversion price. F1 · ownership.nature: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) OCM HLCN Holdings, L.P. ("OCM HLCN"), (ii) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of OCM HLCN, (iii) Oaktree Fund GP I, L.P. ("Fund GP I"), in its capacity as the managing member of Fund GP, (iv) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of Fund GP I, (v) Brookfield OCM Holdings II, LLC (f/k/a OCM Holdings I, LLC) ("Holdings II"), in its capacity as general partner of Capital I, (vi) Brookfield OCM Holdings, LLC (f/k/a Oaktree Holdings, LLC) ("Holdings LLC"), in its capacity as the managing member of Holdings II, (vii) Brookfield Oaktree Holdings, LLC (f/k/a Oaktree Capital Group, LLC) ("BOH"), in its capacity as managing member of Holdings LLC, (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of BOH, F2 · ownership.nature: (cont.) (ix) Brookfield Corporation ("Brookfield"), in its capacity as the indirect owner of class A units of BOH, and (x) BAM Partners Trust ("BAM Partnership"), in its capacity as the sole owner of class B limited voting shares of Brookfield. Brookfield Oaktree Holdings, LLC is managed by its ten-member board of directors. OCGH GP, in its capacity as the indirect owner of the class B units of BOH, and Brookfield, in its capacity as the indirect owner of the class A units of BOH, each have the ability to appoint and remove certain directors of BOH and, as such, may indirectly control the decisions of BOH regarding the vote and disposition of securities held by OCM HLCN. BAM Partnership, in its capacity as the sole owner of Class B Limited Voting Shares of Brookfield, has the ability to appoint and remove certain directors of Brookfield and, as such, may indirectly control the decisions of Brookfield regarding the vote and disposition of securities held by OCM HLCN. F3 · ownership.nature: (cont.) The securities reported herein are directly beneficially owned by OCM HLCN. F4 · ownership.nature: Each of the Reporting Persons expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of their respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F10 · ownership.nature: Because of technical issues with its EDGAR filing codes, Brookfield was omitted as a Reporting Person on the Form 4 filed May 15, 2024 (the "Original Filing"), although Brookfield's indirect ownership was accurately described in footnotes 1, 2, 3 and 4 of the Original Filing. This amendment and restatement of the Original Filing is being filed solely to correct this omission. Read SEC document |
| April 24, 2024 Filed Apr 26, 2024 20:58 UTC | CBL & ASSOCIATES PROPERTIES INC CBL · Entity 1483 | SaleCommon Stock | 7,131 | $21.75 | $155,099.25 |
DisclosureSEC source: 0001140361-24-022545 · form4.xml · nonDerivative · entry 1 Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Value Opportunities Fund Holdings, L.P. · CIK 0001474241 · 10% owner OCM Xb CBL-E Holdings, LLC · CIK 0001892307 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Brookfield Oaktree Holdings, LLC · CIK 0001403528 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.75 to $21.77. The Reporting Persons undertake to provide to the Issuer, any security holders of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within this range. F2 · balance_after: The reported securities, which were previously received in a pro rata distribution exempt from reporting pursuant to Rule 16a-9, consisted of shares of Common Stock held by Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"). F4 · ownership.nature: Oaktree Capital Holdings, LLC (f/k/a Atlas OCM Holdings LLC) ("OCH") is the indirect manager of VOF Holdings, and therefore may be deemed to have indirect beneficial ownership of the shares of Common Stock held by VOF Holdings. Brookfield Oaktree Holdings, LLC (f/k/a Oaktree Capital Group, LLC) ("BOH") is the indirect manager of both VOF Holdings and Xb CBL-E. Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the indirect owner of the class B units of each of BOH and OCH. Brookfield Corporation ("BN") is the indirect owner of the class A units of each of BOH and OCH. BAM Partners Trust ("BAM Partnership") is the sole owner of Class B Limited Voting Shares of BN. As a result of the foregoing relationships, each of BOH, OCGH GP, BN, and BAM Partnership may be deemed to have indirect beneficial ownership of the shares of Common Stock held by VOF Holdings and Xb CBL-E. Read SEC document |
| March 27, 2024 Filed Mar 30, 2024 01:45 UTC | BATTALION OIL CORP BATL · Entity 6921 | GrantSeries A-3 Redeemable Convertible Preferred Stock · Derivative | 6,376 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-24-016726 · form4.xml · derivative · entry 1 Brookfield Oaktree Holdings, LLC · CIK 0001403528 · Director · 10% owner Brookfield OCM Holdings II, LLC · CIK 0001407178 · Director · 10% owner Brookfield OCM Holdings, LLC · CIK 0001407181 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · Director · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · Director · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · Director · 10% owner OCM HLCN Holdings, L.P. · CIK 0001791870 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · Director · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 6,376 Underlying: Common Stock · Not disclosed shares Expires not disclosed F6 · derivative.exercise_price: Pursuant to the Certificate of Designations contemplated by the Series A-3 Purchase Agreement (the "Series A-3 Certificate of Designations"), the conversion price of the Series A-3 Preferred Shares is $6.83 per share and is subject to adjustment for stock splits, combinations, certain distributions or similar events in accordance with the terms of the Series A-3 Certificate of Designations. F5 · price: Pursuant to a Purchase Agreement dated as of March 27, 2024 (the "Series A-3 Purchase Agreement"), on March 27, 2024 (the "Issuance Date"), OCM HLCN acquired from the Issuer 6,376 shares of Series A-3 Redeemable Convertible Preferred Stock of the Issuer, par value $0.0001 per share (the "Series A-3 Preferred Shares") convertible into shares of Common Stock for an aggregate purchase price of approximately $6.2 million. F7 · derivative.exercise_date: Subject to the terms and conditions of the Series A-3 Certificate of Designations, commencing on July 25, 2024, all or any portion of the Series A-3 Preferred Shares may be converted by OCM HLCN at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-3 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-3 Certificate of Designations) and (ii) the then-applicable conversion price. F8 · derivative.expiration_date: The Series A-3 Preferred Shares have no expiration date. If based on the Issuer's financial statements for any fiscal quarter and a reserve report as of the same date, as of such date: (x) the PDP PV-20 value (as determined in accordance with the Series A-3 Certificate of Designations) divided by (y) the number of outstanding shares of Common Stock, calculated on a fully diluted basis is equal to or exceeds 130% of the Conversion Price, then the Issuer may, from time to time until such time that the foregoing conditions are no longer satisfied or a Material Adverse Effect (as defined in the Series A-3 Purchase Agreement) has occurred since the date of the most financial statements that met the foregoing conditions, cause the conversion of all or any portion of the Series A-3 Preferred Shares into Common Stock using the then-applicable Conversion Ratio. F9 · derivative.expiration_date: The Series A-3 Preferred Shares are also subject to redemption by the Issuer at any time following the Issuance Date in accordance with the terms of the Series A-3 Certificate of Designations. In the event of a change of control transaction, the Series A-3 Preferred Shares are subject to redemption or conversion in accordance with the terms of the Series A-3 Certificate of Designations. F7 · derivative.underlying_shares: Subject to the terms and conditions of the Series A-3 Certificate of Designations, commencing on July 25, 2024, all or any portion of the Series A-3 Preferred Shares may be converted by OCM HLCN at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-3 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-3 Certificate of Designations) and (ii) the then-applicable conversion price. F1 · ownership.nature: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) OCM HLCN Holdings, L.P. ("OCM HLCN"), (ii) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of OCM HLCN, (iii) Oaktree Fund GP I, L.P. ("Fund GP I"), in its capacity as the managing member of Fund GP, (iv) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of Fund GP I, (v) Brookfield OCM Holdings II, LLC (f/k/a OCM Holdings I, LLC) ("Holdings II"), in its capacity as general partner of Capital I, (vi) Brookfield OCM Holdings, LLC (f/k/a Oaktree Holdings, LLC) ("Holdings LLC"), in its capacity as the managing member of Holdings II, (vii) Brookfield Oaktree Holdings, LLC (f/k/a Oaktree Capital Group, LLC) ("BOH"), in its capacity as managing member of Holdings LLC, (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of BOH, F2 · ownership.nature: (cont.) (ix) Brookfield Corporation ("Brookfield"), in its capacity as the indirect owner of class A units of BOH, and (x) BAM Partners Trust ("BAM Partnership"), in its capacity as the sole owner of class B limited voting shares of Brookfield. Brookfield Oaktree Holdings, LLC is managed by its ten-member board of directors. OCGH GP, in its capacity as the indirect owner of the class B units of BOH, and Brookfield, in its capacity as the indirect owner of the class A units of BOH, each have the ability to appoint and remove certain directors of BOH and, as such, may indirectly control the decisions of BOH regarding the vote and disposition of securities held by OCM HLCN. BAM Partnership, in its capacity as the sole owner of Class B Limited Voting Shares of Brookfield, has the ability to appoint and remove certain directors of Brookfield and, as such, may indirectly control the decisions of Brookfield regarding the vote and disposition of securities held by OCM HLCN. F3 · ownership.nature: (cont.) The securities reported herein are directly beneficially owned by OCM HLCN. F4 · ownership.nature: Each of the Reporting Persons expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of their respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. Read SEC document |
| March 18, 2024 Filed Mar 20, 2024 21:00 UTC | Runway Growth Finance Corp. RWAY · Entity 6030 | SaleCommon Stock, par value $0.01 per share | 1,000,000 | $11.33 | $11,330,000.00 |
DisclosureSEC source: 0000950170-24-034252 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Brookfield Oaktree Holdings, LLC · CIK 0001403528 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · Director · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,492,168 F1 · price: On March 18, 2024, the Reporting Persons participated in a block trade in which they sold 1,000,000 shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer") for aggregate proceeds of $11,330,000 (the "Block Sale"). F2 · ownership.direct: Following the Block Sale, OCM Growth Holdings, LLC, a Delaware limited liability company ("OCMGH") directly owns 15,492,168 shares of Common Stock of the Issuer and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware") directly owns 0 shares of Common Stock of the Issuer, and therefore this filing constitutes an exit filing for Fund Xb Delaware. F3 · ownership.direct: This Form 4 is being filed by (i) OCMGH; (ii) Fund Xb Delaware; (iii) Brookfield Oaktree Holdings, LLC (f/k/a Oaktree Capital Group, LLC), a Delaware LLC ("BOH"), in its capacity as the indirect manager of OCMGH and Fund Xb Delaware; (iv) Oaktree Capital Group Holdings GP, LLC ("OCGHGP"), in its capacity as the indirect owner of class B units of BOH; (v) Brookfield Corporation, a Canadian corporation ("BN"), in its capacity as the indirect owner of the class A units of BOH and (vi) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BN. F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F5 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| December 18, 2023 Filed Dec 20, 2023 02:30 UTC | Runway Growth Finance Corp. RWAY · Entity 6030 | SaleCommon Stock, par value $0.01 per share | 12,365 | $12.76 | $157,734.12 |
DisclosureSEC source: 0000950170-23-071709 · ownership.xml · nonDerivative · entry 2 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · Director · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,492,168 F1 · price: The reported price represents the volume-weighted average price ("VWAP") of shares sold. Full information regarding the number of shares of Common Stock sold at each separate price in the ranges reflected in footnotes 2 and 8 will be provided to the SEC, the Issuer or its shareholders upon request. F8 · price: The reported price represents the VWAP of shares sold. Sale prices for the reported transaction reported ranged between $12.72 and $12.83, inclusive. F3 · ownership.direct: Following the reported transactions, OCM Growth Holdings, LLC, a Delaware limited liability company ("OCMGH") directly owns 16,473,290 shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware") directly owns 18,878 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) OCMGH; (ii) Fund Xb Delaware; F4 · ownership.direct: (continued from footnote 2) (iii) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as the manager of OCMGH and Fund Xb Delaware; (iv) Oaktree Capital Group Holdings GP, LLC ("OCGHGP"), in its capacity as the indirect owner of class B units of OCG; (v) Brookfield Corporation, a Canadian corporation ("BN"), in its capacity as the indirect owner of the class A units of OCG and (vi) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BN. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| December 15, 2023 Filed Dec 20, 2023 02:30 UTC | Runway Growth Finance Corp. RWAY · Entity 6030 | SaleCommon Stock, par value $0.01 per share | 237,635 | $12.69 | $3,016,110.95 |
DisclosureSEC source: 0000950170-23-071709 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · Director · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,504,533 F1 · price: The reported price represents the volume-weighted average price ("VWAP") of shares sold. Full information regarding the number of shares of Common Stock sold at each separate price in the ranges reflected in footnotes 2 and 8 will be provided to the SEC, the Issuer or its shareholders upon request. F2 · price: The reported price represents the VWAP of shares sold. Sale prices for the reported transaction reported ranged between $12.68 and $12.85, inclusive. F3 · ownership.direct: Following the reported transactions, OCM Growth Holdings, LLC, a Delaware limited liability company ("OCMGH") directly owns 16,473,290 shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware") directly owns 18,878 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) OCMGH; (ii) Fund Xb Delaware; F4 · ownership.direct: (continued from footnote 2) (iii) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as the manager of OCMGH and Fund Xb Delaware; (iv) Oaktree Capital Group Holdings GP, LLC ("OCGHGP"), in its capacity as the indirect owner of class B units of OCG; (v) Brookfield Corporation, a Canadian corporation ("BN"), in its capacity as the indirect owner of the class A units of OCG and (vi) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BN. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| December 15, 2023 Filed Dec 20, 2023 02:00 UTC | BATTALION OIL CORP BATL · Entity 6921 | GrantSeries A-2 Redeemable Convertible Preferred Stock · Derivative | 11,159 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-058489 · form4.xml · derivative · entry 1 Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OCM HLCN Holdings, L.P. · CIK 0001791870 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,159 Underlying: Common Stock · Not disclosed shares Expires not disclosed F5 · derivative.exercise_price: Pursuant to the Certificate of Designations contemplated by the Series A-2 Purchase Agreement (the "Series A-2 Certificate of Designations"), the conversion price of the Series A-2 Preferred Shares is $6.21 per share and is subject to adjustment for stock splits, combinations, certain distributions or similar events in accordance with the terms of the Series A-2 Certificate of Designations. F4 · price: Pursuant to a Purchase Agreement dated as of December 15, 2023 (the "Series A-2 Purchase Agreement"), on December 15, 2023 (the "Issuance Date"), OCM HLCN acquired from the Issuer 11,159 shares of Series A-2 Redeemable Convertible Preferred Stock of the Issuer, par value $0.0001 per share ("Series A-2 Preferred Shares") convertible into shares of Common Stock for an aggregate purchase price of approximately $10.9 million. F6 · derivative.exercise_date: Subject to the terms and conditions of the Series A-2 Certificate of Designations, commencing on April 13, 2024, all or any portion of the Series A-2 Preferred Shares may be converted by OCM HLCN at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-2 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-2 Certificate of Designations) and (ii) the then-applicable conversion price. F7 · derivative.expiration_date: The Series A-2 Preferred Shares have no expiration date. If based on the Issuer's financial statements for any fiscal quarter and a reserve report as of the same date, as of such date: (x) the PDP PV-20 value (as determined in accordance with the Series A-2 Certificate of Designations) divided by (y) the number of outstanding shares of Common Stock, calculated on a fully diluted basis is equal to or exceeds 130% of the Conversion Price, then the Issuer may, from time to time until such time that the foregoing conditions are no longer satisfied or a Material Adverse Effect (as defined in the Series A-2 Purchase Agreement) has occurred since the date of the most financial statements that met the foregoing conditions, cause the conversion of all or any portion of the Series A-2 Preferred Shares into Common Stock using the then-applicable Conversion Ratio. F8 · derivative.expiration_date: The Series A-2 Preferred Shares are also subject to redemption by the Issuer at any time following the Issuance Date in accordance with the terms of the Series A-2 Certificate of Designations. In the event of a change of control transaction, the Series A-2 Preferred Shares are subject to redemption or conversion in accordance with the terms of the Series A-2 Certificate of Designations. F6 · derivative.underlying_shares: Subject to the terms and conditions of the Series A-2 Certificate of Designations, commencing on April 13, 2024, all or any portion of the Series A-2 Preferred Shares may be converted by OCM HLCN at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-2 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-2 Certificate of Designations) and (ii) the then-applicable conversion price. F1 · ownership.nature: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) OCM HLCN Holdings, L.P. ("OCM HLCN"), (ii) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of OCM HLCN, (iii) Oaktree Fund GP I, L.P. ("Fund GP I"), in its capacity as the managing member of Fund GP, (iv) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of Fund GP I, (v) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I, (vi) Oaktree Holdings, LLC ("Holdings LLC"), in its capacity as the managing member of Holdings I, (vii) Oaktree Capital Group, LLC ("OCG"), in its capacity as managing member of Holdings LLC, (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG, (ix) Brookfield Corporation ("Brookfield"), in its capacity as the indirect owner of class A units of OCG, and F2 · ownership.nature: (x) BAM Partners Trust ("BAM Partnership"), in its capacity as the sole owner of class B limited voting shares of Brookfield. Oaktree Capital Group, LLC is managed by its ten-member board of directors. OCGH GP, in its capacity as the indirect owner of the class B units of OCG, and Brookfield, in its capacity as the indirect owner of the class A units of OCG, each have the ability to appoint and remove certain directors of OCG and, as such, may indirectly control the decisions of OCG regarding the vote and disposition of securities held by OCM HLCN. BAM Partnership, in its capacity as the sole owner of Class B Limited Voting Shares of Brookfield, has the ability to appoint and remove certain directors of Brookfield and, as such, may indirectly control the decisions of Brookfield regarding the vote and disposition of securities held by OCM HLCN. The securities reported herein are directly beneficially owned by OCM HLCN. F3 · ownership.nature: Each of the Reporting Persons expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of their respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. Read SEC document |
| December 12, 2023 Filed Dec 15, 2023 02:49 UTC | Runway Growth Finance Corp. RWAY · Entity 6030 | SaleCommon Stock, par value $0.01 per share | 562,500 | $12.06 | $6,782,400.00 |
DisclosureSEC source: 0000950170-23-070554 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · Director · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,742,168 F1 · balance_after: On December 12, 2023, OCMGH (as defined in Note 3 below), and Fund Xb Delaware (as defined in Note 3 below), sold 561,856 and 644 shares of the Issuer, respectively, in connection with the underwriters exercise of the overallotment option pursuant to an underwriting agreement by and among OCMGH, Fund Xb Delaware, the Issuer, and the underwriters party thereto. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("OCMGH"), directly owns 16,723,004 shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Oaktree Opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware"), directly owns 19,164 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) OCMGH; (ii) Fund Xb Delaware; F3 · ownership.direct: (continued from footnote 2) (iii) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as the manager of OCMGH and Fund Xb Delaware; (iv) Oaktree Capital Group Holdings GP, LLC ("OCGHGP"), in its capacity as the indirect owner of class B units of OCG; (v) Brookfield Corporation, a Canadian corporation ("BN"), in its capacity as the indirect owner of the class A units of OCG and (vi) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BN. F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F5 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| November 13, 2023 Filed Nov 15, 2023 21:57 UTC | Runway Growth Finance Corp. RWAY · Entity 6030 | SaleCommon Stock, par value $0.01 per share | 3,750,000 | $12.06 | $45,216,000.00 |
DisclosureSEC source: 0000950170-23-064328 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,304,668 F1 · balance_after: Includes shares acquired pursuant to the issuer's dividend reinvestment plan. F2 · balance_after: On November 13, 2023, OCMGH (as defined in Note 3 below), and Fund Xb Delaware (as defined in Note 3 below), sold 3,745,708 and 4,292 shares of the Issuer, respectively, pursuant to an underwriting agreement by and among OCMGH, Fund Xb Delaware, the Issuer, and the underwriters party thereto. F3 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 17,284,860 shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Oaktree Opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware"), directly owns 19,808 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) OCMGH; (ii) Fund Xb Delaware; F4 · ownership.direct: (continued from footnote 3) (iii) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as the manager of OCMGH and Fund Xb Delaware; (iv) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of class B units of OCG; (v) Brookfield Corporation, a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and (vi) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| November 13, 2023 Filed Nov 16, 2023 22:46 UTC Amendment | Runway Growth Finance Corp. RWAY · Entity 6030 | SaleCommon Stock, par value $0.01 per share | 3,750,000 | $12.06 | $45,216,000.00 |
DisclosureSEC source: 0000950170-23-064585 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · Director · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,304,668 F1 · balance_after: Includes shares acquired pursuant to the issuer's dividend reinvestment plan. F2 · balance_after: On November 13, 2023, OCMGH (as defined in Note 3 below), and Fund Xb Delaware (as defined in Note 3 below), sold 3,745,708 and 4,292 shares of the Issuer, respectively, pursuant to an underwriting agreement by and among OCMGH, Fund Xb Delaware, the Issuer, and the underwriters party thereto. F3 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 17,284,860 shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer").Oaktree Opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware"), directly owns 19,808 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) OCMGH; (ii) Fund Xb Delaware; F4 · ownership.direct: (continued from footnote 3) (iii) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as the manager of OCMGH and Fund Xb Delaware; (iv) Oaktree Capital Group Holdings GP, LLC ("OCGHGP"), in its capacity as the indirect owner of class B units of OCG; (v) Brookfield Corporation, a Canadian corporation ("BN"), in its capacity as the indirect owner of the class A units of OCG and (vi) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BN. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. F8 · ownership.direct: This amendment and restatement of the Form 4 filed November 15, 2023 (the "Original Filing") is being filed solely to correct the omission of BN and BAM Partners Trust as reporting persons. Their indirect ownership was accurately described in footnotes 4 and 5 of the Original Filing. Read SEC document |
| September 06, 2023 Filed Sep 8, 2023 17:58 UTC | BATTALION OIL CORP BATL · Entity 6921 | GrantSeries A-1 Redeemable Convertible Preferred Stock · Derivative | 9,921 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-043339 · form4.xml · derivative · entry 1 Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OCM HLCN Holdings, L.P. · CIK 0001791870 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 9,921 Underlying: Common Stock · Not disclosed shares Expires not disclosed F5 · derivative.exercise_price: Pursuant to the Certificate of Designations contemplated by the Series A-1 Purchase Agreement (the "Series A-1 Certificate of Designations"), the conversion price of the Series A-1 Preferred Shares is $7.63 per share and is subject to adjustment for stock splits, combinations, certain distributions or similar events in accordance with the terms of the Series A-1 Certificate of Designations. F4 · price: Pursuant to a Purchase Agreement dated as of September 6, 2023 (the "Series A-1 Purchase Agreement"), on September 6, 2023 (the "Issuance Date"), OCM HLCN acquired from the Issuer 9,921 shares of Series A-1 Redeemable Convertible Preferred Stock of the Issuer, par value $0.0001 per share ("Series A-1 Preferred Shares") convertible into shares of Common Stock for an aggregate purchase price of approximately $9.7 million. F6 · derivative.exercise_date: Subject to the terms and conditions of the Series A-1 Certificate of Designations, all or any portion of the Series A-1 Preferred Shares may be converted by OCM HLCN at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-1 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-1 Certificate of Designations) and (ii) the then-applicable conversion price. F7 · derivative.expiration_date: The Series A-1 Preferred Shares have no expiration date. If based on the Issuer's financial statements for any fiscal quarter and a reserve report as of the same date, as of such date: (x) the PDP PV-20 value (as determined in accordance with the Series A-1 Certificate of Designations) divided by (y) the number of outstanding shares of Common Stock, calculated on a fully diluted basis is equal to or exceeds 130% of the Conversion Price, then the Issuer may, from time to time until such time that the foregoing conditions are no longer satisfied or a Material Adverse Effect (as defined in the Series A-1 Purchase Agreement) has occurred since the date of the most financial statements that met the foregoing conditions, cause the conversion of all or any portion of the Series A-1 Preferred Shares into Common Stock using the then-applicable Conversion Ratio. F8 · derivative.expiration_date: The Series A-1 Preferred Shares are also subject to redemption by the Issuer at any time following the Issuance Date in accordance with the terms of the Series A-1 Certificate of Designations. In the event of a change of control transaction, the Series A-1 Preferred Shares are subject to redemption or conversion in accordance with the terms of the Series A-1 Certificate of Designations. F6 · derivative.underlying_shares: Subject to the terms and conditions of the Series A-1 Certificate of Designations, all or any portion of the Series A-1 Preferred Shares may be converted by OCM HLCN at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-1 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-1 Certificate of Designations) and (ii) the then-applicable conversion price. F1 · ownership.nature: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) OCM HLCN Holdings, L.P. ("OCM HLCN"), (ii) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of OCM HLCN, (iii) Oaktree Fund GP I, L.P. ("Fund GP I"), in its capacity as the managing member of Fund GP, (iv) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of Fund GP I, (v) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I, (vi) Oaktree Holdings, LLC ("Holdings LLC"), in its capacity as the managing member of Holdings I, (vii) Oaktree Capital Group, LLC ("OCG"), in its capacity as managing member of Holdings LLC, (viii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG, (ix) Brookfield Corporation ("Brookfield"), in its capacity as the indirect owner of class A units of OCG, and F2 · ownership.nature: (x) BAM Partners Trust ("BAM Partnership"), in its capacity as the sole owner of class B limited voting shares of Brookfield. Oaktree Capital Group, LLC is managed by its ten-member board of directors. OCGH GP, in its capacity as the indirect owner of the class B units of OCG, and Brookfield, in its capacity as the indirect owner of the class A units of OCG, each have the ability to appoint and remove certain directors of OCG and, as such, may indirectly control the decisions of OCG regarding the vote and disposition of securities held by OCM HLCN. BAM Partnership, in its capacity as the sole owner of Class B Limited Voting Shares of Brookfield, has the ability to appoint and remove certain directors of Brookfield and, as such, may indirectly control the decisions of Brookfield regarding the vote and disposition of securities held by OCM HLCN. The securities reported herein are directly beneficially owned by OCM HLCN. F3 · ownership.nature: Each of the Reporting Persons expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of their respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. Read SEC document |
| June 22, 2023 Filed Jun 23, 2023 17:04 UTC | Eagle Bulk Shipping Inc. EGLE · Entity 92053 | SaleCommon Stock, par value $0.01 per share ("Common Stock") | 3,781,561 | $58.00 | $219,330,538.00 |
DisclosureSEC source: 0000950142-23-001790 · es230372886_4-egle.xml · nonDerivative · entry 1 OCM Opps EB Holdings Ltd. · CIK 0001623261 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · price: On June 22, 2023, OCM Opps EB Holdings Ltd. (the "EB Holdings") entered into a securities purchase agreement (the "Securities Purchase Agreement") with Eagle Bulk Shipping Inc. (the "Company"), pursuant to which the Company agreed to purchase 3,781,561 shares of the Company's common stock, par value $0.1 per share (the "Common Stock") (the "Purchased Shares") from EB Holdings at an aggregate purchase price of $219,330,538.00 (the "Purchase Price"), representing a purchase price of $58.00 per share. The Purchased Shares constitute all of the Common Stock of the Company owned by EB Holdings. F2 · ownership.nature: This Form 4 is being filed by EB Holdings with respect to the Common Stock, that may be deemed to be beneficially owned by the Reporting Persons (as defined below) all of which are directly owned by EB Holdings. This Form 4 is also being filed by each of (i) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of EB Holdings, (ii) Oaktree Fund GP I, L.P. ("GP I"), in its capacity as the managing member of Fund GP, (iii) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of GP I, (iv) OCM Holdings I, LLC ("Holdings I"), in its capacity as the general partner of Capital I, (v) Oaktree Holdings, LLC ("Holdings"), in its capacity as the managing member of Holdings I, (vi) Oaktree Capital Group, LLC ("OCG"), in its capacity as the managing member of Holdings, (vii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as (cont'd in FN 3) F3 · ownership.nature: (cont'd from FN 2) the indirect owner of the class B units of OCG, (viii) Brookfield Corporation ("Brookfield"), in its capacity as the indirect owner of the class A units of OCG and (ix) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of Brookfield ("BAM," and, together with EB Holdings, Fund GP, GP I, Capital I, Holdings I, Holdings, OCG, OCGH GP and Brookfield, the "Reporting Persons" and each a "Reporting Person"). F4 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the Common Stock reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any Common Stock covered by this Form 4. F5 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by EB Holdings. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of any shares of common stock beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. Read SEC document |
| June 14, 2023 Filed Jun 23, 2023 12:28 UTC | Sitio Royalties Corp. STR · Entity 15067 | OtherSitio Royalties Operating Partnership, LP Units · Derivative | 2,508,490 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950142-23-001787 · es230370766_4-sitio2.xml · derivative · entry 2 Atlas OCM Holdings, LLC · CIK 0001790787 · 10% owner Source Energy Partners, LLC · CIK 0001708926 · 10% owner OCM Source Holdings, L.P. · CIK 0001892149 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 2,508,490 Underlying: Class A Common Stock · 2,508,490 shares Expires not disclosed F1 · derivative.exercise_price: On June 14, 2023, pursuant to the Contribution Agreement, dated as of June 14, 2023 (the "Contribution Agreement"), Sitio Royalties Corp. (the "Issuer") issued to (i) Source Energy Permian II, LLC ("Source") 5,610 shares of Class C Common Stock of the Issuer, par value $0.0001 per share ("Class C Common Stock") and (ii) Sierra Energy Royalties, LLC ("Sierra") 2,502,880 of Class C Common Stock. F2 · price: The terms of the Second Amendment to Second Amended and Restated Agreement of Limited Partnership of Sitio Royalties Operating Partnership, L.P. ("Opco") provide that, subject to certain restrictions contained therein, each holder of Opco Units (other than the Issuer) generally has the right to cause Opco to redeem all or a portion of its Opco Units (the "Redemption Right") in exchange for shares of Class A Common Stock of the Issuer ("Class A Common Stock") on a one-for-one basis or, at Opco's election, an equivalent amount of cash. The Issuer may, at its option, effect a direct purchase of such Opco Units for shares of Class A Common Stock in lieu of such a redemption by Opco. Upon the future redemption or sale of Opco Units pursuant to the Redemption Right, a corresponding number of shares of Class C Common Stock and Opco Units will be cancelled. The Opco Units and the right to exercise the Redemption Right have no expiration date. F2 · derivative.exercise_date: The terms of the Second Amendment to Second Amended and Restated Agreement of Limited Partnership of Sitio Royalties Operating Partnership, L.P. ("Opco") provide that, subject to certain restrictions contained therein, each holder of Opco Units (other than the Issuer) generally has the right to cause Opco to redeem all or a portion of its Opco Units (the "Redemption Right") in exchange for shares of Class A Common Stock of the Issuer ("Class A Common Stock") on a one-for-one basis or, at Opco's election, an equivalent amount of cash. The Issuer may, at its option, effect a direct purchase of such Opco Units for shares of Class A Common Stock in lieu of such a redemption by Opco. Upon the future redemption or sale of Opco Units pursuant to the Redemption Right, a corresponding number of shares of Class C Common Stock and Opco Units will be cancelled. The Opco Units and the right to exercise the Redemption Right have no expiration date. F2 · derivative.expiration_date: The terms of the Second Amendment to Second Amended and Restated Agreement of Limited Partnership of Sitio Royalties Operating Partnership, L.P. ("Opco") provide that, subject to certain restrictions contained therein, each holder of Opco Units (other than the Issuer) generally has the right to cause Opco to redeem all or a portion of its Opco Units (the "Redemption Right") in exchange for shares of Class A Common Stock of the Issuer ("Class A Common Stock") on a one-for-one basis or, at Opco's election, an equivalent amount of cash. The Issuer may, at its option, effect a direct purchase of such Opco Units for shares of Class A Common Stock in lieu of such a redemption by Opco. Upon the future redemption or sale of Opco Units pursuant to the Redemption Right, a corresponding number of shares of Class C Common Stock and Opco Units will be cancelled. The Opco Units and the right to exercise the Redemption Right have no expiration date. F3 · ownership.nature: This Form 4 is being filed jointly by (each "Reporting Person" and, collectively, the "Reporting Persons") (i) Source, as the direct holder of securities, (ii) Sierra, as the direct holder of securities, (iii) Sierra Energy Intermediate, LLC ("Sierra Intermediate") in its capacity as the sole member of Source and the sole member of Sierra, (iv) Sierra Energy Holdings, LLC ("Sierra Holdings"), in its capacity as the sole member of Sierra Intermediate, (v) Opps XI PVDC PT, L.P. ("Opps XI"), in its capacity as the majority equity holder of Sierra Holdings, (vi) Oaktree Fund AIF Series (Cayman), L.P. ("Oaktree Fund AIF Series"), in its capacity as the general partner of Opps XI, (vii) Oaktree AIF (Cayman) GP Ltd. ("Oaktree AIF"), in its capacity as the general partner of Oaktree Fund AIF Series, (viii) OCM FIE, LLC ("FIE"), as the direct holder of securities, (ix) Oaktree Capital Management, L.P. ("Management"), in its capacity as the director of Oaktree AIF GP (cont'd in FN 4), F4 · ownership.nature: (cont'd from FN 3) and the managing member of FIE, (x) Oaktree Capital Management GP, LLC ("Management GP"), in its capacity as the general partner of Management, (xi) Atlas OCM Holdings LLC ("Atlas"), in its capacity as the sole managing member of Management GP, (xii) Source Energy Partners, LLC ("Source Energy"), as the direct holder of securities, (xiii) OCM Source Holdings, L.P. ("OCM Source"), in its capacity as the sole owner of Series A Units of Source Energy, (ix) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of OCM Source, (xv) Oaktree Fund GP I, L.P. ("GP I"), in its capacity as the managing member of Fund GP, (xvi) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of GP I, (xvii) OCM Holdings I, LLC ("Holdings I"), in its capacity as the (cont'd in FN 5) F5 · ownership.nature: (cont'd from FN 4) general partner of Capital I, (xviii) Oaktree Holdings, LLC ("Holdings"), in its capacity as the managing member of Holdings I, (xix) Oaktree Capital Group, LLC ("OCG"), in its capacity as the managing member of Holdings, (xx) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the indirect owner of the class B units of OCG and Atlas, (xxi) Brookfield Corporation ("Brookfield"), in its capacity as the indirect owner of the class A units of OCG, (xxii) Brookfield Asset Management ULC ("Brookfield ULC"), in its capacity as the indirect owner of the class A units of Atlas and (xxiii) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of Brookfield. F6 · ownership.nature: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock and Series A Preferred Stock reported herein. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of the securities reported herein beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. Read SEC document |
| June 14, 2023 Filed Jun 23, 2023 12:28 UTC | Sitio Royalties Corp. STR · Entity 15067 | OtherClass C Common Stock | 2,508,490 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950142-23-001787 · es230370766_4-sitio2.xml · nonDerivative · entry 1 Atlas OCM Holdings, LLC · CIK 0001790787 · 10% owner Source Energy Partners, LLC · CIK 0001708926 · 10% owner OCM Source Holdings, L.P. · CIK 0001892149 · 10% owner Oaktree Fund GP, LLC · CIK 0001499005 · 10% owner OAKTREE FUND GP I, L.P. · CIK 0001402746 · 10% owner Oaktree Capital I, L.P. · CIK 0001403530 · 10% owner OCM HOLDINGS I, LLC · CIK 0001407178 · 10% owner OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,443,610 F1 · price: On June 14, 2023, pursuant to the Contribution Agreement, dated as of June 14, 2023 (the "Contribution Agreement"), Sitio Royalties Corp. (the "Issuer") issued to (i) Source Energy Permian II, LLC ("Source") 5,610 shares of Class C Common Stock of the Issuer, par value $0.0001 per share ("Class C Common Stock") and (ii) Sierra Energy Royalties, LLC ("Sierra") 2,502,880 of Class C Common Stock. F1 · balance_after: On June 14, 2023, pursuant to the Contribution Agreement, dated as of June 14, 2023 (the "Contribution Agreement"), Sitio Royalties Corp. (the "Issuer") issued to (i) Source Energy Permian II, LLC ("Source") 5,610 shares of Class C Common Stock of the Issuer, par value $0.0001 per share ("Class C Common Stock") and (ii) Sierra Energy Royalties, LLC ("Sierra") 2,502,880 of Class C Common Stock. F3 · ownership.direct: This Form 4 is being filed jointly by (each "Reporting Person" and, collectively, the "Reporting Persons") (i) Source, as the direct holder of securities, (ii) Sierra, as the direct holder of securities, (iii) Sierra Energy Intermediate, LLC ("Sierra Intermediate") in its capacity as the sole member of Source and the sole member of Sierra, (iv) Sierra Energy Holdings, LLC ("Sierra Holdings"), in its capacity as the sole member of Sierra Intermediate, (v) Opps XI PVDC PT, L.P. ("Opps XI"), in its capacity as the majority equity holder of Sierra Holdings, (vi) Oaktree Fund AIF Series (Cayman), L.P. ("Oaktree Fund AIF Series"), in its capacity as the general partner of Opps XI, (vii) Oaktree AIF (Cayman) GP Ltd. ("Oaktree AIF"), in its capacity as the general partner of Oaktree Fund AIF Series, (viii) OCM FIE, LLC ("FIE"), as the direct holder of securities, (ix) Oaktree Capital Management, L.P. ("Management"), in its capacity as the director of Oaktree AIF GP (cont'd in FN 4), F4 · ownership.direct: (cont'd from FN 3) and the managing member of FIE, (x) Oaktree Capital Management GP, LLC ("Management GP"), in its capacity as the general partner of Management, (xi) Atlas OCM Holdings LLC ("Atlas"), in its capacity as the sole managing member of Management GP, (xii) Source Energy Partners, LLC ("Source Energy"), as the direct holder of securities, (xiii) OCM Source Holdings, L.P. ("OCM Source"), in its capacity as the sole owner of Series A Units of Source Energy, (ix) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of OCM Source, (xv) Oaktree Fund GP I, L.P. ("GP I"), in its capacity as the managing member of Fund GP, (xvi) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of GP I, (xvii) OCM Holdings I, LLC ("Holdings I"), in its capacity as the (cont'd in FN 5) F5 · ownership.direct: (cont'd from FN 4) general partner of Capital I, (xviii) Oaktree Holdings, LLC ("Holdings"), in its capacity as the managing member of Holdings I, (xix) Oaktree Capital Group, LLC ("OCG"), in its capacity as the managing member of Holdings, (xx) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the indirect owner of the class B units of OCG and Atlas, (xxi) Brookfield Corporation ("Brookfield"), in its capacity as the indirect owner of the class A units of OCG, (xxii) Brookfield Asset Management ULC ("Brookfield ULC"), in its capacity as the indirect owner of the class A units of Atlas and (xxiii) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of Brookfield. F6 · ownership.direct: The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of Common Stock and Series A Preferred Stock reported herein. Each of the general partners, managing members, directors and managers described above disclaims beneficial ownership of the securities reported herein beneficially or of record owned by the Reporting Persons, except to the extent of any pecuniary interest therein. Read SEC document |
| June 12, 2023 Filed Jun 14, 2023 20:10 UTC | Garrett Motion Inc. GTX,GTXAP · Entity 1720 | Exercise / conversionSeries A Cumulative Convertible Preferred Stock · Derivative | 920,580 | Not disclosed Strike: $5.25 | Not disclosed |
DisclosureSEC source: 0000899243-23-015526 · doc4.xml · derivative · entry 6 OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Atlas OCM Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Phoenix Investment Fund, L.P. · CIK 0001815055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 920,580 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. F6 · derivative.exercise_price: On the Conversion Date, each share of Series A Preferred Stock was automatically converted into one share of Common Stock pursuant to the terms of the Certificate of Designations. F1 · kind: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · kind: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · kind: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F1 · shares: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · shares: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · shares: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F1 · price: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · price: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · price: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F6 · derivative.exercise_date: On the Conversion Date, each share of Series A Preferred Stock was automatically converted into one share of Common Stock pursuant to the terms of the Certificate of Designations. F6 · derivative.expiration_date: On the Conversion Date, each share of Series A Preferred Stock was automatically converted into one share of Common Stock pursuant to the terms of the Certificate of Designations. F4 · ownership.nature: These shares of Common Stock are beneficially owned by Oaktree Capital Management, L.P. ("Management"), GTM Holdings and Phoenix as a result of being the investment managers of certain private investment funds that directly hold Common Stock, including VOF Holdings, Oaktree Value Opportunities Fund GP, L.P. ("VOF GP"), as general partner of VOF Holdings, Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd."), as general partner of VOF GP, Oaktree Fund GP, LLC ("Fund GP"), as manager of GTM Holdings, Oaktree Fund GP I, L.P. ("GP I"), as managing member of Fund GP, Oaktree Capital I, L.P. ("Capital I"), as general partner of GP I, OCM Holdings I, LLC ("Holdings I"), as general partner of Capital I and holder of limited partnership interests in Capital I, Oaktree Holdings LLC ("Holdings"), as managing member of Holdings I, Oaktree Capital Management GP, LLC ("Management GP"), as general partner of Management, Atlas OCM Holdings LLC ("Atlas"), F5 · ownership.nature: (Continued from footnote 4) as managing member of Management GP, Oaktree Capital Group, LLC ("OCG"), as managing member of Holdings, Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of each of OCG and Atlas, Brookfield Corporation ("BC"), as indirect owner of the class A units of OCG, and BAM Partners Trust (the "BAM Partnership"), as sole owner of the Class B Limited Voting Shares of BC. BAM Class B Partners Inc. ("BAM Partners") is the trustee of the BAM Partnership. Brookfield Asset Management ULC as indirect owner of Class A units of Atlas OCM Holdings, LLC, Oaktree Phoenix Investment Fund GP, L.P. and Oaktree Phoenix Investment Fund GP Ltd. as general partners of Phoenix. Such entities expressly disclaim beneficial ownership of the shares held of record by VOF Holdings, GTM Holdings and Phoenix, except to the extent of any proportionate pecuniary interest therein. Read SEC document |
| June 12, 2023 Filed Jun 14, 2023 20:10 UTC | Garrett Motion Inc. GTX,GTXAP · Entity 1720 | Exercise / conversionSeries A Cumulative Convertible Preferred Stock · Derivative | 25,428,298 | Not disclosed Strike: $5.25 | Not disclosed |
DisclosureSEC source: 0000899243-23-015526 · doc4.xml · derivative · entry 5 OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Atlas OCM Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Phoenix Investment Fund, L.P. · CIK 0001815055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 25,428,298 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. F6 · derivative.exercise_price: On the Conversion Date, each share of Series A Preferred Stock was automatically converted into one share of Common Stock pursuant to the terms of the Certificate of Designations. F1 · kind: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · kind: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · kind: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F1 · shares: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · shares: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · shares: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F1 · price: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · price: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · price: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F6 · derivative.exercise_date: On the Conversion Date, each share of Series A Preferred Stock was automatically converted into one share of Common Stock pursuant to the terms of the Certificate of Designations. F6 · derivative.expiration_date: On the Conversion Date, each share of Series A Preferred Stock was automatically converted into one share of Common Stock pursuant to the terms of the Certificate of Designations. F4 · ownership.nature: These shares of Common Stock are beneficially owned by Oaktree Capital Management, L.P. ("Management"), GTM Holdings and Phoenix as a result of being the investment managers of certain private investment funds that directly hold Common Stock, including VOF Holdings, Oaktree Value Opportunities Fund GP, L.P. ("VOF GP"), as general partner of VOF Holdings, Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd."), as general partner of VOF GP, Oaktree Fund GP, LLC ("Fund GP"), as manager of GTM Holdings, Oaktree Fund GP I, L.P. ("GP I"), as managing member of Fund GP, Oaktree Capital I, L.P. ("Capital I"), as general partner of GP I, OCM Holdings I, LLC ("Holdings I"), as general partner of Capital I and holder of limited partnership interests in Capital I, Oaktree Holdings LLC ("Holdings"), as managing member of Holdings I, Oaktree Capital Management GP, LLC ("Management GP"), as general partner of Management, Atlas OCM Holdings LLC ("Atlas"), F5 · ownership.nature: (Continued from footnote 4) as managing member of Management GP, Oaktree Capital Group, LLC ("OCG"), as managing member of Holdings, Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of each of OCG and Atlas, Brookfield Corporation ("BC"), as indirect owner of the class A units of OCG, and BAM Partners Trust (the "BAM Partnership"), as sole owner of the Class B Limited Voting Shares of BC. BAM Class B Partners Inc. ("BAM Partners") is the trustee of the BAM Partnership. Brookfield Asset Management ULC as indirect owner of Class A units of Atlas OCM Holdings, LLC, Oaktree Phoenix Investment Fund GP, L.P. and Oaktree Phoenix Investment Fund GP Ltd. as general partners of Phoenix. Such entities expressly disclaim beneficial ownership of the shares held of record by VOF Holdings, GTM Holdings and Phoenix, except to the extent of any proportionate pecuniary interest therein. Read SEC document |
| June 12, 2023 Filed Jun 14, 2023 20:10 UTC | Garrett Motion Inc. GTX,GTXAP · Entity 1720 | Exercise / conversionSeries A Cumulative Convertible Preferred Stock · Derivative | 6,955,912 | Not disclosed Strike: $5.25 | Not disclosed |
DisclosureSEC source: 0000899243-23-015526 · doc4.xml · derivative · entry 4 OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Atlas OCM Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Phoenix Investment Fund, L.P. · CIK 0001815055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 6,955,912 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. F6 · derivative.exercise_price: On the Conversion Date, each share of Series A Preferred Stock was automatically converted into one share of Common Stock pursuant to the terms of the Certificate of Designations. F1 · kind: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · kind: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · kind: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F1 · shares: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · shares: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · shares: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F1 · price: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · price: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · price: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F6 · derivative.exercise_date: On the Conversion Date, each share of Series A Preferred Stock was automatically converted into one share of Common Stock pursuant to the terms of the Certificate of Designations. F6 · derivative.expiration_date: On the Conversion Date, each share of Series A Preferred Stock was automatically converted into one share of Common Stock pursuant to the terms of the Certificate of Designations. F4 · ownership.nature: These shares of Common Stock are beneficially owned by Oaktree Capital Management, L.P. ("Management"), GTM Holdings and Phoenix as a result of being the investment managers of certain private investment funds that directly hold Common Stock, including VOF Holdings, Oaktree Value Opportunities Fund GP, L.P. ("VOF GP"), as general partner of VOF Holdings, Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd."), as general partner of VOF GP, Oaktree Fund GP, LLC ("Fund GP"), as manager of GTM Holdings, Oaktree Fund GP I, L.P. ("GP I"), as managing member of Fund GP, Oaktree Capital I, L.P. ("Capital I"), as general partner of GP I, OCM Holdings I, LLC ("Holdings I"), as general partner of Capital I and holder of limited partnership interests in Capital I, Oaktree Holdings LLC ("Holdings"), as managing member of Holdings I, Oaktree Capital Management GP, LLC ("Management GP"), as general partner of Management, Atlas OCM Holdings LLC ("Atlas"), F5 · ownership.nature: (Continued from footnote 4) as managing member of Management GP, Oaktree Capital Group, LLC ("OCG"), as managing member of Holdings, Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of each of OCG and Atlas, Brookfield Corporation ("BC"), as indirect owner of the class A units of OCG, and BAM Partners Trust (the "BAM Partnership"), as sole owner of the Class B Limited Voting Shares of BC. BAM Class B Partners Inc. ("BAM Partners") is the trustee of the BAM Partnership. Brookfield Asset Management ULC as indirect owner of Class A units of Atlas OCM Holdings, LLC, Oaktree Phoenix Investment Fund GP, L.P. and Oaktree Phoenix Investment Fund GP Ltd. as general partners of Phoenix. Such entities expressly disclaim beneficial ownership of the shares held of record by VOF Holdings, GTM Holdings and Phoenix, except to the extent of any proportionate pecuniary interest therein. Read SEC document |
| June 12, 2023 Filed Jun 14, 2023 20:10 UTC | Garrett Motion Inc. GTX,GTXAP · Entity 1720 | GrantCommon Stock | 1,016,669 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-015526 · doc4.xml · nonDerivative · entry 3 OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Atlas OCM Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Phoenix Investment Fund, L.P. · CIK 0001815055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 1,119,397 F1 · kind: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · kind: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · kind: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F1 · shares: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · shares: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · shares: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F1 · price: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · price: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · price: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F1 · acquired: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · acquired: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · acquired: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F4 · ownership.nature: These shares of Common Stock are beneficially owned by Oaktree Capital Management, L.P. ("Management"), GTM Holdings and Phoenix as a result of being the investment managers of certain private investment funds that directly hold Common Stock, including VOF Holdings, Oaktree Value Opportunities Fund GP, L.P. ("VOF GP"), as general partner of VOF Holdings, Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd."), as general partner of VOF GP, Oaktree Fund GP, LLC ("Fund GP"), as manager of GTM Holdings, Oaktree Fund GP I, L.P. ("GP I"), as managing member of Fund GP, Oaktree Capital I, L.P. ("Capital I"), as general partner of GP I, OCM Holdings I, LLC ("Holdings I"), as general partner of Capital I and holder of limited partnership interests in Capital I, Oaktree Holdings LLC ("Holdings"), as managing member of Holdings I, Oaktree Capital Management GP, LLC ("Management GP"), as general partner of Management, Atlas OCM Holdings LLC ("Atlas"), F5 · ownership.nature: (Continued from footnote 4) as managing member of Management GP, Oaktree Capital Group, LLC ("OCG"), as managing member of Holdings, Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of each of OCG and Atlas, Brookfield Corporation ("BC"), as indirect owner of the class A units of OCG, and BAM Partners Trust (the "BAM Partnership"), as sole owner of the Class B Limited Voting Shares of BC. BAM Class B Partners Inc. ("BAM Partners") is the trustee of the BAM Partnership. Brookfield Asset Management ULC as indirect owner of Class A units of Atlas OCM Holdings, LLC, Oaktree Phoenix Investment Fund GP, L.P. and Oaktree Phoenix Investment Fund GP Ltd. as general partners of Phoenix. Such entities expressly disclaim beneficial ownership of the shares held of record by VOF Holdings, GTM Holdings and Phoenix, except to the extent of any proportionate pecuniary interest therein. Read SEC document |
| June 12, 2023 Filed Jun 14, 2023 20:10 UTC | Garrett Motion Inc. GTX,GTXAP · Entity 1720 | GrantCommon Stock | 28,082,484 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-015526 · doc4.xml · nonDerivative · entry 2 OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Atlas OCM Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Phoenix Investment Fund, L.P. · CIK 0001815055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 30,913,997 F1 · kind: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · kind: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · kind: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F1 · shares: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · shares: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · shares: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F1 · price: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · price: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · price: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F1 · acquired: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · acquired: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · acquired: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F4 · ownership.nature: These shares of Common Stock are beneficially owned by Oaktree Capital Management, L.P. ("Management"), GTM Holdings and Phoenix as a result of being the investment managers of certain private investment funds that directly hold Common Stock, including VOF Holdings, Oaktree Value Opportunities Fund GP, L.P. ("VOF GP"), as general partner of VOF Holdings, Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd."), as general partner of VOF GP, Oaktree Fund GP, LLC ("Fund GP"), as manager of GTM Holdings, Oaktree Fund GP I, L.P. ("GP I"), as managing member of Fund GP, Oaktree Capital I, L.P. ("Capital I"), as general partner of GP I, OCM Holdings I, LLC ("Holdings I"), as general partner of Capital I and holder of limited partnership interests in Capital I, Oaktree Holdings LLC ("Holdings"), as managing member of Holdings I, Oaktree Capital Management GP, LLC ("Management GP"), as general partner of Management, Atlas OCM Holdings LLC ("Atlas"), F5 · ownership.nature: (Continued from footnote 4) as managing member of Management GP, Oaktree Capital Group, LLC ("OCG"), as managing member of Holdings, Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of each of OCG and Atlas, Brookfield Corporation ("BC"), as indirect owner of the class A units of OCG, and BAM Partners Trust (the "BAM Partnership"), as sole owner of the Class B Limited Voting Shares of BC. BAM Class B Partners Inc. ("BAM Partners") is the trustee of the BAM Partnership. Brookfield Asset Management ULC as indirect owner of Class A units of Atlas OCM Holdings, LLC, Oaktree Phoenix Investment Fund GP, L.P. and Oaktree Phoenix Investment Fund GP Ltd. as general partners of Phoenix. Such entities expressly disclaim beneficial ownership of the shares held of record by VOF Holdings, GTM Holdings and Phoenix, except to the extent of any proportionate pecuniary interest therein. Read SEC document |
| June 12, 2023 Filed Jun 14, 2023 20:10 UTC | Garrett Motion Inc. GTX,GTXAP · Entity 1720 | GrantCommon Stock | 7,681,964 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-015526 · doc4.xml · nonDerivative · entry 1 OAKTREE HOLDINGS, LLC · CIK 0001407181 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner Atlas OCM Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Oaktree Phoenix Investment Fund, L.P. · CIK 0001815055 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 9,174,940 F1 · kind: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · kind: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · kind: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F1 · shares: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · shares: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · shares: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F1 · price: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · price: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · price: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F1 · acquired: On April 12, 2023, Garret Motion Inc. (the "Company") entered into a Transaction Agreement (the "Transaction Agreement") with Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), OCM Opps GTM Holdings LLC ("GTM Holdings"), Oaktree Phoenix Investment Fund LP ("Phoenix") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. The transactions being reported on this Form 4 were consummated on June 12, 2023 (the "Conversion Date"), pursuant to the Transaction Agreement and the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company (the "Certificate of Designations"), dated as of June 6, 2023. F2 · acquired: (Continued from footnote 1). On the Conversion Date, each share of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock") of the Company was automatically converted into one fully-paid, non-assessable share of Company's common stock, $0.001 par value per share ("Common Stock") and each holder of Series A Preferred Stock was deemed to be the holder of record of the Common Stock issuable upon such conversion. Further, in connection with such conversion, the Company is obligated to pay to the holders, including VOF Holdings, GTM Holdings and Phoenix, in respect of each share of Series A Preferred Stock held immediately prior to the Conversion, (i) $0.144375 in cash, and (ii) approximately 0.104379 shares of Common Stock F3 · acquired: (Continued from footnote 2) (representing $0.853509 in accrued and unpaid dividends per share of Series A Preferred Stock, valued at $8.177 per share), subject to adjustments pursuant to the Certificate of Designations to avoid the issuance of fractional shares of Common Stock. The amounts reflected in this Form 4 include both the shares issuable upon conversion as well as the additional shares issuable with respect to accrued and unpaid dividends. Following the Conversion Date, the Reporting Persons no longer own any shares of Series A Preferred Stock. F4 · ownership.nature: These shares of Common Stock are beneficially owned by Oaktree Capital Management, L.P. ("Management"), GTM Holdings and Phoenix as a result of being the investment managers of certain private investment funds that directly hold Common Stock, including VOF Holdings, Oaktree Value Opportunities Fund GP, L.P. ("VOF GP"), as general partner of VOF Holdings, Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd."), as general partner of VOF GP, Oaktree Fund GP, LLC ("Fund GP"), as manager of GTM Holdings, Oaktree Fund GP I, L.P. ("GP I"), as managing member of Fund GP, Oaktree Capital I, L.P. ("Capital I"), as general partner of GP I, OCM Holdings I, LLC ("Holdings I"), as general partner of Capital I and holder of limited partnership interests in Capital I, Oaktree Holdings LLC ("Holdings"), as managing member of Holdings I, Oaktree Capital Management GP, LLC ("Management GP"), as general partner of Management, Atlas OCM Holdings LLC ("Atlas"), F5 · ownership.nature: (Continued from footnote 4) as managing member of Management GP, Oaktree Capital Group, LLC ("OCG"), as managing member of Holdings, Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of each of OCG and Atlas, Brookfield Corporation ("BC"), as indirect owner of the class A units of OCG, and BAM Partners Trust (the "BAM Partnership"), as sole owner of the Class B Limited Voting Shares of BC. BAM Class B Partners Inc. ("BAM Partners") is the trustee of the BAM Partnership. Brookfield Asset Management ULC as indirect owner of Class A units of Atlas OCM Holdings, LLC, Oaktree Phoenix Investment Fund GP, L.P. and Oaktree Phoenix Investment Fund GP Ltd. as general partners of Phoenix. Such entities expressly disclaim beneficial ownership of the shares held of record by VOF Holdings, GTM Holdings and Phoenix, except to the extent of any proportionate pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.