organization · Reporting owner

Brookfield Oaktree Holdings, LLC

Disclosed activity across 33 companies

Tapewire entity: 8960
SEC CIK: 0001403528

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
ASHFORD HOSPITALITY TRUST INCAHT · Entity 7629	10% owner	November 02, 2021	November 10, 2021
AdvancePierre Foods Holdings, Inc.APFH · Entity 175379	10% owner	June 06, 2017	June 08, 2017
Array Technologies, Inc.ARRY · Entity 5254	10% owner	March 23, 2021	March 25, 2021
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	April 24, 2024	April 26, 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	December 30, 2016	March 03, 2017
Garrett Motion Inc.GTX,GTXAP · Entity 1720	10% owner	June 12, 2023	June 14, 2023
Hims & Hers Health, Inc.OAC · Entity 1878	10% owner	July 17, 2019	July 18, 2019
IPI Legacy Liquidation CoIMPL · Entity 15659	10% owner	November 30, 2023	December 04, 2023
Infinera CorpINFN · Entity 82602	10% owner	March 19, 2020	March 23, 2020
Oaktree Acquisition Corp. IIOACB · Entity 142657	10% owner	September 21, 2020	September 22, 2020
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	Director · 10% owner	June 10, 2024	June 12, 2024
Shoals Technologies Group, Inc.SHLS · Entity 4879	10% owner	July 19, 2021	July 21, 2021
Sitio Royalties Corp.STR · Entity 15067	10% owner	June 14, 2023	June 23, 2023
SunOpta Inc.STKL · Entity 49798	10% owner	July 07, 2021	July 09, 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.

ASHFORD HOSPITALITY TRUST INC

Report date November 02, 2021 · Filed November 10, 2021

Jointly reported with OCM AHT Holdings, LLC, Oaktree Fund GP, LLC, OAKTREE FUND GP I, L.P., Oaktree Capital I, L.P., Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, ROF8 AHT PT, LLC, Oaktree Real Estate Opportunities Fund VIII GP, L.P., Oaktree Real Estate Opportunities Fund VIII GP Ltd.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $40.00 · Expires 2026-01-15	IndirectSee Footnote	Not disclosed	Reported balance Holding disclosure · report date 2021-11-02 · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · Balance Not disclosed F1: Consists of Warrants issued by the Company pursuant to the Amendment No. 1 to the Credit Agreement, dated as of October 12, 2021 (the ?Warrants?) directly beneficially owned by OCM AHT Holdings, LLC (?OCM AHT?) exercisable for 860,064 shares of Common Stock at an exercise price of $40.00 per share. F4: This Form 3 is being filed jointly by (each, a ?OCM AHT Reporting Person? and, collectively, the ?OCM AHT Reporting Persons?) (i) OCM AHT, (ii) Oaktree Fund GP, LLC (?Fund GP?) as the manager of OCM AHT, (iii) Oaktree Fund GP I, L.P. (Fund GP I) as the managing member of Fund GP, (iv) Oaktree Capital I, L.P. (?Capital I?) as the general partner of Fund GP I, (v) OCM Holdings I, LLC (?Holdings I?) as the general partner of Capital I, (vi) Oaktree Holdings, LLC as the managing member of Holdings I. Each of the OCM AHT 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 3 shall not be construed as an admission that any such OCM AHT Reporting Person is the beneficial owner of any equity securities covered by this Form 3.
Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $40.00 · Expires 2026-01-15	IndirectSee Footnote	Not disclosed	Reported balance Holding disclosure · report date 2021-11-02 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance Not disclosed F2: Consists of Warrants directly beneficially owned by ROF8 AHT PT, LLC (?ROF8 AHT?) exercisable for 860,064 shares of Common Stock at an exercise price of $40.00 per share. F5: This Form 3 is being filed jointly by (each, a ?ROF8 AHT Reporting Person? and, collectively, the ?ROF8 AHT Reporting Persons?) (i) ROF8 AHT, (ii) Oaktree Real Estate Opportunities Fund VIII GP, L.P. (?Fund VIII GP, L.P.?) as the managing member of ROF8 AHT, (iii) Oaktree Real Estate Opportunities Fund VIII GP Ltd. (?Fund VIII GP Ltd.?) as the general partner of Fund VIII GP, L.P., (iv) Oaktree Capital Management, L.P. (?Management?) as the sole director of Fund VIII GP Ltd., (v) Oaktree Capital Management GP, LLC (?Management GP?) as the general partner of Management, (vi) Atlas OCM Holdings, LLC (?Atlas?) as the sole managing member of Management GP, (vii) Brookfield Asset Management Inc. (?BAM?) as the indirect owner of the class A units of Atlas and (viii) BAM Partners Trust (?BAM Partnership?) as the sole owner of Class?B Limited Voting Shares of BAM. (con?t in FN6) F6: (con?t from FN5) Each of the ROF8 AHT 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 3 shall not be construed as an admission that any such ROF8 AHT Reporting Person is the beneficial owner of any equity securities covered by this Form 3.
Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $40.00 · Expires 2026-01-15	IndirectSee Footnote	Not disclosed	Reported balance Holding disclosure · report date 2021-11-02 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance Not disclosed F3: Consists of Warrants directly beneficially owned by Oaktree Phoenix Investment Fund AIF (Delaware), L.P. (?AIF?) exercisable for 25,132 shares of Common Stock at an exercise price of $40.00 per share. F7: This Form 3 is being filed jointly by (each, a ?AIF Reporting Person? and, collectively, the ?AIF Reporting Persons?) (i) AIF, (ii) Oaktree Fund AIF Series, L.P. (?AIF Series?) as the general partner of AIF, (iii) Oaktree Fund GP AIF, LLC (?GP AIF?) as the general partner of AIF Series, (iv) Oaktree Fund GP III, L.P. (?Fund GP III?) as the managing member of GP AIF, (v) Oaktree AIF Investments, L.P. (?AIF Investments?) as the general partner of Fund GP III, (vi) Oaktree AIF Investment GP, LLC (?AIF Investment GP?) as the general partner of AIF Investments, (vii) Atlas as the sole member of AIF Investment GP, (viii) BAM as the indirect owner of the class A units of Atlas and (ix) BAM Partnership as the sole owner of Class?B Limited Voting Shares of BAM. (con?t in FN8) F8: (con?t from FN7) Each of the AIF 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 3 shall not be construed as an admission that any such AIF Reporting Person is the beneficial owner of any equity securities covered by this Form 3.

Filing footnotes · ownership attribution and instrument terms

F1: Consists of Warrants issued by the Company pursuant to the Amendment No. 1 to the Credit Agreement, dated as of October 12, 2021 (the ?Warrants?) directly beneficially owned by OCM AHT Holdings, LLC (?OCM AHT?) exercisable for 860,064 shares of Common Stock at an exercise price of $40.00 per share.

F2: Consists of Warrants directly beneficially owned by ROF8 AHT PT, LLC (?ROF8 AHT?) exercisable for 860,064 shares of Common Stock at an exercise price of $40.00 per share.

F3: Consists of Warrants directly beneficially owned by Oaktree Phoenix Investment Fund AIF (Delaware), L.P. (?AIF?) exercisable for 25,132 shares of Common Stock at an exercise price of $40.00 per share.

F4: This Form 3 is being filed jointly by (each, a ?OCM AHT Reporting Person? and, collectively, the ?OCM AHT Reporting Persons?) (i) OCM AHT, (ii) Oaktree Fund GP, LLC (?Fund GP?) as the manager of OCM AHT, (iii) Oaktree Fund GP I, L.P. (Fund GP I) as the managing member of Fund GP, (iv) Oaktree Capital I, L.P. (?Capital I?) as the general partner of Fund GP I, (v) OCM Holdings I, LLC (?Holdings I?) as the general partner of Capital I, (vi) Oaktree Holdings, LLC as the managing member of Holdings I. Each of the OCM AHT 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 3 shall not be construed as an admission that any such OCM AHT Reporting Person is the beneficial owner of any equity securities covered by this Form 3.

F5: This Form 3 is being filed jointly by (each, a ?ROF8 AHT Reporting Person? and, collectively, the ?ROF8 AHT Reporting Persons?) (i) ROF8 AHT, (ii) Oaktree Real Estate Opportunities Fund VIII GP, L.P. (?Fund VIII GP, L.P.?) as the managing member of ROF8 AHT, (iii) Oaktree Real Estate Opportunities Fund VIII GP Ltd. (?Fund VIII GP Ltd.?) as the general partner of Fund VIII GP, L.P., (iv) Oaktree Capital Management, L.P. (?Management?) as the sole director of Fund VIII GP Ltd., (v) Oaktree Capital Management GP, LLC (?Management GP?) as the general partner of Management, (vi) Atlas OCM Holdings, LLC (?Atlas?) as the sole managing member of Management GP, (vii) Brookfield Asset Management Inc. (?BAM?) as the indirect owner of the class A units of Atlas and (viii) BAM Partners Trust (?BAM Partnership?) as the sole owner of Class?B Limited Voting Shares of BAM. (con?t in FN6)

F6: (con?t from FN5) Each of the ROF8 AHT 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 3 shall not be construed as an admission that any such ROF8 AHT Reporting Person is the beneficial owner of any equity securities covered by this Form 3.

F7: This Form 3 is being filed jointly by (each, a ?AIF Reporting Person? and, collectively, the ?AIF Reporting Persons?) (i) AIF, (ii) Oaktree Fund AIF Series, L.P. (?AIF Series?) as the general partner of AIF, (iii) Oaktree Fund GP AIF, LLC (?GP AIF?) as the general partner of AIF Series, (iv) Oaktree Fund GP III, L.P. (?Fund GP III?) as the managing member of GP AIF, (v) Oaktree AIF Investments, L.P. (?AIF Investments?) as the general partner of Fund GP III, (vi) Oaktree AIF Investment GP, LLC (?AIF Investment GP?) as the general partner of AIF Investments, (vii) Atlas as the sole member of AIF Investment GP, (viii) BAM as the indirect owner of the class A units of Atlas and (ix) BAM Partnership as the sole owner of Class?B Limited Voting Shares of BAM. (con?t in FN8)

F8: (con?t from FN7) Each of the AIF 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 3 shall not be construed as an admission that any such AIF Reporting Person is the beneficial owner of any equity securities covered by this Form 3.

AdvancePierre Foods Holdings, Inc.

Report date June 06, 2017 · Filed June 08, 2017

Jointly reported with OCM Principal Opportunities Fund IV Delaware, L.P., Oaktree Capital Group Holdings GP, 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 row Row 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.

Array Technologies, Inc.

Report date March 23, 2021 · Filed March 25, 2021

Jointly reported with ATI Investment Parent, LLC, BROOKFIELD Corp /ON/, Oaktree Power Opportunities Fund IV, L.P., Oaktree Power Opportunities Fund IV (Parallel), L.P., Oaktree ATI Investors, L.P., OAKTREE CAPITAL MANAGEMENT LP, Oaktree Capital Holdings, LLC, Oaktree Capital Group Holdings, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	Direct	0	Last balance in matching sequence After 2021-03-23 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2021-03-23 · Other · Disposed 237,760 · Balance 35,475,457 F1: Represents the redemption of a portion of the ATI Investment Parent, LLC ("Parent") interests of certain Parent unitholders in exchange for the Array Technologies, Inc.'s common stock ("Common Stock") held directly by Parent, immediately prior to the consummation of the public offering of Common Stock, which closed on March 23, 2021 (the "Public Offering"). F3: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) Oaktree Power Opportunities Fund IV, L.P. (the "Main Fund"); (ii) Oaktree Power Opportunities Fund IV (Parallel), L.P. (the "Parallel Fund"); (iii) Oaktree ATI Investors, L.P. (the "Co-Invest Fund"); (iv) Oaktree Capital Management, L.P. ("OCM"); (v) Oaktree Capital Group, LLC ("OCG"); (vi) Atlas OCM Holdings LLC ("Atlas OCM"); (vii) Brookfield Asset Management, Inc. ("Brookfield"); and (viii) Oaktree Capital Group Holdings, L.P. ("OCGH LP"). F4: The Main Fund, the Parallel Fund and the Co-Invest Fund are together the controlling member of Parent. We refer to the Main Fund, the Parallel Fund and the Co-Invest Fund, collectively, as the "Oaktree Funds." OCM is the investment manager of each of the Oaktree Funds. As a result, each of the Oaktree Funds and OCM may be deemed to have beneficial ownership of the shares owned by Parent. OCM's asset management business is indirectly controlled by OCG and Atlas OCM. As of March 31, 2020, approximately 61.8% of OCM's business is indirectly owned by Brookfield and the remaining approximately 38.2% is owned by current and former OCM executives and employees. Brookfield's ownership interest in OCM's business is held through OCG, Atlas OCM and other holding entities. F5: The current and former OCM executives and employees hold their interests through a separate entity, OCGH LP. The board of directors of OCG and of Atlas OCM is currently comprised of: (i) five Oaktree senior executives, Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B Frank, and Sheldon M. Stone; (ii) three independent directors, Stephen J. Gilbert, D. Richard Masson, and Marna C. Whittington; and (iii) two Brookfield senior executives, Justin B. Beber and J. Bruce Flatt. F6: 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. F7: The reporting persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. Row 2 · 2021-03-23 · Sale · Disposed 35,475,457 · Balance 0 F2: Represents Common Stock disposed of in connection with the Public Offering. These shares of common stock were disposed at a price per share of $27.23, which is the public offering price per share less underwriting discount. F3: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) Oaktree Power Opportunities Fund IV, L.P. (the "Main Fund"); (ii) Oaktree Power Opportunities Fund IV (Parallel), L.P. (the "Parallel Fund"); (iii) Oaktree ATI Investors, L.P. (the "Co-Invest Fund"); (iv) Oaktree Capital Management, L.P. ("OCM"); (v) Oaktree Capital Group, LLC ("OCG"); (vi) Atlas OCM Holdings LLC ("Atlas OCM"); (vii) Brookfield Asset Management, Inc. ("Brookfield"); and (viii) Oaktree Capital Group Holdings, L.P. ("OCGH LP"). F4: The Main Fund, the Parallel Fund and the Co-Invest Fund are together the controlling member of Parent. We refer to the Main Fund, the Parallel Fund and the Co-Invest Fund, collectively, as the "Oaktree Funds." OCM is the investment manager of each of the Oaktree Funds. As a result, each of the Oaktree Funds and OCM may be deemed to have beneficial ownership of the shares owned by Parent. OCM's asset management business is indirectly controlled by OCG and Atlas OCM. As of March 31, 2020, approximately 61.8% of OCM's business is indirectly owned by Brookfield and the remaining approximately 38.2% is owned by current and former OCM executives and employees. Brookfield's ownership interest in OCM's business is held through OCG, Atlas OCM and other holding entities. F5: The current and former OCM executives and employees hold their interests through a separate entity, OCGH LP. The board of directors of OCG and of Atlas OCM is currently comprised of: (i) five Oaktree senior executives, Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B Frank, and Sheldon M. Stone; (ii) three independent directors, Stephen J. Gilbert, D. Richard Masson, and Marna C. Whittington; and (iii) two Brookfield senior executives, Justin B. Beber and J. Bruce Flatt. F6: 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. F7: The reporting persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act.

Filing footnotes · ownership attribution and instrument terms

F1: Represents the redemption of a portion of the ATI Investment Parent, LLC ("Parent") interests of certain Parent unitholders in exchange for the Array Technologies, Inc.'s common stock ("Common Stock") held directly by Parent, immediately prior to the consummation of the public offering of Common Stock, which closed on March 23, 2021 (the "Public Offering").

F2: Represents Common Stock disposed of in connection with the Public Offering. These shares of common stock were disposed at a price per share of $27.23, which is the public offering price per share less underwriting discount.

F3: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) Oaktree Power Opportunities Fund IV, L.P. (the "Main Fund"); (ii) Oaktree Power Opportunities Fund IV (Parallel), L.P. (the "Parallel Fund"); (iii) Oaktree ATI Investors, L.P. (the "Co-Invest Fund"); (iv) Oaktree Capital Management, L.P. ("OCM"); (v) Oaktree Capital Group, LLC ("OCG"); (vi) Atlas OCM Holdings LLC ("Atlas OCM"); (vii) Brookfield Asset Management, Inc. ("Brookfield"); and (viii) Oaktree Capital Group Holdings, L.P. ("OCGH LP").

F4: The Main Fund, the Parallel Fund and the Co-Invest Fund are together the controlling member of Parent. We refer to the Main Fund, the Parallel Fund and the Co-Invest Fund, collectively, as the "Oaktree Funds." OCM is the investment manager of each of the Oaktree Funds. As a result, each of the Oaktree Funds and OCM may be deemed to have beneficial ownership of the shares owned by Parent. OCM's asset management business is indirectly controlled by OCG and Atlas OCM. As of March 31, 2020, approximately 61.8% of OCM's business is indirectly owned by Brookfield and the remaining approximately 38.2% is owned by current and former OCM executives and employees. Brookfield's ownership interest in OCM's business is held through OCG, Atlas OCM and other holding entities.

F5: The current and former OCM executives and employees hold their interests through a separate entity, OCGH LP. The board of directors of OCG and of Atlas OCM is currently comprised of: (i) five Oaktree senior executives, Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B Frank, and Sheldon M. Stone; (ii) three independent directors, Stephen J. Gilbert, D. Richard Masson, and Marna C. Whittington; and (iii) two Brookfield senior executives, Justin B. Beber and J. Bruce Flatt.

F6: 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.

F7: The reporting persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act.

BATTALION OIL CORP

Report date May 13, 2024 · Filed May 16, 2024 · Amendment

Jointly reported with Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, Oaktree Capital Group Holdings GP, 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 row Row 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, OCG NTR Holdings, LLC, BUSI II GP-C LLC, BUSI II-C L.P., Oaktree Capital Group Holdings GP, 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
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 row Row 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 row Row 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 row Row 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 row Row 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 April 24, 2024 · Filed April 26, 2024

Jointly reported with Oaktree Capital Group Holdings GP, LLC, Oaktree Value Opportunities Fund Holdings, L.P., OCM Xb CBL-E Holdings, LLC, Oaktree Capital Holdings, LLC, BROOKFIELD Corp /ON/, BAM Partners Trust

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2024-04-24 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2024-04-24 · Sale · Disposed 7,131 · Balance 0 F1: 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: 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: 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.
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	4,005,127	Reported balance Holding disclosure · report date 2024-04-24 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 4,005,127 F3: Consists of shares of Common Stock held by OCM Xb CBL-E Holdings, LLC ("Xb CBL-E"), inclusive of 21,160 shares of Common Stock received in a pro rata distribution exempt from reporting pursuant to Rule 16a-9. F4: 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.

Filing footnotes · ownership attribution and instrument terms

F1: 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: 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").

F3: Consists of shares of Common Stock held by OCM Xb CBL-E Holdings, LLC ("Xb CBL-E"), inclusive of 21,160 shares of Common Stock received in a pro rata distribution exempt from reporting pursuant to Rule 16a-9.

F4: 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.

DITECH HOLDING Corp

Report date February 09, 2018 · Filed April 13, 2018 · Amendment

Jointly reported with OAKTREE CAPITAL MANAGEMENT LP, Oaktree Holdings, Inc., Oaktree Capital Group Holdings GP, 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 row Row 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., Oaktree Capital Group Holdings, L.P., Oaktree Capital Group Holdings GP, LLC

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 rows Row 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 December 30, 2016 · Filed March 03, 2017

Jointly reported with OAKTREE FUND GP I, L.P., Oaktree Capital I, L.P., Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, OAKTREE CAPITAL MANAGEMENT LP, Oaktree Holdings, Inc.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	3,287,274	Reported balance Holding disclosure · report date 2016-12-30 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 3,287,274 F1: This Form 3 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) Oaktree Opportunities Fund IX Delaware, L.P., a Delaware limited partnership ("Fund IX Delaware"); (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) Oaktree Opportunities Fund IX (Parallel 2), L.P., a Cayman Islands limited partnership ("IX Parallel 2"); F2: (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; F3: (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. F4: Forrest directly holds 28,860 shares of Common Stock and has the sole power to vote and dispose of such securities. F5: Fund IX Delaware directly holds 2,669,003 shares of Common Stock and 64,995 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. IX Parallel 2 directly holds 24,488 shares of Common Stock and 594 Warrants and has the sole power to vote and dispose of such securities. F6: 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. F7: 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. F8: 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. F9: 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. F10: 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. 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. F11: 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. 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. F12: 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. F13: 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. 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. F14: 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 3 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 3.
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $43.66 · Expires 2021-12-30	Direct	Not disclosed	Reported balance Holding disclosure · report date 2016-12-30 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance Not disclosed F1: This Form 3 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) Oaktree Opportunities Fund IX Delaware, L.P., a Delaware limited partnership ("Fund IX Delaware"); (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) Oaktree Opportunities Fund IX (Parallel 2), L.P., a Cayman Islands limited partnership ("IX Parallel 2"); F2: (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; F3: (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. F5: Fund IX Delaware directly holds 2,669,003 shares of Common Stock and 64,995 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. IX Parallel 2 directly holds 24,488 shares of Common Stock and 594 Warrants and has the sole power to vote and dispose of such securities. F6: 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. F7: 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. F8: 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. F9: 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. F10: 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. 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. F11: 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. 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. F12: 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. F13: 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. 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. F14: 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 3 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 3.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 3 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) Oaktree Opportunities Fund IX Delaware, L.P., a Delaware limited partnership ("Fund IX Delaware"); (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) Oaktree Opportunities Fund IX (Parallel 2), L.P., a Cayman Islands limited partnership ("IX Parallel 2");

F2: (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;

F3: (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.

F4: Forrest directly holds 28,860 shares of Common Stock and has the sole power to vote and dispose of such securities.

F5: Fund IX Delaware directly holds 2,669,003 shares of Common Stock and 64,995 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. IX Parallel 2 directly holds 24,488 shares of Common Stock and 594 Warrants and has the sole power to vote and dispose of such securities.

F6: 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.

F7: 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.

F8: 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.

F9: 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.

F10: 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. 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.

F11: 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. 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.

F12: 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.

F13: 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. 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.

F14: 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 3 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 3.

Garrett Motion Inc.

Report date June 12, 2023 · Filed June 14, 2023

Jointly reported with Brookfield OCM Holdings, LLC, BROOKFIELD Corp /ON/, BAM Partners Trust, Oaktree Capital Holdings, LLC, Oaktree Capital Group Holdings GP, LLC, Oaktree Phoenix Investment Fund, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnotes	9,174,940	Reported balance After 2023-06-12 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-06-12 · Grant · Acquired 7,681,964 · Balance 9,174,940 F1: 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: (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: (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: 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: (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.
Common StockSEC Table I · non-derivative	IndirectSee footnotes	30,913,997	Reported balance After 2023-06-12 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2023-06-12 · Grant · Acquired 28,082,484 · Balance 30,913,997 F1: 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: (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: (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: 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: (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.
Common StockSEC Table I · non-derivative	IndirectSee footnotes	1,119,397	Reported balance After 2023-06-12 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2023-06-12 · Grant · Acquired 1,016,669 · Balance 1,119,397 F1: 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: (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: (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: 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: (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.
Series A Cumulative Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.25	IndirectSee footnotes	0	Reported balance After 2023-06-12 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2023-06-12 · Exercise / conversion · Disposed 6,955,912 · Balance 0 F6: 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: 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: (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: (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: 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: (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.
Series A Cumulative Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.25	IndirectSee footnotes	0	Reported balance After 2023-06-12 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2023-06-12 · Exercise / conversion · Disposed 25,428,298 · Balance 0 F6: 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: 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: (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: (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: 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: (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.
Series A Cumulative Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.25	IndirectSee footnotes	0	Reported balance After 2023-06-12 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2023-06-12 · Exercise / conversion · Disposed 920,580 · Balance 0 F6: 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: 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: (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: (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: 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: (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.

Filing footnotes · ownership attribution and instrument terms

F1: 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: (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: (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: 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: (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.

F6: 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.

Hims & Hers Health, Inc.

Report date July 17, 2019 · Filed July 18, 2019

Jointly reported with Oaktree Acquisition Holdings, L.P., Oaktree Acquisition Holdings GP Ltd., OAKTREE CAPITAL MANAGEMENT LP, Oaktree Holdings, Inc., Oaktree Capital Group Holdings GP, LLC

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 2019-07-17 · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · Balance Not disclosed F3: As described in the issuer's registration statement on Form S-1 (File No. 333-232444) 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 Form 3 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 Holdings, Inc. ("Holdings Inc."). The sole shareholder of Holdings Inc. is Oaktree Capital Group, LLC ("OCG"). The duly appointed manager of OCG is Oaktree Capital Group Holdings GP, LLC ("OCGH GP"). OCGH GP is governed by its members. F2: (continued from footnote 1) The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, none of whom exercise voting or dispositive power with respect to the Class B ordinary shares alone or are deemed to have beneficial ownership. 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 Form 3 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 Holdings, Inc. ("Holdings Inc."). The sole shareholder of Holdings Inc. is Oaktree Capital Group, LLC ("OCG"). The duly appointed manager of OCG is Oaktree Capital Group Holdings GP, LLC ("OCGH GP"). OCGH GP is governed by its members.

F2: (continued from footnote 1) The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, none of whom exercise voting or dispositive power with respect to the Class B ordinary shares alone or are deemed to have beneficial ownership. 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. 333-232444) 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.

IPI Legacy Liquidation Co

Report date November 30, 2023 · Filed December 04, 2023

Jointly reported with Oaktree GCP Fund Delaware Holdings, L.P., Oaktree Diversified Income Fund Inc., Oaktree AZ Strategic Lending Fund, L.P., Oaktree Loan Acquisition Fund, L.P., Oaktree LSL Fund Holdings EURRC S.a.r.l., Oaktree LSL Fund Delaware Holdings EURRC, L.P., Oaktree PRE Life Sciences Fund, L.P., Oaktree Capital Holdings, LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.01	IndirectSee Footnote	3,117,057	Reported balance After 2023-11-30 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2023-11-30 · Other · Acquired 445,294 · Balance 3,117,057 F1: In connection with the achievement of a strategic milestone, the Issuer drew $2.5 million loans (of which the Reporting Persons funded $1.875 million) and issued the reported securities to the Reporting Persons. F2: The reported amount reflects (i) 4,880 Warrants issued to Oaktree-TCDRS Strategic Credit, LLC, (ii) 3,946 Warrants issued to Oaktree-Forrest Multi-Strategy, LLC, (iii) 2,374 Warrants issued to Oaktree-TBMR Strategic Credit Fund C, LLC, (iv) 3,718 Warrants issued to Oaktree-TBMR Strategic Credit Fund F, LLC, (v) 6,070 Warrants issued to Oaktree-TBMR Strategic Credit Fund G, LLC, (vi) 6,110 Warrants issued to Oaktree-TSE 16 Strategic Credit, LLC, (vii) 1,808 Warrants issued to INPRS Strategic Credit Holdings, LLC, (viii) 30,578 Warrants issued to Oaktree Gilead Investment Fund AIF (Delaware), L.P., (ix) 116,748 Warrants issued to Oaktree Specialty Lending Corporation, (x) 2,716 Warrants issued to Oaktree GCP Fund Delaware Holdings, L.P., (xi) 8,914 Warrants issued to Oaktree Diversified Income Fund Inc., (xii) 58,080 Warrants issued to Oaktree AZ Strategic Lending Fund, L.P., F3: (continued from Footnote 2) (xiii) 84,914 Warrants issued to Oaktree LSL Fund Holdings EURRC S.a r.l., (xiv) 33,966 Warrants issued to Oaktree LSL Fund Delaware Holdings EURRC, L.P., (xv) 38,014 Warrants issued to Oaktree PRE Life Sciences Fund, L.P., and (xvi) 42,458 Warrants issued to Oaktree Strategic Credit Fund. F4: The Warrants are exercisable at any time prior to the earlier to occur of: (a) the seventh anniversary of the date of issuance or (b) a change of control. Prior to the reported issuance, 1,335,881 Warrants were issued on September 5, 2023, 445,293 Warrants were issued on October 2, 2023, 445,295 Warrants were issued on October 6, 2023, 222,647 Warrants were issued on November 3, 2023, and 222,647 Warrants were issued on November 10, 2023. F5: The reported amount reflects (i) 34,162 Warrants held directly by Oaktree-TCDRS Strategic Credit, LLC, (ii) 27,619 Warrants held directly by Oaktree-Forrest Multi-Strategy, LLC, (iii) 16,615 Warrants held directly by Oaktree-TBMR Strategic Credit Fund C, LLC, (iv) 26,027 Warrants held directly by Oaktree-TBMR Strategic Credit Fund F, LLC, (v) 42,487 Warrants held directly by Oaktree-TBMR Strategic Credit Fund G, LLC, (vi) 42,767 Warrants held directly by Oaktree-TSE 16 Strategic Credit, LLC, (vii) 12,655 Warrants held directly by INPRS Strategic Credit Holdings, LLC, (viii) 214,048 Warrants held directly by Oaktree Gilead Investment Fund AIF (Delaware), L.P., (ix) 817,232 Warrants held directly by Oaktree Specialty Lending Corporation, (x) 19,013 Warrants held directly by Oaktree GCP Fund Delaware Holdings, L.P., (xi) 62,402 Warrants held directly by Oaktree Diversified Income Fund Inc., (xii) 406,558 Warrants held directly by Oaktree AZ Strategic Lending Fund, L.P., F6: (continued from Footnote 5) (xiii) 135,861 Warrants held directly by Oaktree Loan Acquisition Fund, L.P., (xiv) 458,532 Warrants held directly by Oaktree LSL Fund Holdings EURRC S.a r.l., (xv) 237,767 Warrants held directly by Oaktree LSL Fund Delaware Holdings EURRC, L.P., (xvi) 266,102 Warrants held directly by Oaktree PRE Life Sciences Fund, L.P. (each of the foregoing, an "Atlas Entity," and together, the "Atlas Entities"), and (xvii) 297,210 Warrants held directly by Oaktree Strategic Credit Fund (together with the Atlas Entities, the "Oaktree Holders," and each an "Oaktree Holder"). F7: Oaktree Capital Group, LLC, in its capacity as the indirect manager of Oaktree Strategic Credit Fund, may be deemed to beneficially own the Warrants held directly by Oaktree Strategic Credit Fund. Atlas OCM Holdings, LLC, in its capacity as the indirect manager of the Atlas Entities, may be deemed to beneficially own the Warrants held directly by the Atlas Entities. Brookfield Corporation, in its capacity as the indirect owner of the class A units of Oaktree Capital Group, LLC, may be deemed to beneficially own the Warrants held directly by Oaktree Strategic Credit Fund. BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of Brookfield Corporation, may be deemed to beneficially own the Warrants held directly by Oaktree Strategic Credit Fund. Brookfield Asset Management ULC, in its capacity as the indirect owner of Class A units of Atlas OCM Holdings, LLC, may be deemed to beneficially own the Warrants held directly by the Atlas Entities. F8: Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any of the Reporting Persons that it is the beneficial owner of any of the Warrants referred to herein for the purposes of Section 16 of the Securities and Exchange Act, or for any other purpose, and such beneficial ownership is expressly disclaimed by each Reporting Person, other than each Oaktree Holder with respect to securities reported as directly held by such Oaktree Holder.

Filing footnotes · ownership attribution and instrument terms

F1: In connection with the achievement of a strategic milestone, the Issuer drew $2.5 million loans (of which the Reporting Persons funded $1.875 million) and issued the reported securities to the Reporting Persons.

F2: The reported amount reflects (i) 4,880 Warrants issued to Oaktree-TCDRS Strategic Credit, LLC, (ii) 3,946 Warrants issued to Oaktree-Forrest Multi-Strategy, LLC, (iii) 2,374 Warrants issued to Oaktree-TBMR Strategic Credit Fund C, LLC, (iv) 3,718 Warrants issued to Oaktree-TBMR Strategic Credit Fund F, LLC, (v) 6,070 Warrants issued to Oaktree-TBMR Strategic Credit Fund G, LLC, (vi) 6,110 Warrants issued to Oaktree-TSE 16 Strategic Credit, LLC, (vii) 1,808 Warrants issued to INPRS Strategic Credit Holdings, LLC, (viii) 30,578 Warrants issued to Oaktree Gilead Investment Fund AIF (Delaware), L.P., (ix) 116,748 Warrants issued to Oaktree Specialty Lending Corporation, (x) 2,716 Warrants issued to Oaktree GCP Fund Delaware Holdings, L.P., (xi) 8,914 Warrants issued to Oaktree Diversified Income Fund Inc., (xii) 58,080 Warrants issued to Oaktree AZ Strategic Lending Fund, L.P.,

F3: (continued from Footnote 2) (xiii) 84,914 Warrants issued to Oaktree LSL Fund Holdings EURRC S.a r.l., (xiv) 33,966 Warrants issued to Oaktree LSL Fund Delaware Holdings EURRC, L.P., (xv) 38,014 Warrants issued to Oaktree PRE Life Sciences Fund, L.P., and (xvi) 42,458 Warrants issued to Oaktree Strategic Credit Fund.

F4: The Warrants are exercisable at any time prior to the earlier to occur of: (a) the seventh anniversary of the date of issuance or (b) a change of control. Prior to the reported issuance, 1,335,881 Warrants were issued on September 5, 2023, 445,293 Warrants were issued on October 2, 2023, 445,295 Warrants were issued on October 6, 2023, 222,647 Warrants were issued on November 3, 2023, and 222,647 Warrants were issued on November 10, 2023.

F5: The reported amount reflects (i) 34,162 Warrants held directly by Oaktree-TCDRS Strategic Credit, LLC, (ii) 27,619 Warrants held directly by Oaktree-Forrest Multi-Strategy, LLC, (iii) 16,615 Warrants held directly by Oaktree-TBMR Strategic Credit Fund C, LLC, (iv) 26,027 Warrants held directly by Oaktree-TBMR Strategic Credit Fund F, LLC, (v) 42,487 Warrants held directly by Oaktree-TBMR Strategic Credit Fund G, LLC, (vi) 42,767 Warrants held directly by Oaktree-TSE 16 Strategic Credit, LLC, (vii) 12,655 Warrants held directly by INPRS Strategic Credit Holdings, LLC, (viii) 214,048 Warrants held directly by Oaktree Gilead Investment Fund AIF (Delaware), L.P., (ix) 817,232 Warrants held directly by Oaktree Specialty Lending Corporation, (x) 19,013 Warrants held directly by Oaktree GCP Fund Delaware Holdings, L.P., (xi) 62,402 Warrants held directly by Oaktree Diversified Income Fund Inc., (xii) 406,558 Warrants held directly by Oaktree AZ Strategic Lending Fund, L.P.,

F6: (continued from Footnote 5) (xiii) 135,861 Warrants held directly by Oaktree Loan Acquisition Fund, L.P., (xiv) 458,532 Warrants held directly by Oaktree LSL Fund Holdings EURRC S.a r.l., (xv) 237,767 Warrants held directly by Oaktree LSL Fund Delaware Holdings EURRC, L.P., (xvi) 266,102 Warrants held directly by Oaktree PRE Life Sciences Fund, L.P. (each of the foregoing, an "Atlas Entity," and together, the "Atlas Entities"), and (xvii) 297,210 Warrants held directly by Oaktree Strategic Credit Fund (together with the Atlas Entities, the "Oaktree Holders," and each an "Oaktree Holder").

F7: Oaktree Capital Group, LLC, in its capacity as the indirect manager of Oaktree Strategic Credit Fund, may be deemed to beneficially own the Warrants held directly by Oaktree Strategic Credit Fund. Atlas OCM Holdings, LLC, in its capacity as the indirect manager of the Atlas Entities, may be deemed to beneficially own the Warrants held directly by the Atlas Entities. Brookfield Corporation, in its capacity as the indirect owner of the class A units of Oaktree Capital Group, LLC, may be deemed to beneficially own the Warrants held directly by Oaktree Strategic Credit Fund. BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of Brookfield Corporation, may be deemed to beneficially own the Warrants held directly by Oaktree Strategic Credit Fund. Brookfield Asset Management ULC, in its capacity as the indirect owner of Class A units of Atlas OCM Holdings, LLC, may be deemed to beneficially own the Warrants held directly by the Atlas Entities.

F8: Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any of the Reporting Persons that it is the beneficial owner of any of the Warrants referred to herein for the purposes of Section 16 of the Securities and Exchange Act, or for any other purpose, and such beneficial ownership is expressly disclaimed by each Reporting Person, other than each Oaktree Holder with respect to securities reported as directly held by such Oaktree Holder.

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, Oaktree Capital Group Holdings GP, 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 row Row 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.

Oaktree Acquisition Corp. II

Report date September 21, 2020 · Filed September 22, 2020

Jointly reported with Oaktree Acquisition Holdings II, L.P., Oaktree Acquisition Holdings II GP, Ltd., OAKTREE CAPITAL MANAGEMENT LP, Oaktree Holdings, Inc., Oaktree Capital Group Holdings GP, LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class B Ordinary SharesSEC Table II · derivative / convertible security	Direct	6,250,000	Reported balance After 2020-09-21 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2020-09-21 · Other · Disposed 218,750 · Balance 6,250,000 F1: On September 21, 2020 Oaktree Acquisition Holdings II, L.P. forfeited at no cost 218,750 shares of Class B ordinary shares of the Issuer in connection with the election by the underwriters of the Issuer's initial public offering of units to exercise an option granted to them to cover over-allotments in part and not in full. F2: 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. F3: This Form 4 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 general partner of Oaktree is Oaktree Holdings, Inc. ("Holdings Inc."). The sole shareholder of Holdings Inc. is Oaktree Capital Group, LLC ("OCG"). The duly appointed manager of OCG is Oaktree Capital Group Holdings GP, LLC ("OCGH GP"). OCGH GP is governed by its members. F4: (Continued from footnote 3) The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, none of whom exercise voting or dispositive power with respect to the Class B ordinary shares alone or are deemed to have beneficial ownership. 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: On September 21, 2020 Oaktree Acquisition Holdings II, L.P. forfeited at no cost 218,750 shares of Class B ordinary shares of the Issuer in connection with the election by the underwriters of the Issuer's initial public offering of units to exercise an option granted to them to cover over-allotments in part and not in full.

F2: 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.

F3: This Form 4 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 general partner of Oaktree is Oaktree Holdings, Inc. ("Holdings Inc."). The sole shareholder of Holdings Inc. is Oaktree Capital Group, LLC ("OCG"). The duly appointed manager of OCG is Oaktree Capital Group Holdings GP, LLC ("OCGH GP"). OCGH GP is governed by its members.

F4: (Continued from footnote 3) The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank and Sheldon M. Stone, none of whom exercise voting or dispositive power with respect to the Class B ordinary shares alone or are deemed to have beneficial ownership. 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.

Oaktree Specialty Lending Corp

Report date December 13, 2017 · Filed December 16, 2017

Jointly reported with OAKTREE CAPITAL MANAGEMENT LP, Oaktree Holdings, Inc., Oaktree Capital Group Holdings GP, 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 rows Row 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, Oaktree Capital Group Holdings GP, 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 row Row 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., Oaktree Capital Group Holdings GP, 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 row Row 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 June 10, 2024 · Filed June 12, 2024

Jointly reported with OCM Growth Holdings LLC, Oaktree Capital Group Holdings GP, LLC, BROOKFIELD Corp /ON/, BAM Partners Trust

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.01 per shareSEC Table I · non-derivative	Direct	10,779,668	Reported balance After 2024-06-10 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2024-06-10 · Sale · Disposed 400,000 · Balance 10,779,668 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) 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: 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, 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: 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.

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) 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: 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, 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: 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.

Shoals Technologies Group, Inc.

Report date July 19, 2021 · Filed July 21, 2021

Jointly reported with Oaktree Power Opportunities Fund IV (Delaware) Holdings, L.P., BAM Partners Trust, BROOKFIELD Corp /ON/, Oaktree Power Opportunities Fund IV, L.P., Oaktree Fund GP, LLC, Oaktree Power Opportunities Fund IV (Parallel), L.P., OAKTREE CAPITAL MANAGEMENT LP, Oaktree Capital Holdings, LLC, Oaktree Capital Group Holdings, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common Stock, par value $0.00001 per shareSEC Table I · non-derivative	Direct	0	Reported balance After 2021-07-19 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2021-07-19 · Sale · Disposed 4,977,751 · Balance 0 F6: Represents Class A Common Stock, par value $0.00001 per share ("Class A Common Stock") of Shoals Technologies Group, Inc. disposed of in connection with an underwritten public offering, which closed on July 19, 2021. These shares of Class A Common Stock were disposed at $27.02 per share, a public offering price of $28.00 per share less the underwriting discounts. F1: This Form 4 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) Oaktree Power Opportunities Fund IV (Delaware) Holdings, L.P. ("Oaktree Power"), (ii) Oaktree Power Opportunities Fund IV, L.P. (the "Main Fund"); (iii)Oaktree Power Opportunities Fund IV (Parallel), L.P. (the "Parallel Fund"); (iv) Oaktree Fund GP, LLC ("OFGP"); (v) Oaktree Capital Management, L.P. ("OCM"); (vi) Oaktree Capital Group, LLC ("OCG"); (vii) Atlas OCM Holdings LLC ("Atlas OCM"); (viii) Brookfield Asset Management, Inc. ("Brookfield"); (ix) BAM Partners Trust and (x) Oaktree Capital Group Holdings, L.P. ("OCGH LP"). F2: Oaktree Power Opportunities Fund IV (Delaware) Holdings, L.P. ("Oaktree Power") is beneficially owned by the Main Fund and Parallel Fund. We refer to the Main Fund and the Parallel Fund, collectively, as the "Oaktree Funds." Oaktree Power is controlled by its general partner, OFGP. OFGP is in turn an affiliate of OCM, which is the investment manager of each of the Oaktree Funds. As a result, each of the Oaktree Funds and OCM may be deemed to have beneficial ownership of the shares owned by Oaktree Power. OCM's asset management business is indirectly controlled by OCG and Atlas OCM. As of November 9, 2020, approximately 61.8% of OCM's business is indirectly owned by Brookfield and the remaining approximately 38.2% is ultimately owned by current and former OCM executives and employees. Brookfield's ownership interest in OCM's business is held through OCG, Atlas OCM and other holding entities. BAM Partners Trust is the sole owner of Class B Limited Voting Shares of Brookfield. F3: (Continued from footnote 2) The current and former OCM executives and employees hold their interests through a separate entity, OCGH LP. The board of directors of OCG and of Atlas OCM is currently comprised of: (i) five Oaktree senior executives, Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, and Sheldon M. Stone; (ii) three independent directors, Stephen J. Gilbert, D. Richard Masson, and Marna C. Whittington; and (iii) two Brookfield senior executives, Justin B. Beber and J. Bruce Flatt. 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: The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act.

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 Power Opportunities Fund IV (Delaware) Holdings, L.P. ("Oaktree Power"), (ii) Oaktree Power Opportunities Fund IV, L.P. (the "Main Fund"); (iii)Oaktree Power Opportunities Fund IV (Parallel), L.P. (the "Parallel Fund"); (iv) Oaktree Fund GP, LLC ("OFGP"); (v) Oaktree Capital Management, L.P. ("OCM"); (vi) Oaktree Capital Group, LLC ("OCG"); (vii) Atlas OCM Holdings LLC ("Atlas OCM"); (viii) Brookfield Asset Management, Inc. ("Brookfield"); (ix) BAM Partners Trust and (x) Oaktree Capital Group Holdings, L.P. ("OCGH LP").

F2: Oaktree Power Opportunities Fund IV (Delaware) Holdings, L.P. ("Oaktree Power") is beneficially owned by the Main Fund and Parallel Fund. We refer to the Main Fund and the Parallel Fund, collectively, as the "Oaktree Funds." Oaktree Power is controlled by its general partner, OFGP. OFGP is in turn an affiliate of OCM, which is the investment manager of each of the Oaktree Funds. As a result, each of the Oaktree Funds and OCM may be deemed to have beneficial ownership of the shares owned by Oaktree Power. OCM's asset management business is indirectly controlled by OCG and Atlas OCM. As of November 9, 2020, approximately 61.8% of OCM's business is indirectly owned by Brookfield and the remaining approximately 38.2% is ultimately owned by current and former OCM executives and employees. Brookfield's ownership interest in OCM's business is held through OCG, Atlas OCM and other holding entities. BAM Partners Trust is the sole owner of Class B Limited Voting Shares of Brookfield.

F3: (Continued from footnote 2) The current and former OCM executives and employees hold their interests through a separate entity, OCGH LP. The board of directors of OCG and of Atlas OCM is currently comprised of: (i) five Oaktree senior executives, Howard S. Marks, Bruce A. Karsh, Jay S. Wintrob, John B. Frank, and Sheldon M. Stone; (ii) three independent directors, Stephen J. Gilbert, D. Richard Masson, and Marna C. Whittington; and (iii) two Brookfield senior executives, Justin B. Beber and J. Bruce Flatt.

F5: The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act.

F6: Represents Class A Common Stock, par value $0.00001 per share ("Class A Common Stock") of Shoals Technologies Group, Inc. disposed of in connection with an underwritten public offering, which closed on July 19, 2021. These shares of Class A Common Stock were disposed at $27.02 per share, a public offering price of $28.00 per share less the underwriting discounts.

Sitio Royalties Corp.

Report date June 14, 2023 · Filed June 23, 2023

Jointly reported with Oaktree Capital Holdings, LLC, Source Energy Partners, LLC, OCM Source 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, Oaktree Capital Group Holdings GP, LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class C Common StockSEC Table I · non-derivative	Direct	15,443,610	Reported balance After 2023-06-14 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-06-14 · Other · Acquired 2,508,490 · Balance 15,443,610 F1: 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: 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: (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: (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: 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.
Sitio Royalties Operating Partnership, LP UnitsSEC Table II · derivative / convertible security	IndirectSee footnotes	2,508,490	Reported balance After 2023-06-14 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2023-06-14 · Other · Acquired 2,508,490 · Balance 2,508,490 F1: 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: 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: 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: (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: (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: 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: 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: 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: 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: (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: (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: 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.

SunOpta Inc.

Report date July 07, 2021 · Filed July 09, 2021

Jointly reported with Oaktree Fund GP, LLC, BAM Partners Trust, BROOKFIELD Corp /ON/, OAKTREE FUND GP I, L.P., Oaktree Capital I, L.P., Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, Oaktree Capital Group Holdings GP, LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Cash-Settled Total Return SwapSEC Table II · derivative / convertible security · Conversion / exercise price $12.08 · Expires 2023-08-18	IndirectSee Footnotes	1	Reported balance After 2021-07-07 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2021-07-07 · Purchase · Acquired 1 · Balance 1 F4: Fund VI (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations. F5: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Fund on any business day, subject to customary adjustments and limitations. F7: Reflects the initial price under the Cash-Settled Swaps. F6: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations. F8: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations. F1: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Principal Fund VI (Delaware) Holdings, L.P. ("Fund VI"). Oaktree Fund GP, LLC ("Fund GP") is the sole general partner of Fund VI. This Form 4 is also being filed by: (i) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (ii) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (iii) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (iv) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; (v) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC; F2: (Continued from Footnote 1) (vi) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (vii) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (viii) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (together with Fund GP, each a "Reporting Person" and, collectively, the "Reporting Persons"). 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.

Filing footnotes · ownership attribution and instrument terms

F1: Represents the derivative security (but not the underlying security referenced thereby) owned directly by Oaktree Principal Fund VI (Delaware) Holdings, L.P. ("Fund VI"). Oaktree Fund GP, LLC ("Fund GP") is the sole general partner of Fund VI. This Form 4 is also being filed by: (i) Oaktree Fund GP I, L.P. ("GP I") in its capacity as managing member of Fund GP; (ii) Oaktree Capital I, L.P. ("Capital I") in its capacity as the general partner of GP I; (iii) OCM Holdings I, LLC ("Holdings I") in its capacity as the general partner of Capital I; (iv) Oaktree Holdings, LLC ("Holdings LLC") in its capacity as the managing member of Holdings I; (v) Oaktree Capital Group, LLC ("OCG") in its capacity as the managing member of Holdings LLC;

F2: (Continued from Footnote 1) (vi) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG; (vii) Brookfield Asset Management, Inc. ("BAM") in its capacity as the indirect owner of the class A units of OCG; and (viii) BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of BAM (together with Fund GP, each a "Reporting Person" and, collectively, the "Reporting Persons").

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: Fund VI (the "Trading Fund") has entered into cash-settled total return swaps with respect to the number of common shares of SunOpta Inc. (the "Issuer") specified herein (the "Cash-Settled Swaps"). The Cash-Settled Swaps provide the Trading Fund with economic results that are comparable to the economic results of ownership of the Issuer's common shares listed in column 7 above (the "Subject Shares"). Upon termination of the the Cash-Settled Swaps, the Trading Fund will be obligated to pay to the counterparty any negative price performance of the terminated quantity of the Subject Shares, and the counterparty will be obligated to pay the Trading Fund any positive price performance of the specified quantity of the Subject Shares, in each case subject to customary adjustments and limitations.

F5: (Continued from Footnote 4) The Cash-Settled Swaps were initially executed at the prices listed in column 2 above. The Cash-Settled Swaps are exclusively cash-settled and do not provide the Trading Fund with the direct or indirect power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. Additionally, the Cash-Settled Swaps do not require the counterparty thereto to acquire, hold, vote or dispose of any securities of the Issuer, including without limitation, the Subject Shares. The counterparties to the Cash-Settled Swaps are unaffiliated third party financial institutions. The Cash-Settled Swaps may generally be terminated by the Trading Fund on any business day, subject to customary adjustments and limitations.

F6: Under the terms of the Cash-Settled Swaps, generally, the Trading Fund will be obligated to pay to the counterparty certain fees and commissions and the counterparty will be obligated to pay to the Trading Fund an amount in cash equal to any dividends on the Subject Shares, subject to customary adjustments and limitations.

F7: Reflects the initial price under the Cash-Settled Swaps.

F8: See Footnote 4 above discussing the Trading Fund's ability to terminate the Cash-Settled Swaps on any business day, subject to customary adjustments and limitations.

Past disclosures · reporting ended (12)

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, Oaktree Capital Group Holdings GP, 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 row Row 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, Oaktree Capital Group Holdings GP, 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 row Row 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, Oaktree Capital Group Holdings GP, 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 row Row 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 Oaktree Capital Group Holdings GP, 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 row Row 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").

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 Capital Group Holdings GP, LLC, Oaktree Fund GP, LLC, OAKTREE FUND GP I, L.P., Oaktree Capital I, L.P., Brookfield OCM Holdings II, LLC, Brookfield OCM 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 row Row 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.

Infrastructure & Energy Alternatives, Inc.

Report date March 23, 2021 · Filed March 25, 2021

Jointly reported with Brookfield OCM Holdings, LLC, Brookfield OCM Holdings II, LLC, Oaktree Capital I, L.P., OAKTREE FUND GP I, L.P., Oaktree Fund GP, LLC, OAKTREE POWER OPPORTUNITIES FUND III DELAWARE, L.P., Infrastructure & Energy Alternatives, LLC

Section 16 reporting ended · disclosed 2021-03-25. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	IndirectSee footnotes	775,370	Reported balance After 2021-03-23 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2021-03-23 · Other · Disposed 1,169,847 · Balance 775,370 F1: On March 23, 2021, Infrastructure and Energy Alternatives, LLC ("IEA LLC") completed a distribution to its members, pro rata in accordance with such member's ownership interest in IEA LLC and the governing documents of IEA LLC, of 1,554,127 shares of Common Stock and warrants exercisable for 618,007 shares of Common Stock. As part of this distribution, Oaktree Power Opportunities Fund III Delaware, L.P. ("Fund III") became the direct beneficial owner of (i) 384,280 shares of Common Stock and (ii) warrants exercisable for 481,181 shares of Common Stock. F8: These securities remain subject to a lock-up agreement entered into between the Reporting Person and the representative of the underwriters for the public offering of the Issuer's common stock by Infrastructure and Energy Alternatives, LLC, which was completed in February 2021. F2: Represents shares held of record by IEA LLC. 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 Oaktree Capital Group, LLC ("OCG"). F4: Brookfield Asset Management Inc. ("BAM") is the indirect owner of the class A units of OCG and Atlas. Partners Limited is the sole owner of Class B Limited Voting Shares of BAM. 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. F6: 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. F7: Each reporting person is filing this Form 4 pursuant to Rule 16a-3(j) under the Securities and Exchange Act of 1934, as amended.
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	IndirectSee footnotes	81,433	Reported balance Holding disclosure · report date 2021-03-23 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 81,433 F8: These securities remain subject to a lock-up agreement entered into between the Reporting Person and the representative of the underwriters for the public offering of the Issuer's common stock by Infrastructure and Energy Alternatives, LLC, which was completed in February 2021. F3: Represents shares held of record by FIE. Includes 34,529 restricted stock units, which vest on March 26, 2021. Pursuant to the policies of Oaktree Capital Management L.P. ("OCM LP"), directors of the Issuer who are affiliated with the OCM hold these securities for the benefit of OCM FIE, LLC ("FIE"). OCM LP is the managing member of FIE. Oaktree Capital Management GP, LLC ("OCM GP") is the general partner of OCM LP. Atlas OCM Holdings, LLC ("Atlas") is the sole managing member of OCM GP. F4: Brookfield Asset Management Inc. ("BAM") is the indirect owner of the class A units of OCG and Atlas. Partners Limited is the sole owner of Class B Limited Voting Shares of BAM. 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. F6: 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. F7: Each reporting person is filing this Form 4 pursuant to Rule 16a-3(j) under the Securities and Exchange Act of 1934, as amended.

Filing footnotes · ownership attribution and instrument terms

F1: On March 23, 2021, Infrastructure and Energy Alternatives, LLC ("IEA LLC") completed a distribution to its members, pro rata in accordance with such member's ownership interest in IEA LLC and the governing documents of IEA LLC, of 1,554,127 shares of Common Stock and warrants exercisable for 618,007 shares of Common Stock. As part of this distribution, Oaktree Power Opportunities Fund III Delaware, L.P. ("Fund III") became the direct beneficial owner of (i) 384,280 shares of Common Stock and (ii) warrants exercisable for 481,181 shares of Common Stock.

F2: Represents shares held of record by IEA LLC. 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 Oaktree Capital Group, LLC ("OCG").

F3: Represents shares held of record by FIE. Includes 34,529 restricted stock units, which vest on March 26, 2021. Pursuant to the policies of Oaktree Capital Management L.P. ("OCM LP"), directors of the Issuer who are affiliated with the OCM hold these securities for the benefit of OCM FIE, LLC ("FIE"). OCM LP is the managing member of FIE. Oaktree Capital Management GP, LLC ("OCM GP") is the general partner of OCM LP. Atlas OCM Holdings, LLC ("Atlas") is the sole managing member of OCM GP.

F4: Brookfield Asset Management Inc. ("BAM") is the indirect owner of the class A units of OCG and Atlas. Partners Limited is the sole owner of Class B Limited Voting Shares of BAM.

F7: Each reporting person is filing this Form 4 pursuant to Rule 16a-3(j) under the Securities and Exchange Act of 1934, as amended.

F8: These securities remain subject to a lock-up agreement entered into between the Reporting Person and the representative of the underwriters for the public offering of the Issuer's common stock by Infrastructure and Energy Alternatives, LLC, which was completed in February 2021.

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., Oaktree Capital Group Holdings GP, 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 row Row 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.

Onterris, Inc.

Report date November 30, 2020 · Filed December 02, 2020

Jointly reported with Partners Ltd, BROOKFIELD Corp /ON/, Brookfield OCM Holdings, LLC, Brookfield OCM Holdings II, LLC, Oaktree Capital I, L.P., OAKTREE FUND GP I, L.P., Oaktree Fund GP, LLC, OCM Montrose II Holdings, L.P., OCM Montrose Holdings, L.P.

Section 16 reporting ended · disclosed 2020-12-02. 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	0	Reported balance After 2020-11-30 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2020-11-30 · Sale · Disposed 4,322,644 · Balance 0 F1: Consists of 1,666 shares of Montrose Environmental Group, Inc.?s (the ?Company?) directly beneficially owned by OCM FIE, LLC (?OCM FIE?) F2: Consists of 2,320,979 shares of the Company directly beneficially owned by OCM Montrose Holdings, L.P. (?OCM Montrose?) F3: Consists of 1,999,999 shares of the Company directly beneficially owned by OCM Montrose II Holdings, L.P. (?OCM Montrose II?) F4: This Form 4 is being filed jointly by (each, a ?Reporting Person? and, collectively, the ?Reporting Persons?) (i) OCM Montrose, (ii) OCM Montrose II, (iii) Oaktree Fund GP, LLC (?Fund GP?), in its capacity as the general partner of OCM Montrose and OCM Montrose II, (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) OCM FIE, (ix) Oaktree Capital Management, L.P. (?OCM L.P.?), in its capacity as the managing member of OCM FIE, (x) Oaktree Holdings, Ltd. (?Holdings Ltd.?), (cont?d in FN 5) F5: (cont?d from FN 4) in its capacity as the general partner of OCM L.P., (xi) Oaktree Capital Group, LLC (?OCG?), in its capacity as the managing member of Holdings LLC and sole director of Holdings Ltd., (xii) Brookfield Asset Management Inc. (?BAM?), in its capacity as the indirect owner of the class A units of OCG and (xiii) Partners Limited, 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: Consists of 1,666 shares of Montrose Environmental Group, Inc.?s (the ?Company?) directly beneficially owned by OCM FIE, LLC (?OCM FIE?)

F2: Consists of 2,320,979 shares of the Company directly beneficially owned by OCM Montrose Holdings, L.P. (?OCM Montrose?)

F3: Consists of 1,999,999 shares of the Company directly beneficially owned by OCM Montrose II Holdings, L.P. (?OCM Montrose II?)

F4: This Form 4 is being filed jointly by (each, a ?Reporting Person? and, collectively, the ?Reporting Persons?) (i) OCM Montrose, (ii) OCM Montrose II, (iii) Oaktree Fund GP, LLC (?Fund GP?), in its capacity as the general partner of OCM Montrose and OCM Montrose II, (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) OCM FIE, (ix) Oaktree Capital Management, L.P. (?OCM L.P.?), in its capacity as the managing member of OCM FIE, (x) Oaktree Holdings, Ltd. (?Holdings Ltd.?), (cont?d in FN 5)

F5: (cont?d from FN 4) in its capacity as the general partner of OCM L.P., (xi) Oaktree Capital Group, LLC (?OCG?), in its capacity as the managing member of Holdings LLC and sole director of Holdings Ltd., (xii) Brookfield Asset Management Inc. (?BAM?), in its capacity as the indirect owner of the class A units of OCG and (xiii) Partners Limited, 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.

STONEMOR PARTNERS LP

Report date October 24, 2019 · Filed October 30, 2019

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, Oaktree Holdings, Inc.

Section 16 reporting ended · disclosed 2019-10-30. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common units representing partnership interestsSEC Table I · non-derivative	Direct	3,950,660	Last balance in matching sequence After 2019-10-28 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2019-10-24 · Sale · Disposed 470,482 · Balance 4,007,375 F4: The price reported in Column 4 is a weighted average price. These Common Units were disposed of in multiple transactions at prices ranging from $1.03 to $1.15, 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 this footnote (5). 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; and (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), which is managed by its ten-member board of directors, in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC. 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. Row 2 · 2019-10-28 · Sale · Disposed 56,715 · Balance 3,950,660 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; and (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), which is managed by its ten-member board of directors, in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC. 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.

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; and (ix) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), which is managed by its ten-member board of directors, in its capacity as the sole shareholder of Holdings and the managing member of Holdings LLC.

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: The price reported in Column 4 is a weighted average price. These Common Units were disposed of in multiple transactions at prices ranging from $1.03 to $1.15, 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 this footnote (5).

STR Sub Inc.

Report date December 29, 2022 · Filed January 03, 2023

Jointly reported with Oaktree Capital Group Holdings GP, 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	Disclosure context
Class A Common StockSEC Table I · non-derivative	IndirectSee footnote	Reported balance After 2022-12-29 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 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	Reported balance After 2022-12-29 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 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	Reported balance After 2022-12-29 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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	Reported balance After 2022-12-29 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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.

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, Oaktree Capital Group Holdings GP, 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 row Row 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 row Row 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 row Row 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.

Vistra Corp.

Report date November 19, 2021 · Filed November 23, 2021

Jointly reported with Oaktree Capital Group Holdings GP, LLC, OAKTREE CAPITAL MANAGEMENT LP, Oaktree Holdings, Inc.

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 row Row 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.

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

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Purchases/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
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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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
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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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 30, 2023 Filed Dec 4, 2023 21:00 UTC	IPI Legacy Liquidation Co IMPL · Entity 15659	OtherWarrants · Derivative	445,294	Not disclosed Strike: $0.01	Not disclosed	Disclosure SEC source: 0001140361-23-056253 · form4.xml · derivative · entry 1 Oaktree GCP Fund Delaware Holdings, L.P. · CIK 0001992719 · 10% owner Oaktree Diversified Income Fund Inc. · CIK 0001870714 · 10% owner Oaktree AZ Strategic Lending Fund, L.P. · CIK 0001893422 · 10% owner Oaktree Loan Acquisition Fund, L.P. · CIK 0001992600 · 10% owner Oaktree LSL Fund Holdings EURRC S.a.r.l. · CIK 0001993020 · 10% owner Oaktree LSL Fund Delaware Holdings EURRC, L.P. · CIK 0001992639 · 10% owner Oaktree PRE Life Sciences Fund, L.P. · CIK 0001992640 · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · 10% owner Atlas OCM Holdings, LLC · CIK 0001790787 · 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: 3,117,057 Underlying: Common Stock · 445,294 shares Expires not disclosed F1 · kind: In connection with the achievement of a strategic milestone, the Issuer drew $2.5 million loans (of which the Reporting Persons funded $1.875 million) and issued the reported securities to the Reporting Persons. F2 · shares: The reported amount reflects (i) 4,880 Warrants issued to Oaktree-TCDRS Strategic Credit, LLC, (ii) 3,946 Warrants issued to Oaktree-Forrest Multi-Strategy, LLC, (iii) 2,374 Warrants issued to Oaktree-TBMR Strategic Credit Fund C, LLC, (iv) 3,718 Warrants issued to Oaktree-TBMR Strategic Credit Fund F, LLC, (v) 6,070 Warrants issued to Oaktree-TBMR Strategic Credit Fund G, LLC, (vi) 6,110 Warrants issued to Oaktree-TSE 16 Strategic Credit, LLC, (vii) 1,808 Warrants issued to INPRS Strategic Credit Holdings, LLC, (viii) 30,578 Warrants issued to Oaktree Gilead Investment Fund AIF (Delaware), L.P., (ix) 116,748 Warrants issued to Oaktree Specialty Lending Corporation, (x) 2,716 Warrants issued to Oaktree GCP Fund Delaware Holdings, L.P., (xi) 8,914 Warrants issued to Oaktree Diversified Income Fund Inc., (xii) 58,080 Warrants issued to Oaktree AZ Strategic Lending Fund, L.P., F3 · shares: (continued from Footnote 2) (xiii) 84,914 Warrants issued to Oaktree LSL Fund Holdings EURRC S.a r.l., (xiv) 33,966 Warrants issued to Oaktree LSL Fund Delaware Holdings EURRC, L.P., (xv) 38,014 Warrants issued to Oaktree PRE Life Sciences Fund, L.P., and (xvi) 42,458 Warrants issued to Oaktree Strategic Credit Fund. F1 · price: In connection with the achievement of a strategic milestone, the Issuer drew $2.5 million loans (of which the Reporting Persons funded $1.875 million) and issued the reported securities to the Reporting Persons. F4 · derivative.exercise_date: The Warrants are exercisable at any time prior to the earlier to occur of: (a) the seventh anniversary of the date of issuance or (b) a change of control. Prior to the reported issuance, 1,335,881 Warrants were issued on September 5, 2023, 445,293 Warrants were issued on October 2, 2023, 445,295 Warrants were issued on October 6, 2023, 222,647 Warrants were issued on November 3, 2023, and 222,647 Warrants were issued on November 10, 2023. F4 · derivative.expiration_date: The Warrants are exercisable at any time prior to the earlier to occur of: (a) the seventh anniversary of the date of issuance or (b) a change of control. Prior to the reported issuance, 1,335,881 Warrants were issued on September 5, 2023, 445,293 Warrants were issued on October 2, 2023, 445,295 Warrants were issued on October 6, 2023, 222,647 Warrants were issued on November 3, 2023, and 222,647 Warrants were issued on November 10, 2023. F5 · balance_after: The reported amount reflects (i) 34,162 Warrants held directly by Oaktree-TCDRS Strategic Credit, LLC, (ii) 27,619 Warrants held directly by Oaktree-Forrest Multi-Strategy, LLC, (iii) 16,615 Warrants held directly by Oaktree-TBMR Strategic Credit Fund C, LLC, (iv) 26,027 Warrants held directly by Oaktree-TBMR Strategic Credit Fund F, LLC, (v) 42,487 Warrants held directly by Oaktree-TBMR Strategic Credit Fund G, LLC, (vi) 42,767 Warrants held directly by Oaktree-TSE 16 Strategic Credit, LLC, (vii) 12,655 Warrants held directly by INPRS Strategic Credit Holdings, LLC, (viii) 214,048 Warrants held directly by Oaktree Gilead Investment Fund AIF (Delaware), L.P., (ix) 817,232 Warrants held directly by Oaktree Specialty Lending Corporation, (x) 19,013 Warrants held directly by Oaktree GCP Fund Delaware Holdings, L.P., (xi) 62,402 Warrants held directly by Oaktree Diversified Income Fund Inc., (xii) 406,558 Warrants held directly by Oaktree AZ Strategic Lending Fund, L.P., F6 · balance_after: (continued from Footnote 5) (xiii) 135,861 Warrants held directly by Oaktree Loan Acquisition Fund, L.P., (xiv) 458,532 Warrants held directly by Oaktree LSL Fund Holdings EURRC S.a r.l., (xv) 237,767 Warrants held directly by Oaktree LSL Fund Delaware Holdings EURRC, L.P., (xvi) 266,102 Warrants held directly by Oaktree PRE Life Sciences Fund, L.P. (each of the foregoing, an "Atlas Entity," and together, the "Atlas Entities"), and (xvii) 297,210 Warrants held directly by Oaktree Strategic Credit Fund (together with the Atlas Entities, the "Oaktree Holders," and each an "Oaktree Holder"). F7 · ownership.nature: Oaktree Capital Group, LLC, in its capacity as the indirect manager of Oaktree Strategic Credit Fund, may be deemed to beneficially own the Warrants held directly by Oaktree Strategic Credit Fund. Atlas OCM Holdings, LLC, in its capacity as the indirect manager of the Atlas Entities, may be deemed to beneficially own the Warrants held directly by the Atlas Entities. Brookfield Corporation, in its capacity as the indirect owner of the class A units of Oaktree Capital Group, LLC, may be deemed to beneficially own the Warrants held directly by Oaktree Strategic Credit Fund. BAM Partners Trust, in its capacity as the sole owner of Class B Limited Voting Shares of Brookfield Corporation, may be deemed to beneficially own the Warrants held directly by Oaktree Strategic Credit Fund. Brookfield Asset Management ULC, in its capacity as the indirect owner of Class A units of Atlas OCM Holdings, LLC, may be deemed to beneficially own the Warrants held directly by the Atlas Entities. F8 · ownership.nature: Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any of the Reporting Persons that it is the beneficial owner of any of the Warrants referred to herein for the purposes of Section 16 of the Securities and Exchange Act, or for any other purpose, and such beneficial ownership is expressly disclaimed by each Reporting Person, other than each Oaktree Holder with respect to securities reported as directly held by such Oaktree Holder. 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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
June 06, 2023 Filed Jun 9, 2023 11:17 UTC	Garrett Motion Inc. GTX,GTXAP · Entity 1720	Disposition to issuerSeries A Cumulative Convertible Preferred Stock · Derivative	984,182	$8.18 Strike: $5.25	$8,047,656.21	Disclosure SEC source: 0000899243-23-015069 · 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: 920,580 Underlying: Common Stock · 984,182 shares Expires not disclosed F5 · derivative.exercise_price: Each share of Series A Preferred Stock is convertible into one share of Common Stock pursuant to the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company, dated as of June 6, 2023. 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. F5 · derivative.exercise_date: Each share of Series A Preferred Stock is convertible into one share of Common Stock pursuant to the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company, dated as of June 6, 2023. F5 · derivative.expiration_date: Each share of Series A Preferred Stock is convertible into one share of Common Stock pursuant to the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company, dated as of June 6, 2023. F2 · ownership.nature: These shares of the Company's common stock, $0.001 par value per share ("Common Stock") and the Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred 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 and Series A Preferred 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"), F3 · ownership.nature: (Continued from Footnote 2) 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"), 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. F4 · ownership.nature: (Continued from Footnote 3) 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 06, 2023 Filed Jun 9, 2023 11:17 UTC	Garrett Motion Inc. GTX,GTXAP · Entity 1720	Disposition to issuerSeries A Cumulative Convertible Preferred Stock · Derivative	27,127,173	$8.18 Strike: $5.25	$221,818,893.62	Disclosure SEC source: 0000899243-23-015069 · 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: 25,428,298 Underlying: Common Stock · 27,127,173 shares Expires not disclosed F5 · derivative.exercise_price: Each share of Series A Preferred Stock is convertible into one share of Common Stock pursuant to the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company, dated as of June 6, 2023. 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. F5 · derivative.exercise_date: Each share of Series A Preferred Stock is convertible into one share of Common Stock pursuant to the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company, dated as of June 6, 2023. F5 · derivative.expiration_date: Each share of Series A Preferred Stock is convertible into one share of Common Stock pursuant to the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company, dated as of June 6, 2023. F2 · ownership.nature: These shares of the Company's common stock, $0.001 par value per share ("Common Stock") and the Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred 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 and Series A Preferred 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"), F3 · ownership.nature: (Continued from Footnote 2) 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"), 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. F4 · ownership.nature: (Continued from Footnote 3) 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 06, 2023 Filed Jun 9, 2023 11:17 UTC	Garrett Motion Inc. GTX,GTXAP · Entity 1720	Disposition to issuerSeries A Cumulative Convertible Preferred Stock · Derivative	7,418,669	$8.18 Strike: $5.25	$60,662,456.41	Disclosure SEC source: 0000899243-23-015069 · 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: 6,955,912 Underlying: Common Stock · 7,418,669 shares Expires not disclosed F5 · derivative.exercise_price: Each share of Series A Preferred Stock is convertible into one share of Common Stock pursuant to the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company, dated as of June 6, 2023. 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. F5 · derivative.exercise_date: Each share of Series A Preferred Stock is convertible into one share of Common Stock pursuant to the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company, dated as of June 6, 2023. F5 · derivative.expiration_date: Each share of Series A Preferred Stock is convertible into one share of Common Stock pursuant to the terms of that certain Amended and Restated Certificate of Designations of Series A Cumulative Convertible Preferred Stock of the Company, dated as of June 6, 2023. F2 · ownership.nature: These shares of the Company's common stock, $0.001 par value per share ("Common Stock") and the Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred 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 and Series A Preferred 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"), F3 · ownership.nature: (Continued from Footnote 2) 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"), 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. F4 · ownership.nature: (Continued from Footnote 3) 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 06, 2023 Filed Jun 9, 2023 11:17 UTC	Garrett Motion Inc. GTX,GTXAP · Entity 1720	GrantCommon Stock	102,728	$8.18	$840,006.86	Disclosure SEC source: 0000899243-23-015069 · 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: 1,023,308 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. F2 · ownership.nature: These shares of the Company's common stock, $0.001 par value per share ("Common Stock") and the Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred 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 and Series A Preferred 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"), F3 · ownership.nature: (Continued from Footnote 2) 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"), 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. F4 · ownership.nature: (Continued from Footnote 3) 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 06, 2023 Filed Jun 9, 2023 11:17 UTC	Garrett Motion Inc. GTX,GTXAP · Entity 1720	GrantCommon Stock	2,831,513	$8.18	$23,153,281.80	Disclosure SEC source: 0000899243-23-015069 · 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: 28,259,811 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. F2 · ownership.nature: These shares of the Company's common stock, $0.001 par value per share ("Common Stock") and the Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred 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 and Series A Preferred 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"), F3 · ownership.nature: (Continued from Footnote 2) 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"), 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. F4 · ownership.nature: (Continued from Footnote 3) 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 06, 2023 Filed Jun 9, 2023 11:17 UTC	Garrett Motion Inc. GTX,GTXAP · Entity 1720	GrantCommon Stock	774,354	$8.18	$6,331,892.66	Disclosure SEC source: 0000899243-23-015069 · 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: 8,448,888 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. 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 pursuant to the Transaction Agreement and are exempt transactions pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as may be amended. F2 · ownership.nature: These shares of the Company's common stock, $0.001 par value per share ("Common Stock") and the Series A Cumulative Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred 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 and Series A Preferred 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"), F3 · ownership.nature: (Continued from Footnote 2) 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"), 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. F4 · ownership.nature: (Continued from Footnote 3) 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
March 29, 2023 Filed Mar 31, 2023 01:30 UTC	Runway Growth Finance Corp. RWAY · Entity 6030	SaleCommon Stock, par value $0.01 per share	50,256	$11.94	$599,805.36	Disclosure SEC source: 0000899243-23-010046 · doc4.xml · nonDerivative · entry 2 Brookfield Multi-Strategy Master Fund LP · CIK 0001909657 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner OCM Growth Holdings LLC · CIK 0001693272 · Director · 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,054,667 F1 · balance_after: Includes shares acquired pursuant to the issuer's dividend reinvestment plan. F2 · ownership.direct: Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns no shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer") following the transactions reported herein. OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC") ("OCMGH"), directly owns 21,030,578 shares of Common Stock of the Issuer. Oaktree opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware"), directly owns 24,089 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH and Fund Xb Delaware, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, F3 · ownership.direct: (Continued from Footnote 2) (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC("Holdings"),in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and F4 · ownership.direct: (Continued from Footnote 3) (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the 100% holder of Brookfield US's Class A Common Stock and 50% holder of Brookfield US's Class C Series 1 Preferred Shares; F5 · ownership.direct: (Continued from Footnote 4) (xiii) Brookfield BUSI Holdings ULC, a Canadian unlimited liability company ("BUSI Holdings"), in its capacity a holder of 100% Brookfield US's Class B Common Stock and 50% holder of Brookfield US's Class C Series 1 Preferred Shares; (xiv) Brookfield Asset Management ULC, a Canadian unlimited liability company ("BAM ULC"), in its capacity as the sole shareholder of Brookfield US Holdings; (xv) Brookfield Corporation, a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and holder of 75% of BAM ULC; (xvi) Brookfield Asset Management Ltd., a Canadian corporation ("BAM Ltd."), in its capacity as holder of 25% of BAM ULC; and (xvii) 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. F6 · 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 4shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F7 · 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. F8 · 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
March 28, 2023 Filed Mar 31, 2023 01:30 UTC	Runway Growth Finance Corp. RWAY · Entity 6030	SaleCommon Stock, par value $0.01 per share	24,744	$11.96	$295,987.73	Disclosure SEC source: 0000899243-23-010046 · doc4.xml · nonDerivative · entry 1 Brookfield Multi-Strategy Master Fund LP · CIK 0001909657 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · 10% owner OCM Growth Holdings LLC · CIK 0001693272 · Director · 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,104,923 F1 · balance_after: Includes shares acquired pursuant to the issuer's dividend reinvestment plan. F2 · ownership.direct: Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns no shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer") following the transactions reported herein. OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC") ("OCMGH"), directly owns 21,030,578 shares of Common Stock of the Issuer. Oaktree opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware"), directly owns 24,089 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH and Fund Xb Delaware, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, F3 · ownership.direct: (Continued from Footnote 2) (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC("Holdings"),in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and F4 · ownership.direct: (Continued from Footnote 3) (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"), in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the 100% holder of Brookfield US's Class A Common Stock and 50% holder of Brookfield US's Class C Series 1 Preferred Shares; F5 · ownership.direct: (Continued from Footnote 4) (xiii) Brookfield BUSI Holdings ULC, a Canadian unlimited liability company ("BUSI Holdings"), in its capacity a holder of 100% Brookfield US's Class B Common Stock and 50% holder of Brookfield US's Class C Series 1 Preferred Shares; (xiv) Brookfield Asset Management ULC, a Canadian unlimited liability company ("BAM ULC"), in its capacity as the sole shareholder of Brookfield US Holdings; (xv) Brookfield Corporation, a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and holder of 75% of BAM ULC; (xvi) Brookfield Asset Management Ltd., a Canadian corporation ("BAM Ltd."), in its capacity as holder of 25% of BAM ULC; and (xvii) 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. F6 · 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 4shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F7 · 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. F8 · 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
March 28, 2023 Filed Mar 31, 2023 01:01 UTC	BATTALION OIL CORP BATL · Entity 6921	GrantSeries A Redeemable Convertible Preferred Stock · Derivative	6,526	Not disclosed	Not disclosed	Disclosure SEC source: 0001140361-23-014950 · 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: 6,526 Underlying: Common Stock · Not disclosed shares Expires not disclosed F5 · derivative.exercise_price: Pursuant to the Certificate of Designations contemplated by the Series A Purchase Agreement (the "Series A Certificate of Designations"), the conversion price of the Series A Preferred Shares is $9.03 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 Certificate of Designations. F4 · price: Pursuant to a Purchase Agreement dated as of March 28, 2023 (the "Series A Purchase Agreement"), on March 28, 2023 (the "Issuance Date"), OCM HLCN acquired from the Issuer 6,526 shares of Series A Redeemable Convertible Preferred Stock of the Issuer, par value $0.0001 per share ("Series A Preferred Shares") convertible into shares of Common Stock for an aggregate purchase price of approximately $6.4 million. F6 · derivative.exercise_date: Subject to the terms and conditions of the Series A Certificate of Designations, all or any portion of the Series A 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 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A Certificate of Designations) and (ii) the then-applicable conversion price. F7 · derivative.expiration_date: The Series A 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 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 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 Preferred Shares into Common Stock using the then-applicable Conversion Ratio. F8 · derivative.expiration_date: The Series A 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 Certificate of Designations. In the event of a change of control transaction, the Series A Preferred Shares are subject to redemption or conversion in accordance with the terms of the Series A Certificate of Designations. F6 · derivative.underlying_shares: Subject to the terms and conditions of the Series A Certificate of Designations, all or any portion of the Series A 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 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A 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 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. Read SEC document
December 29, 2022 Filed Jan 3, 2023 21:57 UTC	STR Sub Inc. STR · Entity 15413	OtherAllocation Rights · Derivative	65,001	Not disclosed	Not disclosed	Disclosure SEC source: 0000950142-23-000023 · es230317259_4-sitio2.xml · derivative · entry 4 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: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Class A common stock · 65,001 shares Expires not disclosed F4 · derivative.exercise_price: 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 · derivative.exercise_price: (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. F4 · kind: 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 · kind: (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. F4 · price: 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 · price: (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. F4 · derivative.exercise_date: 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 · derivative.exercise_date: (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. F4 · derivative.expiration_date: 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 · derivative.expiration_date: (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 · ownership.nature: 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 · ownership.nature: (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. Read SEC document
December 29, 2022 Filed Jan 3, 2023 21:57 UTC	STR Sub Inc. STR · Entity 15413	OtherOpco Units · Derivative	12,935,120	Not disclosed	Not disclosed	Disclosure SEC source: 0000950142-23-000023 · es230317259_4-sitio2.xml · derivative · entry 3 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: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Class A common stock · 12,935,120 shares Expires not disclosed F1 · derivative.exercise_price: 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 · derivative.exercise_price: (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 · derivative.exercise_price: 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. F1 · kind: 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 · kind: (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. F1 · price: 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 · price: (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 · price: 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. F1 · derivative.exercise_date: 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 · derivative.exercise_date: (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 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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 · derivative.expiration_date: (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 · derivative.expiration_date: 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 · ownership.nature: 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 · ownership.nature: (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. Read SEC document
December 29, 2022 Filed Jan 3, 2023 21:57 UTC	STR Sub Inc. STR · Entity 15413	OtherClass C Common Stock	12,935,120	Not disclosed	Not disclosed	Disclosure SEC source: 0000950142-23-000023 · es230317259_4-sitio2.xml · nonDerivative · entry 2 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: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F3 · kind: 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. F3 · price: 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 · ownership.nature: 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 · ownership.nature: (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. Read SEC document
December 29, 2022 Filed Jan 3, 2023 21:57 UTC	STR Sub Inc. STR · Entity 15413	OtherClass A Common Stock	10,431	Not disclosed	Not disclosed	Disclosure SEC source: 0000950142-23-000023 · es230317259_4-sitio2.xml · nonDerivative · entry 1 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: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F3 · kind: 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. F3 · price: 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 · ownership.nature: 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 · ownership.nature: (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. Read SEC document
November 08, 2022 Filed Nov 10, 2022 22:18 UTC	Berry Corp (bry) BRY · Entity 71163	SaleCommon Stock	1,000,000	$9.60	$9,603,600.00	Disclosure SEC source: 0000950142-22-003150 · es220303398_4-berry2.xml · nonDerivative · entry 1 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Capital Management GP, LLC · CIK 0001831013 · 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 BROOKFIELD ASSET MANAGEMENT INC. · 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: Not disclosed Ownership: Direct Disclosed balance after: 6,797,000 F1 · balance_after: 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 · balance_after: 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 · ownership.direct: 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 · ownership.direct: (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 · 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
October 13, 2022 Filed Oct 18, 2022 00:59 UTC	Berry Corp (bry) BRY · Entity 71163	SaleCommon Stock	2,825,000	$8.50	$24,012,500.00	Disclosure SEC source: 0000950142-22-002920 · es220295584_4-berry2.xml · nonDerivative · entry 1 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Capital Management GP, LLC · CIK 0001831013 · 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 BROOKFIELD ASSET MANAGEMENT INC. · 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: Not disclosed Ownership: Direct Disclosed balance after: 7,797,000 F1 · balance_after: 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 · balance_after: Consists of 3,354,419 shares of Common Stock held by Oaktree Opportunities Fund X Holdings (Delaware), L.P. ("Fund X Delaware"), 3,070,299 shares of Common Stock held by Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. ("Fund Xb Delaware") and 1,372,282 shares of Common Stock held by Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"). F3 · ownership.direct: This Form 4 is being filed jointly by (each "Reporting Person" and, collectively, the "Reporting Persons") (i) Fund X Delaware, (ii) Fund Xb Delaware, (iii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as the general partner of Fund X Delaware and Fund Xb Delaware, (iv) VOF Holdings, (v) Oaktree Value Opportunities Fund GP, L.P. ("VOF GP") in its capacity as the general partner of VOF Holdings, (vi) Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd.") 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 · ownership.direct: (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 · 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
October 07, 2022 Filed Oct 11, 2022 22:40 UTC	Berry Corp (bry) BRY · Entity 71163	SaleCommon Stock	1,000,000	$9.00	$9,000,000.00	Disclosure SEC source: 0000950142-22-002865 · es220294106_4-berry2.xml · nonDerivative · entry 1 OAKTREE CAPITAL MANAGEMENT LP · CIK 0000949509 · 10% owner Oaktree Capital Management GP, LLC · CIK 0001831013 · 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 BROOKFIELD ASSET MANAGEMENT INC. · 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: Not disclosed Ownership: Direct Disclosed balance after: 10,622,000 F1 · balance_after: 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 · balance_after: Consists of 4,569,788 shares of Common Stock held by Oaktree Opportunities Fund X Holdings (Delaware), L.P. ("Fund X Delaware"), 4,182,726 shares of Common Stock held by Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. ("Fund Xb Delaware") and 1,869,486 shares of Common Stock held by Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"). F3 · ownership.direct: This Form 4 is being filed jointly by (each "Reporting Person" and, collectively, the "Reporting Persons") (i) Fund X Delaware, (ii) Fund Xb Delaware, (iii) Oaktree Fund GP, LLC ("Fund GP") in its capacity as the general partner of Fund X Delaware and Fund Xb Delaware, (iv) VOF Holdings, (v) Oaktree Value Opportunities Fund GP, L.P. ("VOF GP") in its capacity as the general partner of VOF Holdings, (vi) Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd.") 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 · ownership.direct: (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 · 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
September 08, 2022 Filed Sep 12, 2022 16:30 UTC	TPI COMPOSITES, INC TPIC · Entity 12367	SaleCommon Stock	69,360	$18.85	$1,307,436.00	Disclosure SEC source: 0000950142-22-002691 · es220285196_4-tpic1.xml · nonDerivative · entry 3 Opps TPIC Holdings, LLC · CIK 0001894383 · 10% owner Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. · CIK 0001894389 · 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 ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 12,263 F3 · kind: Consists of shares of Common Stock beneficially owned by Oaktree Phoenix Investment Fund, L.P. ("Phoenix"). F4 · ownership.nature: 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 · 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
September 08, 2022 Filed Sep 12, 2022 16:30 UTC	TPI COMPOSITES, INC TPIC · Entity 12367	SaleCommon Stock	1,486,281	$18.85	$28,016,396.85	Disclosure SEC source: 0000950142-22-002691 · es220285196_4-tpic1.xml · nonDerivative · entry 2 Opps TPIC Holdings, LLC · CIK 0001894383 · 10% owner Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. · CIK 0001894389 · 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 ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 262,777 F2 · kind: Consists of shares of Common Stock beneficially owned by Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. ("Power V"). F4 · ownership.nature: 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 · 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
September 08, 2022 Filed Sep 12, 2022 16:30 UTC	TPI COMPOSITES, INC TPIC · Entity 12367	SaleCommon Stock	2,407,775	$18.85	$45,386,558.75	Disclosure SEC source: 0000950142-22-002691 · es220285196_4-tpic1.xml · nonDerivative · entry 1 Opps TPIC Holdings, LLC · CIK 0001894383 · 10% owner Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. · CIK 0001894389 · 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 ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 425,699 F1 · kind: Consists of shares of Common Stock beneficially owned by Opps TPIC Holdings, LLC ("Opps"). F4 · ownership.nature: 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 · 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
August 31, 2022 Filed Sep 6, 2022 18:43 UTC	TPI COMPOSITES, INC TPIC · Entity 12367	OtherWarrants (right to buy) · Derivative	81,667	$0.00 Strike: $0.01	$0.00	Disclosure SEC source: 0000950142-22-002666 · es220283630_4-tpic1.xml · derivative · entry 9 Opps TPIC Holdings, LLC · CIK 0001894383 · 10% owner Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. · CIK 0001894389 · 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 ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 81,667 shares Expires 2026-11-22 F4 · ownership.direct: 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 · ownership.direct: 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 3. Read SEC document
August 31, 2022 Filed Sep 6, 2022 18:43 UTC	TPI COMPOSITES, INC TPIC · Entity 12367	OtherWarrants (right to buy) · Derivative	1,750,000	$0.00 Strike: $0.01	$0.00	Disclosure SEC source: 0000950142-22-002666 · es220283630_4-tpic1.xml · derivative · entry 8 Opps TPIC Holdings, LLC · CIK 0001894383 · 10% owner Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. · CIK 0001894389 · 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 ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,750,000 shares Expires 2026-11-22 F4 · ownership.direct: 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 · ownership.direct: 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 3. Read SEC document
August 31, 2022 Filed Sep 6, 2022 18:43 UTC	TPI COMPOSITES, INC TPIC · Entity 12367	OtherWarrants (right to buy) · Derivative	2,835,000	$0.00 Strike: $0.01	$0.00	Disclosure SEC source: 0000950142-22-002666 · es220283630_4-tpic1.xml · derivative · entry 7 Opps TPIC Holdings, LLC · CIK 0001894383 · 10% owner Oaktree Power Opportunities Fund V (Delaware) Holdings, L.P. · CIK 0001894389 · 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 ASSET MANAGEMENT INC. · CIK 0001001085 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,835,000 shares Expires 2026-11-22 F4 · ownership.direct: 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 · ownership.direct: 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 3. 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.