KIRCHHEIMER DAVID M

SEC source: 0001225208-24-000519 · doc4.xml · nonDerivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 94,063

SEC source: 0001225208-23-009990 · doc4.xml · nonDerivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 81,009

F1 · shares: Included in the amount reported are shares acquired under the Automatic Dividend Reinvestment Plan (DRIP), exempt under Rule 16a-11.

SEC source: 0001225208-23-007547 · doc4.xml · nonDerivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 59,194

SEC source: 0001209191-23-023540 · doc4.xml · nonDerivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote 3

Disclosed balance after: 85,934

F1 · shares: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. The grant was made under the Issuer's 2023 director compensation program and will vest on April 2, 2024.

F2 · price: The restricted common stock units were awarded in an exempt transaction pursuant to Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended.

F3 · ownership.nature: These securities are held directly by DMK Advisory, LLC, of which Mr. Kirchheimer is the sole member. Mr. Kirchheimer disclaims beneficial ownership of the shares held by DMK Advisory, LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Kirchheimer is the beneficial owner of the shares held by DMK Advisory, LLC.

SEC source: 0001209191-22-038207 · doc4.xml · nonDerivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 3

Disclosed balance after: 31,747

F1 · shares: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. The restricted stock units vest on the date of the Issuer's annual meeting of stockholders in 2023.

F2 · price: The restricted common stock units were awarded in an exempt transaction pursuant to Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended.

F3 · ownership.nature: These securities are held directly by DMK Advisory, LLC, of which Mr. Kirchheimer is the sole member. Mr. Kirchheimer disclaims beneficial ownership of the shares held by DMK Advisory, LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Kirchheimer is the beneficial owner of the shares held by DMK Advisory, LLC.

SEC source: 0001225208-22-000944 · doc4.xml · nonDerivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 38,878

SEC source: 0001225208-21-014812 · doc4.xml · nonDerivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 38,236

SEC source: 0001225208-21-013390 · doc4.xml · nonDerivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 36,054

SEC source: 0001225208-21-011670 · doc4.xml · nonDerivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 34,529

SEC source: 0001209191-21-042276 · doc4.xml · nonDerivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 3

Disclosed balance after: 8,139

F1 · shares: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. The restricted stock units vest on the date of the Issuer's annual meeting of stockholders in 2022.

F2 · price: The restricted common stock units were awarded in an exempt transaction pursuant to Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended.

F3 · ownership.nature: These securities are held directly by DMK Advisory, LLC, of which Mr. Kirchheimer is the sole member. Mr. Kirchheimer disclaims beneficial ownership of the shares held by DMK Advisory, LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Kirchheimer is the beneficial owner of the shares held by DMK Advisory, LLC.

SEC source: 0001225208-20-013258 · doc4.xml · nonDerivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 31,470

SEC source: 0000905729-20-000142 · ownership.xml · nonDerivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,383

F1 · shares: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. The restricted stock units vest on the date of the Issuer's annual meeting of stockholders in 2021.

F2 · price: The restricted common stock units were awarded in an exempt transaction pursuant to Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended.

SEC source: 0001209191-20-014620 · doc4.xml · nonDerivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · In trust

Disclosed balance after: 15,475

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.21 to $9.99, 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 range set forth in this footnote.

SEC source: 0001209191-19-031350 · doc4.xml · nonDerivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,619

F1 · shares: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. The restricted stock units vest on the date of the Issuer's annual meeting of stockholders in 2020.

F2 · price: The restricted common stock units were awarded in an exempt transaction pursuant to Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended.

SEC source: 0001209191-18-060890 · doc4.xml · nonDerivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,709

F1 · shares: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units vest at the 2019 annual meeting of the Issuer's stockholders.

F2 · price: The restricted stock units were awarded in an exempt transaction pursuant to Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended.

SEC source: 0000899243-17-004610 · doc4.xml · nonDerivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,470

F1 · price: This transaction was executed in multiple trades at prices ranging from $45.70 to $45.80. The price reported reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of units and prices at which the transaction was effected.

F2 · balance_after: Includes 136 Class A units previously included in the Reporting Person's Class A unit balances reported on Form 4, but that were inadvertently not included in the Class A units balances on the Form 4 filings of the Reporting Person on August 5, 2016 and November 15, 2016.

SEC source: 0000899243-17-004123 · doc5.xml · derivative · entry 2

KIRCHHEIMER DAVID M · CIK 0001372704 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Kirchheimer Trusts

Disclosed balance after: 197,098

Underlying: Class A Units · 197,098 shares

Expires not disclosed

F2 · derivative.exercise_price: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3)

F3 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired.

F1 · kind: This Form 5 has been filed to report a transfer of 197,098 limited partnership units ("OCGH units") of Oaktree Capital Group Holdings, L.P. ("OCGH") in the aggregate by a grantor retained annuity trust to certain trusts controlled by Mr. Kirchheimer in his capacity as trustee (the "Kirchheimer Trusts") in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Karsh. [For the avoidance of doubt, following such transactions, there was no change in the aggregate number of OCGH units beneficially owned by Mr. Kirchheimer.]

F2 · derivative.exercise_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3)

F3 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired.

F2 · derivative.expiration_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3)

F3 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired.

SEC source: 0000899243-17-004123 · doc5.xml · derivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By grantor retained annuity trust

Disclosed balance after: 0

Underlying: Class A Units · 197,098 shares

Expires not disclosed

F2 · derivative.exercise_price: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3)

F3 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired.

F1 · kind: This Form 5 has been filed to report a transfer of 197,098 limited partnership units ("OCGH units") of Oaktree Capital Group Holdings, L.P. ("OCGH") in the aggregate by a grantor retained annuity trust to certain trusts controlled by Mr. Kirchheimer in his capacity as trustee (the "Kirchheimer Trusts") in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Karsh. [For the avoidance of doubt, following such transactions, there was no change in the aggregate number of OCGH units beneficially owned by Mr. Kirchheimer.]

F2 · derivative.exercise_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3)

F3 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired.

F2 · derivative.expiration_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3)

F3 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired.

SEC source: 0000899243-17-004319 · doc5a.xml · derivative · entry 2

KIRCHHEIMER DAVID M · CIK 0001372704 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By Kirchheimer Trusts

Disclosed balance after: 197,098

Underlying: Class A Units · 197,098 shares

Expires not disclosed

F2 · derivative.exercise_price: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3)

F3 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired.

F1 · kind: This Form 5 has been filed to report a transfer of 197,098 limited partnership units ("OCGH units") of Oaktree Capital Group Holdings, L.P. ("OCGH") in the aggregate by a grantor retained annuity trust to certain trusts controlled by Mr. Kirchheimer in his capacity as trustee (the "Kirchheimer Trusts") in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Kirchheimer. For the avoidance of doubt, following such transactions, there was no change in the aggregate number of OCGH units beneficially owned by Mr. Kirchheimer.

F2 · derivative.exercise_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3)

F3 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired.

F2 · derivative.expiration_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3)

F3 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired.

SEC source: 0000899243-17-004319 · doc5a.xml · derivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By grantor retained annuity trust

Disclosed balance after: 0

Underlying: Class A Units · 197,098 shares

Expires not disclosed

F2 · derivative.exercise_price: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3)

F3 · derivative.exercise_price: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired.

F1 · kind: This Form 5 has been filed to report a transfer of 197,098 limited partnership units ("OCGH units") of Oaktree Capital Group Holdings, L.P. ("OCGH") in the aggregate by a grantor retained annuity trust to certain trusts controlled by Mr. Kirchheimer in his capacity as trustee (the "Kirchheimer Trusts") in accordance with the terms of the grantor retained annuity trust. The OCGH units transferred by the grantor retained annuity trust had previously been reported as directly owned by Mr. Kirchheimer. For the avoidance of doubt, following such transactions, there was no change in the aggregate number of OCGH units beneficially owned by Mr. Kirchheimer.

F2 · derivative.exercise_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3)

F3 · derivative.exercise_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired.

F2 · derivative.expiration_date: Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units has the right to exchange his or her vested OCGH units for, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3)

F3 · derivative.expiration_date: The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired.

SEC source: 0000899243-16-033835 · doc4.xml · nonDerivative · entry 1

KIRCHHEIMER DAVID M · CIK 0001372704 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,667

F1 · price: This transaction was executed in multiple trades at prices ranging from $40.80 to $41.05. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of units and prices at which the transaction was effected.