SEC Form 4 · accession 0000899243-16-017471
Brookfield Oaktree Holdings, LLC · OAK-PA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wayne G Pierson
Director
Period of report
Mar 31, 2016
Accepted (ET)
Apr 4, 2016 · 7:49 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001403528
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A UnitsF1 | Mar 31, 2016 | A | 2,234 | $0.00 | A | 4,219 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Granted under the Issuer's 2011 Equity Incentive Plan and will generally vest in equal annual installments over four years with the first vesting date occurring on March 1, 2017.
Remarks
This report excludes 100,000 Class A units of the Issuer and 7,803,250 limited partnership units of Oaktree Capital Group Holdings, L.P. ("OCGH") held by Acorn Investors, LLC, which Mr. Pierson may be deemed to beneficially own. Mr. Pierson is the President of Acorn Investors, LLC and disclaims beneficial ownership of the Class A units and OCGH units held by it.