SEC Form 4 · accession 0000899243-16-026669
Brookfield Oaktree Holdings, LLC · OAK-PA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Frank
Officer — Vice Chairman · Director
Period of report
Aug 5, 2016
Accepted (ET)
Aug 9, 2016 · 8:21 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 | Aug 5, 2016 | S | 1,850 | $44.9001 | D | 89,817 | D | |
| Class A UnitsF2 | Aug 8, 2016 | S | 14,817 | $45.1123 | D | 75,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $44.75 to $44.94. 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.
- F2This transaction was executed in multiple trades at prices ranging from $44.75 to $45.55. 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.