SEC Form 4 · accession 0000899243-16-033713
Brookfield Oaktree Holdings, LLC · OAK-PA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven J Gilbert
Director
Period of report
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 8:31 pm EST
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 | Nov 14, 2016 | A | 406 | $0.00 | A | 406 | 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 August 1, 2017.