SEC Form 4 · accession 0000899243-17-004610
Brookfield Oaktree Holdings, LLC · OAK-PA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David M Kirchheimer
Officer — See Remarks · Director
Period of report
Feb 15, 2017
Accepted (ET)
Feb 17, 2017 · 7:58 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,F2 | Feb 15, 2017 | S | 8,333 | $45.7422 | D | 58,470 | 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 $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.
- F2Includes 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.
Remarks
Chief Financial Officer and Principal