SEC Form 4 · accession 0000899243-17-009451
Brookfield Oaktree Holdings, LLC · OAK-PA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Richard Masson
Director
Period of report
Mar 31, 2017
Accepted (ET)
Apr 5, 2017 · 12:43 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, 2017 | A | 2,262 | $0.00 | A | 10,399 | D | |
| Class A UnitsF2 | holding | — | — | — | 100,513 | I | By Trust |
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 February 15, 2018.
- F2This balance represents the number of Class A units of Oaktree Capital Group, LLC held by a trust controlled by Mr. Masson as of the date of this filing, which units had previously been reported as directly held by Mr. Masson. Mr. Masson disclaims beneficial ownership of the Class A units reported on this Form 4, except to the extent of his pecuniary interest therein.