SEC Form 4 · accession 0000899243-18-004685
Brookfield Oaktree Holdings, LLC · OAK-PA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jay S Wintrob
Officer — Chief Executive Officer · Director
Period of report
Feb 15, 2018
Accepted (ET)
Feb 20, 2018 · 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 | Feb 15, 2018 | F | 5,583 | $0.00 | D | 93,496 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OCGH UnitsF3,F2 | — | Feb 15, 2018 | F | 7,780 | D | — | — | Class A Units | 7,780 | 217,220 | D |
Explanation of responses
- F1Represents the number of Class A units of the Issuer withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations upon the vesting of certain Class A units held by the Reporting Person.
- F2Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, Mr. Wintrob has the right to exchange his vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing.
- F3Represents the number of OCGH Units withheld to satisfy the Reporting Person's tax withholding obligations upon the vesting of certain OCGH Units held by the Reporting Person.