SEC Form 4 · accession 0000899243-18-008877
Brookfield Oaktree Holdings, LLC · OAK-PA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wayne G Pierson
Director
Period of report
Mar 28, 2018
Accepted (ET)
Mar 29, 2018 · 4:24 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 28, 2018 | A | 2,301 | $0.00 | A | 8,782 | 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 February 15, 2019.
Remarks
This report excludes 7,251,607 limited partnership units of Oaktree Capital Group Holdings, L.P. ("OCGH") held by Acorn Investors, LLC, which Mr. Pierson may be deemed to beneficially own. Mr. Pierson is the President of Acorn Investors, LLC and disclaims beneficial ownership of the OCGH units held by it.