SEC Form 4/A · accession 0001144204-17-015275
Oaktree Specialty Lending Corp · OCSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Leonard M Tannenbaum
10% Owner
Period of report
Dec 12, 2016
Accepted (ET)
Mar 17, 2017 · 10:40 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001414932
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per shareF1,F2 | Dec 12, 2016 | S | 34,201 | $5.61 | D | 12,081,639 | D | |
| Common Stock, par value $0.01 per shareF3,F2 | Dec 13, 2016 | S | 46,583 | $5.56 | D | 12,035,056 | 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 $5.60 to $5.64; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.
- F2The total number of shares referenced in the original Form 4 were inadvertently overstated by 50,000 shares. This overstatement also occurred in the four subsequent Form 4s filed by Mr. Tannenbaum between December 22, 2016 and March 15, 2017.
- F3This transaction was executed in multiple trades at prices ranging from $5.55 to $5.60; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.