SEC Form 4 · accession 0001200461-17-000001
Oaktree Specialty Lending Corp · OCSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leonard M Tannenbaum
10% Owner
Period of report
Mar 21, 2017
Accepted (ET)
Mar 23, 2017 · 5:55 pm 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 StockF1,F2 | Mar 21, 2017 | P | 207,613 | $4.63 | A | 14,976,872 | D | |
| Common StockF2,F3 | Mar 22, 2017 | P | 269,871 | $4.64 | A | 15,246,743 | 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 $4.61 to $4.65; 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.
- F2Mr. Tannenbaum has previously disgorged to FSC profits realized in connection with purchases of an aggregate of 242,289 shares of FSC common stock occurring at prices less than or equal to $4.40 per share. Because the transactions reported herein occurred at prices greater than $4.40 per share, there are no additional recoverable profits subject to disgorgement to FSC.
- F3This transaction was executed in multiple trades at prices ranging from $4.60 to $4.65; 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.