Skip to main content

AI assistant

Sign in to chat with this filing

The assistant answers questions, extracts KPIs, and summarises risk factors directly from the filing text.

Brookfield Oaktree Holdings, LLC Director's Dealing 2012

Nov 22, 2012

35528_dirs_2012-11-21_4a1a98ab-0f9c-4838-b77f-8b3ec2a980d6.zip

Director's Dealing

Open in viewer

Opens in your device viewer

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: PULSE ELECTRONICS CORP (PULS)
CIK: 0000096763
Period of Report: 2012-11-07

Reporting Person: OCM PE Holdings, Inc. (10% Owner)
Reporting Person: Oaktree Fund GP, LLC (10% Owner)
Reporting Person: OAKTREE FUND GP I, L.P. (10% Owner)
Reporting Person: Oaktree Capital I, L.P. (10% Owner)
Reporting Person: OCM HOLDINGS I, LLC (10% Owner)
Reporting Person: OAKTREE HOLDINGS, LLC (10% Owner)
Reporting Person: Oaktree Capital Group, LLC (10% Owner)
Reporting Person: Oaktree Capital Group Holdings GP, LLC (10% Owner)

Holdings (Non-Derivative)

Security Shares Ownership
Common Stock 38446588 Direct

Holdings (Derivative)

Security Exercise Price Expiration Underlying Shares Ownership
Warrants to purchase Common Stock $0.01 2015-03-09 Common Stock (698555) Direct

Footnotes

F1: This Form 3 is being filed with respect to an aggregate of 38,446,588 shares of the Issuer's common stock, par value $0.125 per share (the "Common Stock") and 698,555 warrants to purchase Common Stock (the "Warrants") directly owned by OCM PE Holdings, L.P. ("PE Holdings"). This Form 3 is being filed by (i) PE Holdings.

F2: This Form 3 is also being filed by (ii) Oaktree Fund GP, LLC, a Delaware limited liability company ("PE GP"), solely in its capacity as the general partner of PE Holdings; (iii) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), solely in its capacity as the managing member of PE GP; and (iv) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), solely in its capacity as the general partner of GP I.

F3: This Form 3 is also being filed by (v) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), solely in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC"), solely in its capacity as the managing member of Holdings I; and (vii) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), solely in its capacity as the managing member of Holdings LLC.

F4: This Form 3 is also being filed by (viii) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP" and together with PE Holdings, PE GP, GP I, Capital I, Holdings I, Holdings and OCG, collectively, the "Reporting Persons", and each individually, a "Reporting Person"), solely in its capacity as the manager of Oaktree Capital Group, LLC.

F5: Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person, other than PE Holdings with respect to its direct holdings, disclaims beneficial ownership of the securities reported herein except to the extent of their respective pecuniary interest therein and the filing of this Form 3 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 3.

F6: OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, Larry W. Keele, Stephen A. Kaplan, John B. Frank, David M. Kirchheimer and Kevin L. Clayton (each, an "OCGH GP Member" and collectively, the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 3 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 3.