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Brookfield Oaktree Holdings, LLC — Director's Dealing 2017
Apr 5, 2017
35528_dirs_2017-04-05_27bc6075-a247-4e0f-864e-e98e94cf519e.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Oaktree Capital Group, LLC (OAK)
CIK: 0001403528
Period of Report: 2017-03-31
Reporting Person: MASSON DAVID RICHARD (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-03-31 | Class A Units | A | 2262 | $0.00 | Acquired | 10399 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Units | 100513 | Indirect |
Footnotes
F1: Granted 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, 2018.
F2: This balance represents the number of Class A units of Oaktree Capital Group, LLC held by a trust controlled by Mr. Masson as of the date of this filing, which units had previously been reported as directly held by Mr. Masson. Mr. Masson disclaims beneficial ownership of the Class A units reported on this Form 4, except to the extent of his pecuniary interest therein.