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| LEI | 254900T1ODNFOK2L6090 |
| CIK | 1403528 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Brookfield Oaktree Holdings, LLC - Preferred Security
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended June 30, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Brookfield Oaktree |
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| August 13, 2025 |
oaktreecapitalilp-lpagr Execution Version EIGHTH AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF Oaktree Capital I, L. |
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| May 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended March 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Brookfield Oaktre |
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| March 20, 2025 |
Oaktree Capital I, L.P. Consolidated Financial Statements. Exhibit 99.1 Oaktree Capital I, L.P. Consolidated Financial Statements For the six months ended December 31, 2024 Report of Independent Auditors The Unitholders of Oaktree Capital I, L.P. Opinion We have audited the consolidated financial statements of Oaktree Capital I, L.P. (the “Company”), which comprise the consolidated statement of financial condition as of December 31, 2024, and the consolid |
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| March 20, 2025 |
Subsidiaries of the Registrant. Exhibit 21.1 List of Subsidiaries Name Jurisdiction of Incorporation or Organization Oaktree Capital I,L.P. USA Brookfield OCM Holdings II, LLC USA Brookfield OCM Holdings, LLC USA Oaktree Opportunities Fund XI (Parallel), L.P. Cayman Islands Oaktree Opportunities Fund XI (Parallel) AIV (Cayman), L.P. Cayman Islands Oaktree Opportunities Fund XI (Parallel) AIV (Delaware), L.P. USA Oaktree Opportun |
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| March 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the fiscal year ended December 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Brookfield Oaktree H |
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| March 20, 2025 |
Exhibit 10.4 EXECUTION VERSION FIFTH AMENDED AND RESTATED EXCHANGE AGREEMENT by and among ATLAS TOP LLC, OAKTREE CAPITAL HOLDINGS, LLC, BROOKFIELD OAKTREE HOLDINGS, LLC, BROOKFIELD OCM HOLDINGS II, LLC, OAKTREE NEW HOLDINGS, LLC, OAKTREE AIF HOLDINGS II, LLC, OAKTREE HOLDINGS, LTD., OAKTREE CAPITAL GROUP HOLDINGS, L.P., OAKTREE CAPITAL I, L.P., OAKTREE CAPITAL II, L.P., OAKTREE CAPITAL MANAGEMENT, |
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| March 20, 2025 |
Exhibit 10.1 Execution Version SEVENTH AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF Oaktree Capital I, L.P. Dated as of December 26, 2024 THE PARTNERSHIP UNITS OF OAKTREE CAPITAL I, L.P. HAVE NOT BEEN REGISTERED UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), THE SECURITIES LAWS OF ANY STATE, PROVINCE OR ANY OTHER APPLICABLE SECURITIES LAWS AND ARE BEING SOLD IN |
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| March 20, 2025 |
Brookfield Oaktree Holdings, LLC Securities Trading Policy. † Exhibit 19.1 BROOKFIELD OAKTREE HOLDINGS, LLC SECURITIES TRADING POLICY I.GENERAL This Securities Trading Policy (this “Policy”) concerns compliance as it pertains to the disclosure of material, non-public information regarding the Company (as defined below) or another company and to trading in securities while in possession of such information. This Policy shall apply to: •Brookfield Oaktree Hold |
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| November 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Brookfield Oa |
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| October 28, 2024 |
GTX / Garrett Motion Inc. / Oaktree Capital Group, LLC - SC 13D/A Activist Investment SC 13D/A 1 ef20037789sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 6) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Garrett Motion Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Brookfield Oaktree |
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| July 5, 2024 |
SBLK / Star Bulk Carriers Corp. / Oaktree Capital Group, LLC - SC 13D/A Activist Investment SC 13D/A 1 ef20032153sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 22)* Star Bulk Carriers Corp. (Name of Issuer) Common Shares, par value $0.01 per share (Title of Class of Securities) Y8162K121 (CUSIP Number) Richard Ting General Counsel & Managing Director Oaktree Capital Manageme |
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| July 1, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 1, 2024 Brookfield Oaktree Holdings, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Comm |
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| July 1, 2024 |
Sixth Amended and Restated Limited Partnership Agreement of Oaktree Capital I, L.P. Exhibit 10.1 SIXTH AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF Oaktree Capital I, L.P. Dated as of July 1, 2024 THE PARTNERSHIP UNITS OF OAKTREE CAPITAL I, L.P. HAVE NOT BEEN REGISTERED UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), THE SECURITIES LAWS OF ANY STATE, PROVINCE OR ANY OTHER APPLICABLE SECURITIES LAWS AND ARE BEING SOLD IN RELIANCE UPON EXEMPTIONS |
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| May 15, 2024 |
BATL / Battalion Oil Corporation / Oaktree Capital Group, LLC - SC 13D/A Activist Investment SC 13D/A 1 ef20029199sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Battalion Oil Corporation (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 40537Q803 (CUSIP Number) Richard Ting General Counsel & Managing Director Oaktree Capital Managem |
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| May 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Brookfield Oaktre |
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| April 29, 2024 |
GTX / Garrett Motion Inc. / Oaktree Capital Group, LLC - SC 13D/A Activist Investment SC 13D/A 1 ef20027960sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Garrett Motion Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title |
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| March 29, 2024 |
HALC / Halcon Resources Corporation NEW / Oaktree Capital Group, LLC - SC 13D/A Activist Investment SC 13D/A 1 ef20025614sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Battalion Oil Corporation (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 40537Q803 (CUSIP Number) Richard Ting General Counsel & Managing Director Oaktree Capital Managem |
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| March 21, 2024 |
Exhibit 10.4 Execution Version FOURTH AMENDED AND RESTATED EXCHANGE AGREEMENT by and among ATLAS TOP LLC, ATLAS OCM HOLDINGS, LLC, OAKTREE CAPITAL GROUP, LLC, OCM HOLDINGS I, LLC, OAKTREE NEW HOLDINGS, LLC, OAKTREE AIF HOLDINGS II, LLC, OAKTREE HOLDINGS, LTD., OAKTREE CAPITAL GROUP HOLDINGS, L.P., OAKTREE CAPITAL I, L.P., OAKTREE CAPITAL II, L.P., OAKTREE CAPITAL MANAGEMENT, L.P., OAKTREE CAPITAL |
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| March 21, 2024 |
Exhibit 10.4 EXECUTION VERSION June 29, 2023 RE: Brookfield Real Estate Income Trust Inc. Ladies and Gentlemen: This letter agreement (this “Letter Agreement”) is being entered into in connection with the contribution by Brookfield Corporate Treasury Ltd. (“Treasury”) of an amount (the “Contribution”) to Oaktree Capital Group, LLC (“OCG”) in respect of OCG’s indirect acquisition (the “Acquisition” |
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| March 21, 2024 |
Exhibit 3.2 Execution Version SEVENTH AMENDED AND RESTATED OPERATING AGREEMENT OF BROOKFIELD OAKTREE HOLDINGS, LLC Dated as of March 15, 2024 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 2 Section 1.1 Definitions 2 Section 1.2 Construction 14 ARTICLE II ORGANIZATION 15 Section 2.1 Formation 15 Section 2.2 Name 15 Section 2.3 Registered Office; Registered Agent; Principal Office, Other Offices 15 S |
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| March 21, 2024 |
Exhibit 4.3 CERTAIN IDENTIFIED INFORMATION MARKED BY [***] HAS BEEN OMITTED FROM THIS EXHIBIT PURSUANT TO ITEM 601(A)(5) OF REGULATION S-K SECOND AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT This SECOND AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT (“Amendment”) is entered into as of April 7, 2023 by and among (i) Oaktree Capital Management, L.P., a Delaware limited partnership (the “Compan |
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| March 21, 2024 |
Exhibit 10.1 Execution Version AMENDMENT TO THE THIRD AMENDED AND RESTATED TAX RECEIVABLE AGREEMENT This AMENDMENT TO THE THIRD AMENDED AND RESTATED TAX RECEIVABLE AGREEMENT (this “Amendment”), dated as of April 13, 2023, is entered into by and among Brookfield Corporation (formerly known as Brookfield Asset Management Inc.), a corporation incorporated under the laws of the Province of Ontario, Oa |
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| March 21, 2024 |
Brookfield Oaktree Holdings, LLC Amended and Restated Long-Term Incentive Plan. † Exhibit 10.26 Brookfield Oaktree Holdings, LLC Amended and Restated Long-Term Incentive Plan ARTICLE I. PURPOSE 1.01. The purpose of the Amended and Restated Brookfield Oaktree Holdings, LLC Long-Term Incentive Plan (the “Plan”) is to assist the Oaktree Group (as defined below) to retain key employees, directors, consultants, other service providers, partners and members of any Oaktree Group Membe |
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| March 21, 2024 |
Exhibit 10.15 OAKTREE CAPITAL GROUP, LLC OAKTREE CAPITAL MANAGEMENT, L.P. CONFIDENTIAL March 10, 2022 Jay S. Wintrob c/o Oaktree Capital Management, L.P. 333 South Grand Avenue, 28th Floor Los Angeles, CA 90071 Re: Fourth Amended and Restated Employment Agreement Dear Mr. Wintrob: On October 6, 2014, you entered into an agreement with Oaktree Capital Group, LLC, a Delaware limited liability compan |
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| March 21, 2024 |
Exhibit 4.6 CERTAIN IDENTIFIED INFORMATION MARKED BY [***] HAS BEEN OMITTED FROM THIS EXHIBIT PURSUANT TO ITEM 601(A)(5) OF REGULATION S-K AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT This AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT (“Amendment”) is entered into as of April 7, 2023 by and among (i) Oaktree Capital I, L.P., a Delaware limited partnership (the “Company”); (ii) Oaktree Capit |
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| March 21, 2024 |
Exhibit 10.12 Execution Version OAKTREE FUND GP I, L.P. SEVENTH AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT LIMITED PARTNER INTERESTS IN OAKTREE FUND GP I, L.P., A DELAWARE LIMITED PARTNERSHIP, HAVE NOT BEEN REGISTERED WITH OR QUALIFIED BY THE U.S. SECURITIES AND EXCHANGE COMMISSION, ANY STATE SECURITIES REGULATORY AUTHORITY OR ANY OTHER REGULATORY AUTHORITY OF ANY JURISDICTION. SUCH LIMITE |
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| March 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the fiscal year ended December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Brookfield Oaktree H |
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| March 21, 2024 |
Exhibit 4.5 CERTAIN IDENTIFIED INFORMATION MARKED BY [***] HAS BEEN OMITTED FROM THIS EXHIBIT PURSUANT TO ITEM 601(A)(5) OF REGULATION S-K AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT This AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT (“Amendment”) is entered into as of April 7, 2023 by and among (i) Oaktree Capital Management, L.P., a Delaware limited partnership (the “Company”); (ii) Oakt |
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| March 21, 2024 |
Exhibit 97 OAKTREE CAPITAL GROUP, LLC Incentive Compensation Clawback Policy (As Adopted on October 6, 2023 Pursuant to NYSE Rule 303A. |
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| March 21, 2024 |
Exhibit 10.17 Execution Version LETTER AGREEMENT March 20, 2024 Brookfield Oaktree Holdings, LLC 333 South Grand Avenue, 28th Floor Los Angeles, CA 90071 Ladies and Gentlemen: This letter agreement (this “Letter Agreement”) supersedes any and all prior written or oral agreements and understandings with respect to the subject matter hereof. Capitalized terms used herein but not otherwise defined sh |
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| March 21, 2024 |
Exhibit 4.4 CERTAIN IDENTIFIED INFORMATION MARKED BY [***] HAS BEEN OMITTED FROM THIS EXHIBIT PURSUANT TO ITEM 601(A)(5) OF REGULATION S-K AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT This AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT (“Amendment”) is entered into as of April 7, 2023 by and among (i) Oaktree Capital Management, L.P., a Delaware limited partnership (the “Company”); (ii) Oakt |
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| March 21, 2024 |
Amended and Restated Brookfield Oaktree Holdings, LLC 2011 Equity Incentive Plan. † Exhibit 10.8 BROOKFIELD OAKTREE HOLDINGS, LLC Amended and Restated 2011 Equity Incentive Plan 1. Purpose. The purpose of the Amended and Restated Brookfield Oaktree Holdings, LLC 2011 Equity Incentive Plan is to provide a means for the Company and its Affiliates to attract and retain key personnel and a means for current and prospective senior executives, directors, officers, employees, consultant |
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| March 21, 2024 |
Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF FORMATION OF OAKTREE CAPITAL GROUP, LLC This Amended and Restated Certificate of Formation of Oaktree Capital Group, LLC (the "Company"), dated as of March 13, 2024 and which shall take effect at 12:01 a.m. Eastern Time on March 15, 2024, has been duly executed and is being filed by the undersigned, as an authorized person in accordance with the prov |
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| March 21, 2024 |
Exhibit 4.1 CERTAIN IDENTIFIED INFORMATION MARKED BY [***] HAS BEEN OMITTED FROM THIS EXHIBIT PURSUANT TO ITEM 601(A)(5) OF REGULATION S-K THIRD AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT This THIRD AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT (“Amendment”) is entered into as of April 7, 2023 by and among (i) Oaktree Capital Management, L.P., a Delaware limited partnership (the “Company” |
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| March 21, 2024 |
Exhibit 10.1 FIFTH AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF Oaktree Capital I, L.P. Dated as of March 20, 2023 THE PARTNERSHIP UNITS OF OAKTREE CAPITAL I, L.P. HAVE NOT BEEN REGISTERED UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), THE SECURITIES LAWS OF ANY STATE, PROVINCE OR ANY OTHER APPLICABLE SECURITIES LAWS AND ARE BEING SOLD IN RELIANCE UPON EXEMPTION |
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| March 21, 2024 |
Exhibit 4.2 CERTAIN IDENTIFIED INFORMATION MARKED BY [***] HAS BEEN OMITTED FROM THIS EXHIBIT PURSUANT TO ITEM 601(A)(5) OF REGULATION S-K SECOND AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT This SECOND AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT (“Amendment”) is entered into as of April 7, 2023 by and among (i) Oaktree Capital Management, L.P., a Delaware limited partnership (the “Compan |
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| March 21, 2024 |
Subsidiaries of the Registrant. Exhibit 21.1 List of Subsidiaries [Subject to update] Name Jurisdiction of Incorporation or Organization Arbour CLO Designated Activity Company Ireland Arbour CLO II Designated Activity Company Ireland Arbour CLO III Designated Activity Company Ireland Arbour CLO IV Designated Activity Company Ireland Arbour CLO IX Designated Activity Company Ireland Arbour CLO V Designated Activity Company Irelan |
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| March 21, 2024 |
Exhibit 10.5 EXECUTION COPY June 29, 2023 RE: Brookfield Real Estate Income Trust Inc. Ladies and Gentlemen: This letter agreement (this “Letter Agreement”) is being entered into in connection with the indirect acquisition (the “Acquisition”) by Oaktree Capital Group, LLC (“OCG”) of 100% of the interests in BUSI II GP-C LLC, BUSI II-C L.P., BUSI II SLP-GP LLC and Brookfield REIT OP Special Limited |
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| March 5, 2024 |
Exhibit 99.1 QUESTIONS & ANSWERS ABOUT UPCOMING CHANGES TO OAKTREE CAPITAL GROUP, LLC (THE “COMPANY”) March 5, 2024 1. What changes are being made to the Company’s subsidiaries? During the second quarter of 2024, subject to obtaining certain regulatory approvals, the Company expects to effect an internal reorganization (the “2024 Restructuring”) in which, among other things, OCM Holdings I, LLC, a |
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| March 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2024 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Commi |
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| February 14, 2024 |
US26431Q1067 / DUET Acquisition Corp. / Oaktree Capital Group, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* DUET Acquisition Corp. (Name of Issuer) Class A Common Stock, $0.0001 par value (Title of Class of Securities) 26431Q106 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the Appropriate Box to Designate the R |
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| February 14, 2024 |
ECDA / ECD Automotive Design, Inc. / Oaktree Capital Group, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* ECD Automotive Design, Inc (Name of Issuer) Common Stock (Title of Class of Securities) 27877D104 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the Appropriate Box to Designate the Rule Pursuant to Which t |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* Blue World Acquisition Corporation (Name of Issuer) Class A Ordinary Shares, $0.0001 par value (Title of Class of Securities) G1263E128 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the Appropriate Box to |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* Monterey Capital Acquisition Corporation (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 61244M109 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the Approp |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* HWH International Inc. (Name of Issuer) Units, each consisting of one share of Class A common stock, $0.0001 par value, one-half of one redeemable warrant, and one right (Title of Class of Securities) 02115M208 (CUSIP Number) December 31, 2023 (Date of E |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* Feutune Light Acquisition Corporation (Name of Issuer) Units, consisting of one share of Class A Common Stock, $0.0001 par value, one redeemable Warrant, and one right (Title of Class of Securities) 31561T201 (CUSIP Number) December 31, 2023 (Date of Eve |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* Welsbach Technology Metals Acquisition Corp. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 950415109 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the Appropriat |
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| January 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 23, 2023 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Commiss |
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| December 22, 2023 |
TPIC / TPI Composites, Inc. / Oaktree Capital Group, LLC - SC 13D Activist Investment SC 13D 1 ef20017297sc13d.htm SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-l(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No.)* TPI COMPOSITES, INC. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 87266J10 |
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| December 19, 2023 |
HALC / Halcon Resources Corporation NEW / Oaktree Capital Group, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Battalion Oil Corporation (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 40537Q803 (CUSIP Number) Todd E. Molz General Counsel, Chief Administrative Officer & Managing Director Oaktree Capital Group, LLC 333 Sou |
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| December 5, 2023 |
SBLK / Star Bulk Carriers Corp / Oaktree Capital Group, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 21)* Star Bulk Carriers Corp. (Name of Issuer) Common Shares, par value $0.01 per share (Title of Class of Securities) Y8162K121 (CUSIP Number) Todd E. Molz Managing Director and General Counsel Oaktree Capital Management, L.P. 333 South Grand Avenue, 28th F |
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| December 4, 2023 |
IMPL / Impel Pharmaceuticals Inc / Oaktree Capital Group, LLC - SC 13D/A Activist Investment SC 13D/A 1 ef20015956sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) IMPEL PHARMACEUTICALS INC. (Name of Issuer) Common Stock, $0.001 par value per share |
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| November 15, 2023 |
IMPL / Impel Pharmaceuticals Inc / Oaktree Capital Group, LLC - SC 13D/A Activist Investment SC 13D/A 1 ef20014687sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) IMPEL PHARMACEUTICALS INC. (Name of Issuer) Common Stock, $0.001 par value per share |
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| November 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capit |
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| November 1, 2023 |
SBLK / Star Bulk Carriers Corp / Oaktree Capital Group, LLC - SC 13D/A Activist Investment SC 13D/A 1 ef20013885sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 20)* Star Bulk Carriers Corp. (Name of Issuer) Common Shares, par value $0.01 per share (Title of Class of Securities) Y8162K121 (CUSIP Number) Todd E. Molz Managing Director and General Counsel Oaktree Capital Manage |
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| October 27, 2023 |
GTX / Garrett Motion Inc - New / Oaktree Capital Group, LLC - SC 13D/A Activist Investment SC 13D/A 1 ef20013517sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Garrett Motion Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title |
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| October 11, 2023 |
SBLK / Star Bulk Carriers Corp / Oaktree Capital Group, LLC - SC 13D/A Activist Investment SC 13D/A 1 ef20012263sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 19)* Star Bulk Carriers Corp. (Name of Issuer) Common Shares, par value $0.01 per share (Title of Class of Securities) Y8162K121 (CUSIP Number) Todd E. Molz Managing Director and General Counsel Oaktree Capital Manage |
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| October 6, 2023 |
IMPL / Impel Pharmaceuticals Inc / Oaktree Capital Group, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) IMPEL PHARMACEUTICALS INC. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 45258K109 |
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| September 27, 2023 |
SBLK / Star Bulk Carriers Corp / Oaktree Capital Group, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 18)* Star Bulk Carriers Corp. (Name of Issuer) Common Shares, par value $0.01 per share (Title of Class of Securities) Y8162K121 (CUSIP Number) Todd E. Molz Managing Director and General Counsel Oaktree Capital Management, L.P. 333 South Grand Avenue, 28th F |
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| September 15, 2023 |
EX-99.1 2 ef20010729ex99-1.htm EXHIBIT 1 Exhibit 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13D is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf |
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| September 15, 2023 |
IMPL / Impel Pharmaceuticals Inc / Oaktree Capital Group, LLC - SC 13D Activist Investment SC 13D 1 ef20010729sc13d.htm SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) IMPEL PHARMACEUTICALS INC. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Secur |
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| September 8, 2023 |
HALC / Halcon Resources Corporation NEW / Oaktree Capital Group, LLC - SC 13DA Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Battalion Oil Corporation (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 40537Q803 (CUSIP Number) Todd E. Molz General Counsel, Chief Administrative Officer & Managing Director Oaktree Capital Group, LLC 333 Sou |
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| August 11, 2023 |
Exhibit 10.4 EXECUTION VERSION June 29, 2023 RE: Brookfield Real Estate Income Trust Inc. Ladies and Gentlemen: This letter agreement (this “Letter Agreement”) is being entered into in connection with the contribution by Brookfield Corporate Treasury Ltd. (“Treasury”) of an amount (the “Contribution”) to Oaktree Capital Group, LLC (“OCG”) in respect of OCG’s indirect acquisition (the “Acquisition” |
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| August 11, 2023 |
Exhibit 10.5 EXECUTION COPY June 29, 2023 RE: Brookfield Real Estate Income Trust Inc. Ladies and Gentlemen: This letter agreement (this “Letter Agreement”) is being entered into in connection with the indirect acquisition (the “Acquisition”) by Oaktree Capital Group, LLC (“OCG”) of 100% of the interests in BUSI II GP-C LLC, BUSI II-C L.P., BUSI II SLP-GP LLC and Brookfield REIT OP Special Limited |
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| August 11, 2023 |
Exhibit 10.1 EXECUTION COPY CONTRIBUTION AGREEMENT This CONTRIBUTION AGREEMENT (this “Agreement”), dated as of June 27, 2023 and effective as of June 30, 2023, is entered into between Brookfield Corporate Treasury Ltd. (“Treasury”) and Oaktree Capital Group, LLC (“OCG”). W I T N E S S E T H WHEREAS, OCG previously formed OCG NTR Holdings, LLC (“NTR”); and WHEREAS, Treasury desires to contribute an |
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| August 11, 2023 |
Exhibit 10.2 EXECUTION COPY CONTRIBUTION AGREEMENT This CONTRIBUTION AGREEMENT (this “Agreement”), dated as of June 27, 2023 and effective as of June 30, 2023, is entered into between Oaktree Capital Group, LLC (“Oaktree”) and OCG NTR Holdings, LLC (“OCG NTR”). W I T N E S S E T H WHEREAS, Oaktree desires to contribute an amount (the “Contributed Amount”) to OCG NTR, which such Contributed Amount |
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| August 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capital Gr |
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| August 11, 2023 |
Exhibit 10.3 EXECUTION COPY AGREEMENT OF PURCHASE AND SALE BY AND AMONG OCG NTR HOLDINGS, LLC (AS BUYER) AND BUSI II NTR SUB LLC (AS SELLER) AND BUSI II GP-C LLC (AS GENERAL PARTNER OF BUSI II-C L.P.) AND BUSI II SLP-GP LLC (AS GENERAL PARTNER OF BROOKFIELD REIT OP SPECIAL LIMITED PARTNER L.P.) DATED AS OF JUNE 29, 2023 WEIL:\99180807\7\29711.0485 AGREEMENT OF PURCHASE AND SALE This Agreement of P |
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| June 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 23, 2023 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Commissio |
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| May 15, 2023 |
Exhibit 4.3 CERTAIN IDENTIFIED INFORMATION MARKED BY [***] HAS BEEN OMITTED FROM THIS EXHIBIT PURSUANT TO ITEM 601(A)(5) OF REGULATION S-K SECOND AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT This SECOND AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT (“Amendment”) is entered into as of April 7, 2023 by and among (i) Oaktree Capital Management, L.P., a Delaware limited partnership (the “Compan |
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| May 15, 2023 |
Exhibit 4.1 CERTAIN IDENTIFIED INFORMATION MARKED BY [***] HAS BEEN OMITTED FROM THIS EXHIBIT PURSUANT TO ITEM 601(A)(5) OF REGULATION S-K THIRD AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT This THIRD AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT (“Amendment”) is entered into as of April 7, 2023 by and among (i) Oaktree Capital Management, L.P., a Delaware limited partnership (the “Company” |
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| May 15, 2023 |
Exhibit 4.5 CERTAIN IDENTIFIED INFORMATION MARKED BY [***] HAS BEEN OMITTED FROM THIS EXHIBIT PURSUANT TO ITEM 601(A)(5) OF REGULATION S-K AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT This AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT (“Amendment”) is entered into as of April 7, 2023 by and among (i) Oaktree Capital Management, L.P., a Delaware limited partnership (the “Company”); (ii) Oakt |
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| May 15, 2023 |
Exhibit 10.1 Execution Version AMENDMENT TO THE THIRD AMENDED AND RESTATED TAX RECEIVABLE AGREEMENT This AMENDMENT TO THE THIRD AMENDED AND RESTATED TAX RECEIVABLE AGREEMENT (this “Amendment”), dated as of April 13, 2023, is entered into by and among Brookfield Corporation (formerly known as Brookfield Asset Management Inc.), a corporation incorporated under the laws of the Province of Ontario, Oa |
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| May 15, 2023 |
Exhibit 4.2 CERTAIN IDENTIFIED INFORMATION MARKED BY [***] HAS BEEN OMITTED FROM THIS EXHIBIT PURSUANT TO ITEM 601(A)(5) OF REGULATION S-K SECOND AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT This SECOND AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT (“Amendment”) is entered into as of April 7, 2023 by and among (i) Oaktree Capital Management, L.P., a Delaware limited partnership (the “Compan |
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| May 15, 2023 |
Exhibit 4.4 CERTAIN IDENTIFIED INFORMATION MARKED BY [***] HAS BEEN OMITTED FROM THIS EXHIBIT PURSUANT TO ITEM 601(A)(5) OF REGULATION S-K AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT This AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT (“Amendment”) is entered into as of April 7, 2023 by and among (i) Oaktree Capital Management, L.P., a Delaware limited partnership (the “Company”); (ii) Oakt |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capital G |
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| May 15, 2023 |
Exhibit 4.6 CERTAIN IDENTIFIED INFORMATION MARKED BY [***] HAS BEEN OMITTED FROM THIS EXHIBIT PURSUANT TO ITEM 601(A)(5) OF REGULATION S-K AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT This AMENDMENT AND JOINDER TO NOTE PURCHASE AGREEMENT (“Amendment”) is entered into as of April 7, 2023 by and among (i) Oaktree Capital I, L.P., a Delaware limited partnership (the “Company”); (ii) Oaktree Capit |
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| April 13, 2023 |
Exhibit 10.1 FIFTH AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF Oaktree Capital I, L.P. Dated as of March 20, 2023 THE PARTNERSHIP UNITS OF OAKTREE CAPITAL I, L.P. HAVE NOT BEEN REGISTERED UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), THE SECURITIES LAWS OF ANY STATE, PROVINCE OR ANY OTHER APPLICABLE SECURITIES LAWS AND ARE BEING SOLD IN RELIANCE UPON EXEMPTION |
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| April 13, 2023 |
2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A Amendment No. 1 ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oa |
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| April 13, 2023 |
Exhibit 3.2 SIXTH AMENDED AND RESTATED OPERATING AGREEMENT OF OAKTREE CAPITAL GROUP, LLC Dated as of March 20, 2023 ARTICLE I DEFINITIONS 2 Section 1.1 Definitions 2 Section 1.2 Construction 17 ARTICLE II ORGANIZATION 17 Section 2.1 Formation 17 Section 2.2 Name 17 Section 2.3 Registered Office; Registered Agent; Principal Office; Other Offices 17 Section 2.4 Purposes 18 Section 2.5 Powers 18 Sect |
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| April 10, 2023 |
STHO.V / Star Holdings / Oaktree Capital Group, LLC - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Star Holdings (Name of Issuer) Common shares of beneficial interest, par value $0.001 per share (“Common Shares”) (Title of Class of Securities) 85512G106 (CUSIP Number) March 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appro |
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| April 10, 2023 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| March 31, 2023 |
HALC / Halcon Resources Corporation NEW / Oaktree Capital Group, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Battalion Oil Corporation (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 40537Q803 (CUSIP Number) Todd E. Molz General Counsel, Chief Administrative Officer & Managing Director Oaktree Capital Group, LLC 333 Sou |
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| March 31, 2023 |
Exhibit 3 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13D is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| March 31, 2023 |
Exhibit 5 BATTALION OIL CORPORATION CERTIFICATE OF DESIGNATIONS Pursuant to Section 151 of the General Corporation Law of the State of Delaware SERIES A REDEEMABLE CONVERTIBLE PREFERRED STOCK (Par Value $0. |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2023 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Com |
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| March 31, 2023 |
PURCHASE AGREEMENT BATTALION OIL CORPORATION THE PURCHASERS PARTY HERETO TABLE OF CONTENTS Exhibit 6 EXECUTION VERSION PURCHASE AGREEMENT AMONG BATTALION OIL CORPORATION AND THE PURCHASERS PARTY HERETO TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 Section 1. |
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| March 31, 2023 |
FIRST AMENDMENT TO REGISTRATION RIGHTS AGREEMENT Exhibit 4 EXECUTION VERSION FIRST AMENDMENT TO REGISTRATION RIGHTS AGREEMENT THIS FIRST AMENDMENT TO REGISTRATION RIGHTS AGREEMENT (this “Amendment”) is made as of March 28, 2023, between Battalion Oil Corporation (formerly known as Halcón Resources Corporation), a Delaware corporation (the “Company”), and each of the parties identified on the signatures pages hereto. |
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| March 21, 2023 |
Exhibit 10.7 Execution Version OAKTREE FUND GP I, L.P. SEVENTH AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT LIMITED PARTNER INTERESTS IN OAKTREE FUND GP I, L.P., A DELAWARE LIMITED PARTNERSHIP, HAVE NOT BEEN REGISTERED WITH OR QUALIFIED BY THE U.S. SECURITIES AND EXCHANGE COMMISSION, ANY STATE SECURITIES REGULATORY AUTHORITY OR ANY OTHER REGULATORY AUTHORITY OF ANY JURISDICTION. SUCH LIMITED |
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| March 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capital Grou |
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| March 21, 2023 |
exh32-6tharocgllcagreeme Execution Version SIXTH AMENDED AND RESTATED OPERATING AGREEMENT OF OAKTREE CAPITAL GROUP, LLC Dated as of March 20, 2023 TABLE OF CONTENTS Page i ARTICLE I DEFINITIONS . |
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| March 21, 2023 |
Subsidiaries of the Registrant. Exhibit 21.1 List of Subsidiaries Name Jurisdiction of Incorporation or Organization Arbour CLO Designated Activity Company Ireland Arbour CLO II Designated Activity Company Ireland Arbour CLO III Designated Activity Company Ireland Arbour CLO IV Designated Activity Company Ireland Arbour CLO IX Designated Activity Company Ireland Arbour CLO V Designated Activity Company Ireland Arbour CLO VI Desi |
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| March 21, 2023 |
Exhibit 10.4 Execution Version FOURTH AMENDED AND RESTATED EXCHANGE AGREEMENT by and among ATLAS TOP LLC, ATLAS OCM HOLDINGS, LLC, OAKTREE CAPITAL GROUP, LLC, OCM HOLDINGS I, LLC, OAKTREE NEW HOLDINGS, LLC, OAKTREE AIF HOLDINGS II, LLC, OAKTREE HOLDINGS, LTD., OAKTREE CAPITAL GROUP HOLDINGS, L.P., OAKTREE CAPITAL I, L.P., OAKTREE CAPITAL II, L.P., OAKTREE CAPITAL MANAGEMENT, L.P., OAKTREE CAPITAL |
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| March 21, 2023 |
Exhibit 10.10 OAKTREE CAPITAL GROUP, LLC OAKTREE CAPITAL MANAGEMENT, L.P. CONFIDENTIAL March 10, 2022 Jay S. Wintrob c/o Oaktree Capital Management, L.P. 333 South Grand Avenue, 28th Floor Los Angeles, CA 90071 Re: Fourth Amended and Restated Employment Agreement Dear Mr. Wintrob: On October 6, 2014, you entered into an agreement with Oaktree Capital Group, LLC, a Delaware limited liability compan |
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| March 21, 2023 |
exh101oaktreecapitalilp- Execution Version FIFTH AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF Oaktree Capital I, L. |
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| February 16, 2023 |
Oaktree Adds Mansco Perry, Distinguished Chief Investment Officer, to Board of Directors Exhibit 99.1 Oaktree Adds Mansco Perry, Distinguished Chief Investment Officer, to Board of Directors February 13, 2023 04:15 PM Eastern Standard Time LOS ANGELES—(BUSINESS WIRE)—Oaktree Capital Group, LLC (NYSE: OAK-PA and OAK-PB) today announced the appointment of Mansco Perry to its Board of Directors, effective February 10, 2023. Mr. Perry spent a total of 27 years at the Minnesota State Board |
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| February 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2023 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Commi |
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| February 14, 2023 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G/A is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G/A shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| February 14, 2023 |
SC 13G/A 1 brhc10048157sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Alset Capital Acquisition Corp. (Name of Issuer) Class A common stock, $0.0001 par value (Title of Class of Securities) 02115M109 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this S |
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| February 14, 2023 |
EX-99.1 2 brhc10048151ex1.htm EXHIBIT 1 EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf o |
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| February 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Aetherium Acquisition Corp. (Name of Issuer) Class A common stock, $0.0001 par value (Title of Class of Securities) 00809J101 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designat |
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| February 14, 2023 |
US78661R2058 / SAGALIAM ACQUISITION CORP / Oaktree Capital Group, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Sagaliam Acquisition Corp. (Name of Issuer) Class A Common Stock, par value $0.0001 (Title of Class of Securities) 78661R205 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate |
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| February 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Monterey Capital Acquisition Corporation (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 61244M109 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appr |
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| February 14, 2023 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| February 14, 2023 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G/A is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G/A shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| February 14, 2023 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G/A is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G/A shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| February 14, 2023 |
ZVSA / ZyVersa Therapeutics Inc / Oaktree Capital Group, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Zyversa Therapeutics, Inc. (formerly known as Larkspur Health Acquisition Corp.) (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 98987D102 (CUSIP Number) December 31, 2022 (Date of Event which Requires |
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| February 14, 2023 |
EX-99.1 2 brhc10048154ex-1.htm EXHIBIT 1 EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf |
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| February 14, 2023 |
EX-99.1 2 brhc10048157ex99-1.htm EXHIBIT 1 EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G/A is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G/A shall be filed on b |
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| February 14, 2023 |
SC 13G/A 1 brhc10048155sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Blue World Acquisition Corporation (Name of Issuer) Class A Ordinary Shares, $0.0001 par value (Title of Class of Securities) G1263E128 (CUSIP Number) December 31. 2022 (Date of Event which Requires Filing of |
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| February 14, 2023 |
SC 13G/A 1 brhc10048154sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Feutune Light Acquisition Corporation (Name of Issuer) Units, consisting of one share of Class A Common Stock, $0.0001 par value, one redeemable Warrant, and one right (Title of Class of Securities) 31561T201 |
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| February 14, 2023 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G/A is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G/A shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| February 14, 2023 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| February 14, 2023 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G/A is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G/A shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| February 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Welsbach Technology Metals Acquisition Corp. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 950415109 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropri |
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| February 14, 2023 |
US26431Q1067 / DUET Acquisition Corp. / Oaktree Capital Group, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* DUET Acquisition Corp. (Name of Issuer) Class A Common Stock, $0.0001 par value (Title of Class of Securities) 26431Q106 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the |
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| February 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Broad Capital Acquisition Corp (Name of Issuer) Common Stock, par value $0.000001 per share (Title of Class of Securities) 11125B201 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to d |
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| February 14, 2023 |
EFHT / EF Hutton Acquisition Corp I / Oaktree Capital Group, LLC - SC 13G Passive Investment SC 13G 1 brhc10048151sc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 EF HUTTON ACQUISITION CORPORATION I (Name of Issuer) Units, consisting of one share of Common Stock, $0.0001 par value, one redeemable Warrant, and one right (Title of Class of Securities) 28201D109 (CUSIP Number) December 31, 2022 (Da |
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| February 14, 2023 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 2034, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| December 20, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 15, 2022 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Commi |
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| December 20, 2022 |
Exhibit 10.2 EXECUTION VERSION BORROWER JOINDER AGREEMENT This BORROWER JOINDER AGREEMENT (this ?Agreement?), dated as of December 15, 2022, is delivered pursuant to that certain Seventh Amendment to Credit Agreement, dated as of the date hereof (the ?Amendment?) by and among Oaktree Capital Management, L.P., a Delaware limited partnership, Oaktree Capital II, L.P., a Delaware series limited partn |
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| December 20, 2022 |
Exhibit 10.1 EXECUTION VERSION SEVENTH AMENDMENT TO CREDIT AGREEMENT This SEVENTH AMENDMENT TO CREDIT AGREEMENT (this ?Amendment?), dated as of December 15, 2022 is entered into by and among OAKTREE CAPITAL MANAGEMENT, L.P., a Delaware limited partnership, OAKTREE CAPITAL II, L.P., a Delaware series limited partnership, including each series thereof, OAKTREE AIF INVESTMENTS, L.P., a Delaware limit |
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| December 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 30, 2022 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Commi |
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| December 6, 2022 |
Unaudited Pro Forma Condensed Consolidated Financial Information Exhibit 99.1 Unaudited Pro Forma Condensed Consolidated Financial Information Pro forma financial information The following pro forma information should be read in conjunction with the historical consolidated financial statements and the notes thereto of Oaktree Capital Group, LLC (?OCG?) as filed in OCG?s Annual Report on Form 10-K for the year ended December 31, 2021, which was filed with the U. |
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| November 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 15, 2022 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Commi |
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| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended September 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capit |
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| August 22, 2022 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| August 22, 2022 |
HMAC / Hainan Manaslu Acquisition Corp / Oaktree Capital Group, LLC - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Hainan Manaslu Acquisition Corp. (Name of Issuer) Units, each consisting of one ordinary share, one redeemable warrant, and one right (Title of Class of Securities) G4233U123 (CUSIP Number) August 11, 2022 (Date of Event which Requires Filing of this Stat |
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| August 12, 2022 |
Exhibit 10.4 Amended and Restated Services Agreement Oaktree Capital Management, L.P. and Oaktree Capital Management (International) Limited 1 June 2022 1 THIS SERVICES AGREEMENT (this ?Agreement?) is made on 1 June 2022 BETWEEN: (1)Oaktree Capital Management, L.P. a Delaware limited partnership of 333 South Grand Avenue, 28th Floor, Los Angeles, CA 90071 ("Oaktree US"); and (2)Oaktree Capital Man |
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| August 12, 2022 |
Error! Unknown document property name. Exhibit 10.1 FOURTH AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF Oaktree Capital I, L.P. Dated as of April 7, 2022 THE PARTNERSHIP UNITS OF OAKTREE CAPITAL I, L.P. HAVE NOT BEEN REGISTERED UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), THE SECURITIES LAWS OF ANY STATE, PROVINCE OR ANY OTHER APPLICABLE SECURITIES LAWS AND AR |
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| August 12, 2022 |
Exhibit 10.3 Amended & Restated Services Agreement Oaktree Capital Management, L.P. and Oaktree Capital Management (UK) LLP 1 June 2022 1 THIS SERVICES AGREEMENT (this ?Agreement?) is made on 1 June 2022 BETWEEN: (1)Oaktree Capital Management, L.P. a Delaware limited partnership of 333 South Grand Avenue, 28th Floor, Los Angeles, CA 90071 ("Oaktree US"); and (2)Oaktree Capital Management (UK) LLP, |
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| August 12, 2022 |
Error! Unknown document property name. Exhibit 10.2 THIRD AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF Oaktree Capital Management (Cayman), L.P. Dated as of April 7, 2022 THE PARTNERSHIP UNITS OF OAKTREE CAPITAL MANAGEMENT (CAYMAN), L.P. HAVE NOT BEEN REGISTERED UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), THE SECURITIES LAWS OF ANY STATE, PROVINCE OR ANY OTHE |
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| August 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capital Gr |
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| June 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Feutune Light Acquisition Corporation (Name of Issuer) Units, consisting of one share of Class A Common Stock, $0.0001 par value, one-half of one redeemable Warrant, and one right (Title of Class of Securities) 31561T201 (CUSIP Number) June 16, 2022 (Date |
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| June 30, 2022 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| May 20, 2022 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| May 20, 2022 |
Oaktree Capital Group, LLC - SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Monterey Capital Acquisition Corporation (Name of Issuer) Units, each consisting of one share of Class A Common Stock, one Redeemable Warrant and one Right to receive 1/10th of one share of Class A Common Stock (Title of Class of Securities) 61244M208 (CU |
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| May 13, 2022 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| May 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended March 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capital G |
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| May 13, 2022 |
US26431Q2057 / DUET Acquisition Corp. / Oaktree Capital Group, LLC - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* DUET Acquisition Corp. (Name of Issuer) Units, each consisting of one share of Class A common stock, $0.0001 par value, and one redeemable warrant (Title of Class of Securities) 26431Q106 (CUSIP Number) January 20, 2022 (Date of Event which Requires Filin |
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| April 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* CBL & ASSOCIATES PROPERTIES, INC. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 124830878 (CUSIP Number) Todd E. Molz General Counsel, Chief Administrative Officer & Managing Director Oaktree Capital Group Holdi |
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| April 5, 2022 |
Exhibit 4.3 Form of Series B Note Oaktree Capital I, L.P. 2.40% Senior Note, Series B, Due June 8, 2034 No. RB-[] [Date] ?[] PPN: 67631@ AB0 For Value Received, the undersigned, Oaktree Capital I, L.P., a Delaware limited partnership (the ?Company?), hereby promises to pay to [], or registered assigns, the principal sum of [] Euros (or so much thereof as shall not have been prepaid) on June 8, 203 |
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| April 5, 2022 |
Exhibit 4.4 Form of Series C Note Oaktree Capital I, L.P. 2.58% Senior Note, Series C, Due June 8, 2037 No. RC-[] [Date] ?[] PPN: 67631@ AC8 For Value Received, the undersigned, Oaktree Capital I, L.P., a Delaware limited partnership (the ?Company?), hereby promises to pay to [], or registered assigns, the principal sum of [] Euros (or so much thereof as shall not have been prepaid) on June 8, 203 |
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| April 5, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2022 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Commissi |
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| April 5, 2022 |
Exhibit 4.1 Oaktree Capital I, L.P. Oaktree Capital Management, L.P. Oaktree Capital II, L.P. Oaktree AIF Investments, L.P. ?50,000,000 2.20% Senior Notes, Series A, due June 8, 2032 ?75,000,000 2.40% Senior Notes, Series B, due June 8, 2034 ?75,000,000 2.58% Senior Notes, Series C, due June 8, 2037 Note and Guaranty Agreement Dated as of March 30, 2022 Table of Contents Section Heading Page Secti |
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| April 5, 2022 |
Exhibit 4.2 Form of Series A Note Oaktree Capital I, L.P. 2.20% Senior Note, Series A, Due June 8, 2032 No. RA-[] [Date] ?[] PPN: 67631@ AA2 For Value Received, the undersigned, Oaktree Capital I, L.P., a Delaware limited partnership (the ?Company?), hereby promises to pay to [], or registered assigns, the principal sum of [] Euros (or so much thereof as shall not have been prepaid) on June 8, 203 |
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| March 14, 2022 |
Exhibit 10.12 Execution Version OAKTREE FUND GP I, L.P. SEVENTH AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT LIMITED PARTNER INTERESTS IN OAKTREE FUND GP I, L.P., A DELAWARE LIMITED PARTNERSHIP, HAVE NOT BEEN REGISTERED WITH OR QUALIFIED BY THE U.S. SECURITIES AND EXCHANGE COMMISSION, ANY STATE SECURITIES REGULATORY AUTHORITY OR ANY OTHER REGULATORY AUTHORITY OF ANY JURISDICTION. SUCH LIMITE |
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| March 14, 2022 |
Subsidiaries of the Registrant. Exhibit 21.1 List of Subsidiaries Name Jurisdiction of Incorporation or Organization Arbour CLO Capital Funding Designated Activity Company Ireland Arbour CLO Designated Activity Company Ireland Arbour CLO II Designated Activity Company Ireland Arbour CLO III Designated Activity Company Ireland Arbour CLO IV Designated Activity Company Ireland Arbour CLO V Designated Activity Company Ireland Arbou |
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| March 14, 2022 |
Exhibit 10.15 OAKTREE CAPITAL GROUP, LLC OAKTREE CAPITAL MANAGEMENT, L.P. CONFIDENTIAL March 10, 2022 Jay S. Wintrob c/o Oaktree Capital Management, L.P. 333 South Grand Avenue, 28th Floor Los Angeles, CA 90071 Re: Fourth Amended and Restated Employment Agreement Dear Mr. Wintrob: On October 6, 2014, you entered into an agreement with Oaktree Capital Group, LLC, a Delaware limited liability compan |
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| March 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the fiscal year ended December 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capital Grou |
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| February 28, 2022 |
Oaktree Capital Group, LLC - SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* HNR Acquisition Corp (Name of Issuer) Units, each consisting of one share of Common Stock, $0.0001 par value, and one redeemable warrant (Title of Class of Securities) 40472A201 (CUSIP Number) February 15, 2022 (Date of Event which Requires Filing of this |
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| February 28, 2022 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| February 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Blue World Acquisition Corporation (Name of Issuer) Units, each consisting of one Class A ordinary share, $0.0001 par value, one-half of one redeemable warrant, and one right (Title of Class of Securities) G1263E128 (CUSIP Number) February 1, 2021 (Date o |
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| February 11, 2022 |
Oaktree Capital Group, LLC - SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Alset Capital Acquisition Corp. (Name of Issuer) Units, each consisting of one share of Class A common stock, $0.0001 par value, one-half of one redeemable warrant, and one right (Title of Class of Securities) 02115M208 (CUSIP Number) February 1, 2022 (Da |
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| January 21, 2022 |
BRAC / Broad Capital Acquisition Corp / Oaktree Capital Group, LLC - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Broad Capital Acquisition Corp (Name of Issuer) Units, each consisting of one share of common stock, $0.000001 par value, and one right to acquire one-tenth (1/10) of one share of common stock (Title of Class of Securities) 11125B201 (CUSIP Number) Januar |
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| January 21, 2022 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| January 10, 2022 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| January 10, 2022 |
Oaktree Capital Group, LLC - SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Aetherium Acquisition Corp. (Name of Issuer) Units, each consisting of one share of Class A common stock, $0.0001 par value, and one redeemable warrant (Title of Class of Securities) 00809J200 (CUSIP Number) December 30, 2021 (Date of Event which Requires |
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| January 7, 2022 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| January 7, 2022 |
Oaktree Capital Group, LLC - SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Welsbach Technology Metals Acquisition Corp. (Name of Issuer) Units, each consisting of one share of common stock, $0.0001 par value, and one right to receive one-tenth (1/10) of one share of common stock (Title of Class of Securities) 950415208 (CUSIP Nu |
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| January 3, 2022 |
Oaktree Capital Group, LLC - SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Sagaliam Acquisition Corp. (Name of Issuer) Units, each consisting of one share of common stock, $0.0001 par value, and one right to receive one-eighth (1/8) of one share of common stock upon the consummation of an initial business combination (Title of C |
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| January 3, 2022 |
Oaktree Capital Group, LLC - SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Larkspur Health Acquisition Corp. (Name of Issuer) Units, each consisting of one share of common stock, $0.0001 par value, and three-fourths of one redeemable warrant (Title of Class of Securities) 51724W206 (CUSIP Number) December 21, 2021 (Date of Event |
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| January 3, 2022 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| January 3, 2022 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended September 30, 2021 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capit |
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| November 8, 2021 |
Exhibit 4.1 Execution Version Oaktree Capital Management, L.P. Oaktree Capital I, L.P. Oaktree Capital II, L.P. Oaktree AIF Investments, L.P. $200,000,000 3.06% Senior Notes due January 12, 2037 Note and Guaranty Agreement Dated as of November 4, 2021 Table of Contents Section Heading Page Section 1. Authorization of Notes 1 Section 2. Sale and Purchase of Notes 2 Section 3. Closing 2 Section 4. C |
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| November 8, 2021 |
Exhibit 4.2 Form of Note Oaktree Capital Management, L.P. 3.06% Senior Note Due January 12, 2037 No. R-[] [Date] $[] PPN: 674003 C@5 For Value Received, the undersigned, Oaktree Capital Management, L.P., a Delaware limited partnership (the ?Company?), hereby promises to pay to [], or registered assigns, the principal sum of [] Dollars (or so much thereof as shall not have been prepaid) on January |
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| November 8, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2021 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Commis |
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| October 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 14, 2021 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Commis |
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| September 20, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 14, 2021 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Comm |
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| September 20, 2021 |
Exhibit 10.1 SIXTH AMENDMENT TO CREDIT AGREEMENT This SIXTH AMENDMENT TO CREDIT AGREEMENT (this ?Amendment?), dated as of September 14, 2021 is entered into by and among OAKTREE CAPITAL MANAGEMENT, L.P., a Delaware limited partnership, OAKTREE CAPITAL II, L.P., a Delaware limited partnership, OAKTREE AIF INVESTMENTS, L.P., a Delaware limited partnership, OAKTREE CAPITAL I, L.P., a Delaware limited |
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| August 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capital Gr |
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| May 12, 2021 |
Exhibit 4.1 REVOLVING LINE OF CREDIT NOTE May 7, 2021 FOR VALUE RECEIVED, the undersigned, Oaktree Capital Management, L.P., a Delaware limited partnership (the ?Borrower?), hereby unconditionally promises to pay to Oaktree Capital I, L.P.., a Delaware limited partnership (the ?Lender?), or its permitted assigns, in lawful money of the United States of America and in immediately available funds, a |
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| May 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended March 31, 2021 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capital G |
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| May 12, 2021 |
EX-4.2 3 exhibit42revolvinglineofcr.htm EX-4.2 Exhibit 4.2 REVOLVING LINE OF CREDIT NOTE May 7, 2021 FOR VALUE RECEIVED, the undersigned, Oaktree Capital I, L.P., a Delaware limited partnership (the “Borrower”), hereby unconditionally promises to pay to Oaktree Capital Management, L.P., a Delaware limited partnership (the “Lender”), or its permitted assigns, in lawful money of the United States of |
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| March 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 16, 2021 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Com |
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| February 26, 2021 |
Subsidiaries of the Registrant. Exhibit 21.1 List of Subsidiaries Name Jurisdiction of Incorporation or Organization Arbour CLO Capital Funding Designated Activity Company Ireland Arbour CLO Designated Activity Company Ireland Arbour CLO II Designated Activity Company Ireland Arbour CLO III Designated Activity Company Ireland Arbour CLO IV Designated Activity Company Ireland Arbour CLO V Designated Activity Company Ireland Arbou |
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| February 26, 2021 |
Exhibit 4.13 Execution Version CERTAIN IDENTIFIED INFORMATION MARKED BY [***] HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED AMENDMENT to Note Purchase Agreement This AMENDMENT to Note Purchase Agreement (?Amendment?) is entered into as of April 24, 2020 by and among Oaktree Capital Manage |
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| February 26, 2021 |
EX-10.20 8 exhibit1020ocglong-terminc.htm EX-10.20 Exhibit 10.20 Oaktree Capital Group, LLC Long-Term Incentive Plan ARTICLE I. PURPOSE 1.01. The purpose of the Oaktree Capital Group, LLC Long-Term Incentive Plan (the “Plan”) is to assist the Oaktree Group (as defined below) to retain key employees, directors, consultants, other service providers, partners and members of any Oaktree Group Member ( |
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| February 26, 2021 |
EX-4.5 3 exhibit45oaktreenpaamendme.htm EX-4.5 Exhibit 4.5 Execution Version CERTAIN IDENTIFIED INFORMATION MARKED BY [***] HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED SECOND AMENDMENT to Note Purchase Agreement This SECOND AMENDMENT to Note Purchase Agreement (“Amendment”) is entered i |
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| February 26, 2021 |
EX-10.7 6 exhibit107ocukllp-services.htm EX-10.7 Exhibit 10.7 Amended & Restated Services Agreement Oaktree Capital Management, L.P. and Oaktree Capital Management (UK) LLP 18 December 2020 1 THIS SERVICES AGREEMENT (this “Agreement”) is made on 18 December 2020 BETWEEN: (1)Oaktree Capital Management, L.P. a Delaware limited partnership of 333 South Grand Avenue, 28th Floor, Los Angeles, CA 90071 |
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| February 26, 2021 |
Exhibit 10.9 THIRD AMENDED AND RESTATED SERVICES AGREEMENT THIS THIRD AMENDED AND RESTATED SERVICES AGREEMENT (this ?Agreement?) is entered into on January 6, 2021 by and between Oaktree Capital Management, L.P. (?OCMLP?), a Delaware limited partnership, and Oaktree Capital (Hong Kong) Limited, a Hong Kong company (?OCHK?). Each of the parties to this Agreement may be referred to herein individual |
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| February 26, 2021 |
Exhibit 4.4 CERTAIN IDENTIFIED INFORMATION MARKED BY [***] HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED AMENDMENT to Note Purchase Agreement This AMENDMENT to Note Purchase Agreement (?Amendment?) is entered into as of October 18, 2017 by and among Oaktree Capital Management, L.P., a Del |
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| February 26, 2021 |
EX-4.10 4 exhibit410oaktreenpaamendm.htm EX-4.10 Exhibit 4.10 Execution Version CERTAIN IDENTIFIED INFORMATION MARKED BY [***] HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED AMENDMENT to Note Purchase Agreement This AMENDMENT to Note Purchase Agreement (“Amendment”) is entered into as of A |
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| February 26, 2021 |
Exhibit 10.21 AWARD AGREEMENT Under The Oaktree Capital Group, LLC Long-Term Incentive Plan This Award Agreement (as may be amended, modified, supplemented or restated from time to time, this ?Agreement?) is effective as of March 23, 2020 (the ?Grant Date?), by and between Oaktree Capital Group, LLC, a Delaware limited liability company (the ?Company?) and you (the ?Participant?). Capitalized term |
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| February 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the fiscal year ended December 31, 2020 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capital Group, |
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| February 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 16, 2021 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Commi |
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| February 19, 2021 |
Oaktree Appoints Depelsha McGruder to Board of Directors EX-99.1 2 exhibit991pressrelease2021.htm EX-99.1 Exhibit 99.1 Oaktree Appoints Depelsha McGruder to Board of Directors LOS ANGELES-(BUSINESS WIRE)-Feb. 17, 2021- Oaktree Capital Group, LLC (NYSE: OAK-PA and OAK-PB) today announced the appointment of Depelsha McGruder to its Board of Directors, effective February 16, 2021. Ms. McGruder is the chief operating officer and treasurer of the Ford Founda |
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| December 22, 2020 |
Oaktree Capital Group, LLC. 333 South Grand Avenue, 28th floor Los Angeles, CA 90071 p +1 213 830-6300 www.oaktreecapital.com December 22, 2020 VIA EDGAR Robert Klein Cara Lubit Division of Corporation Finance Office of Finance Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Oaktree Capital Group, LLC Form 10-K for the Fiscal Year Ended December 31, 2019 Filed Marc |
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| November 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capit |
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| August 7, 2020 |
Exhibit 10.1 Oaktree Capital Group, LLC. 333 South Grand Avenue, 28th floor Los Angeles, CA 90071 p +1 213 830-6300 www.oaktreecapital.com August 3, 2020 Oaktree Capital Group Holdings, L.P. c/o Oaktree Capital Group Holdings GP, LLC, in its capacity as General Partner 333 South Grand Avenue, 28th floor Los Angeles, CA 90071 Brookfield US Holdings Inc. c/o Brookfield Asset Management, Inc. Brookfi |
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| August 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended June 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capital Gr |
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| May 27, 2020 |
Exhibit 4.3 [Form of Series B Note] Oaktree Capital Management, L.P. 3.84% Senior Note, Series B, Due July 22, 2035 No. RB-[] [Date] $[] PPN 674003 C*7 For Value Received, the undersigned, Oaktree Capital Management, L.P., a Delaware limited partnership (the “Company”), hereby promises to pay to [], or registered assigns, the principal sum of [] Dollars (or so much thereof as shall not have been p |
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| May 27, 2020 |
Exhibit 4.2 [Form of Series A Note] Oaktree Capital Management, L.P. 3.64% Senior Note, Series A, Due July 22, 2030 No. RA-[] [Date] $[] PPN 674003 B#4 For Value Received, the undersigned, Oaktree Capital Management, L.P., a Delaware limited partnership (the “Company”), hereby promises to pay to [], or registered assigns, the principal sum of [] Dollars (or so much thereof as shall not have been p |
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| May 27, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 20, 2020 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Commission |
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| May 27, 2020 |
Execution Version Oaktree Capital Management, L.P. Oaktree Capital I, L.P. Oaktree Capital II, L.P. Oaktree AIF Investments, L.P. $200,000,000 3.64% Senior Notes, Series A, due July 22, 2030 $50,000,000 3.84% Senior Notes, Series B, due July 22, 2035 Note and Guaranty Agreement Dated as of May 20, 2020 Oaktree Capital Management, L.P. Note and Guaranty Agreement Table of Contents Section Heading P |
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| May 27, 2020 |
Oaktree Announces Definitive Agreement for $250 Million Senior Notes Offering Exhibit 99.1 Oaktree Announces Definitive Agreement for $250 Million Senior Notes Offering May 20, 2020 LOS ANGELES—(BUSINESS WIRE)—Oaktree Capital Group, LLC (the “Company”) (NYSE: OAK-PA and OAK-PB) today announced that Oaktree Capital Management, L.P. (the “Issuer”) and Oaktree Capital I, L.P., Oaktree Capital II, L.P. and Oaktree AIF Investments, L.P. (the “Guarantors”) have executed a definit |
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| May 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended March 31, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capital G |
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| May 4, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2020 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Commission |
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| May 4, 2020 |
Oaktree Announces $250 Million Offering of Senior Notes EX-99.1 Exhibit 99.1 Oaktree Announces $250 Million Offering of Senior Notes May 01, 2020 05:47 PM Eastern Daylight Time LOS ANGELES—(BUSINESS WIRE)—Oaktree Capital Group, LLC (the “Company”) (NYSE: OAK-PA and OAK-PB) today announced that Oaktree Capital Management, L.P. (the “Issuer”) has received commitments from certain accredited investors (collectively, “the Investors”) to purchase $200 milli |
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| March 2, 2020 |
Exhibit 10.16.1 OAKTREE CAPITAL GROUP HOLDINGS, L.P. OAKTREE CAPITAL GROUP HOLDINGS GP, LLC CONFIDENTIAL February 25, 2020 Jay S. Wintrob c/o Oaktree Capital Management, L.P. 333 South Grand Avenue, 28th Floor Los Angeles, CA 90071 Re: Amendment to Equity Value Unit Grant Agreement Dear Mr. Wintrob: Reference is made to that certain grant agreement with Oaktree Capital Group Holdings, L.P. (“OCGH” |
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| March 2, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the fiscal year ended December 31, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capital Group, |
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| March 2, 2020 |
Exhibit 10.8 Services Agreement Oaktree Capital Management, L.P. and Oaktree Capital Management (International) Limited September 2018 1 THIS SERVICES AGREEMENT (this “Agreement”) is made on 25 September 2018 BETWEEN: (1) Oaktree Capital Management, L.P. a Delaware limited partnership of 333 South Grand Avenue, 28th Floor, Los Angeles, CA 90071 ("Oaktree US"); and (2) Oaktree Capital Management (I |
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| March 2, 2020 |
Exhibit 10.15 OAKTREE CAPITAL GROUP, LLC OAKTREE CAPITAL MANAGEMENT, L.P. CONFIDENTIAL February 25, 2020 Jay S. Wintrob c/o Oaktree Capital Management, L.P. 333 South Grand Avenue, 28th Floor Los Angeles, CA 90071 Re: Third Amended and Restated Employment Agreement Dear Mr. Wintrob: On October 6, 2014, you entered into an agreement with Oaktree Capital Group, LLC, a Delaware limited liability comp |
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| March 2, 2020 |
Exhibit 10.1 THIRD AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF Oaktree Capital I, L.P. Dated as of September 30, 2019 THE PARTNERSHIP UNITS OF OAKTREE CAPITAL I, L.P. HAVE NOT BEEN REGISTERED UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), THE SECURITIES LAWS OF ANY STATE, PROVINCE OR ANY OTHER APPLICABLE SECURITIES LAWS AND ARE BEING SOLD IN RELIANCE UPON EXEMP |
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| March 2, 2020 |
Exhibit 10.7 Amended & Restated Services Agreement Oaktree Capital Management, L.P. and Oaktree Capital Management (UK) LLP February 25, 2020 1 THIS SERVICES AGREEMENT (this “Agreement”) is made on 25th February 2020 BETWEEN: (1) Oaktree Capital Management, L.P. a Delaware limited partnership of 333 South Grand Avenue, 28th Floor, Los Angeles, CA 90071 ("Oaktree US"); and (2) Oaktree Capital Manag |
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| March 2, 2020 |
Exhibit 10.6 SERVICES AGREEMENT This SERVICES AGREEMENT (as amended, supplemented or modified from time to time in accordance herewith, the “Agreement”) is made this 24th day of February, 2020, between Oaktree Capital Management, L.P., a Delaware limited partnership (“Service Provider”), which provides certain services from time to time, and Oaktree Capital Group, LLC, a Delaware limited liability |
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| March 2, 2020 |
1 Exhibit 4.11 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2019, Oaktree Capital Group, LLC (“our,” “we,” “us” or “Oaktree”) has two classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): (1) our 6.625% Series A Preferred Units (“Series A Pr |
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| March 2, 2020 |
Exhibit 10.9 SECOND AMENDED AND RESTATED SERVICES AGREEMENT THIS SECOND AMENDED AND RESTATED SERVICES AGREEMENT (this “Agreement”) is entered into on February 25, 2020 by and between Oaktree Capital Management, L.P. (“OCMLP”), a Delaware limited partnership, and Oaktree Capital (Hong Kong) Limited, a Hong Kong company (“OCHK”). Each of the parties to this Agreement may be referred to herein indivi |
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| March 2, 2020 |
Subsidiaries of the Registrant. Exhibit 21.1 List of Subsidiaries Name Jurisdiction of Incorporation or Organization Arbour CLO Designated Activity Company Ireland Arbour CLO II Designated Activity Company Ireland Arbour CLO III Designated Activity Company Ireland Arbour CLO IV Designated Activity Company Ireland Arbour CLO V Designated Activity Company Ireland Arbour CLO VI Designated Activity Company Ireland Highstar Capital F |
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| March 2, 2020 |
Exhibit 10.2 SECOND AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF Oaktree Capital Management (Cayman), L.P. Dated as of September 30, 2019 THE PARTNERSHIP UNITS OF OAKTREE CAPITAL MANAGEMENT (CAYMAN), L.P. HAVE NOT BEEN REGISTERED UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), THE SECURITIES LAWS OF ANY STATE, PROVINCE OR ANY OTHER APPLICABLE SECURITIES LAWS AND |
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| December 18, 2019 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 17, 2019 (December 13, 2019) Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of i |
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| December 18, 2019 |
EX-10.1 2 exhibit1018-k12x17x19.htm EXHIBIT 10.1 EXECUTION VERSION FIFTH AMENDMENT TO CREDIT AGREEMENT This FIFTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), dated as of December 13, 2019 is entered into by and among OAKTREE CAPITAL MANAGEMENT, L.P., a Delaware limited partnership, OAKTREE CAPITAL II, L.P., a Delaware limited partnership, OAKTREE AIF INVESTMENTS, L.P., a Delaware limited par |
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| November 7, 2019 |
Exhibit 10.3 EXECUTION VERSION THIRD AMENDED AND RESTATED TAX RECEIVABLE AGREEMENT This THIRD AMENDED AND RESTATED TAX RECEIVABLE AGREEMENT (as amended from time to time, this “Agreement”), dated as of September 30, 2019 (the “Closing Date”), is hereby entered into by and among Brookfield Asset Management Inc., a corporation incorporated under the laws of the Province of Ontario (“Parent”), Oaktre |
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| November 7, 2019 |
Exhibit 10.1 Execution Version THIRD AMENDED AND RESTATED EXCHANGE AGREEMENT by and among ATLAS HOLDINGS, LLC, ATLAS OCM HOLDINGS, LLC, OAKTREE CAPITAL GROUP, LLC, OCM HOLDINGS I, LLC, OAKTREE NEW HOLDINGS, LLC, OAKTREE AIF HOLDINGS II, LLC, OAKTREE HOLDINGS, LTD., OAKTREE CAPITAL GROUP HOLDINGS, L.P., OAKTREE CAPITAL I, L.P., OAKTREE CAPITAL II, L.P., OAKTREE CAPITAL MANAGEMENT, L.P., OAKTREE CAP |
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| November 7, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended September 30, 2019 or ☐TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capital |
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| November 7, 2019 |
Exhibit 10.2 Execution Version MASTER RESTRUCTURING AGREEMENT THIS RESTRUCTURING AGREEMENT (this “Agreement”) is entered into as of September 30, 2019 (the “Effective Date”) by and among (i) Brookfield Asset Management Inc., a corporation incorporated under the laws of the Province of Ontario (“BAM”), (ii) Oaktree Capital Group, LLC, a Delaware limited liability company (“OCG LLC”), (iii) Berlin M |
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| October 22, 2019 |
HK / Halcon Resources Corporation / Oaktree Capital Group, LLC - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Halcón Resources Corporation (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 40537Q803 (CUSIP Number) Todd E. Molz General Counsel, Chief Administrative Officer & Managing Director Oaktree Capital Group, LLC 333 S |
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| October 22, 2019 |
Joint Filing Agreement, by and among the Reporting Persons, dated as of October 22, 2019. EX-99.1 2 eh1901177ex9901.htm EXHIBIT 1 EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13D is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf o |
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| October 10, 2019 |
OAK / Oaktree Capital Group, LLC 15-12B - - FORM 15-12B FORM 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-35500 Oaktree Capital Group, LLC (Exact name of registrant |
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| October 4, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 4, 2019 (September 30, 2019) Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of in |
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| October 4, 2019 |
EX-3.1 Exhibit 3.1 EXECUTION VERSION FIFTH AMENDED AND RESTATED OPERATING AGREEMENT OF OAKTREE CAPITAL GROUP, LLC Dated as of September 30, 2019 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 2 Section 1.1 Definitions 2 Section 1.2 Construction 16 ARTICLE II ORGANIZATION 16 Section 2.1 Formation 16 Section 2.2 Name 17 Section 2.3 Registered Office; Registered Agent; Principal Office; Other Offices 1 |
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| October 4, 2019 |
Unaudited Pro Forma Condensed Consolidated Financial Information EX-99.2 4 d771316dex992.htm EX-99.2 Exhibit 99.2 Unaudited Pro Forma Condensed Consolidated Financial Information Pro forma financial information The following pro forma information should be read in conjunction with Oaktree’s historical consolidated financial statements and the notes thereto as filed in Oaktree’s Annual Report on Form 10-K for the year ended December 31, 2018, which was filed wit |
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| October 4, 2019 |
Brookfield Asset Management Completes Acquisition Of 61.2% of Oaktree Capital Management EX-99.1 Exhibit 99.1 PRESS RELEASE Brookfield Asset Management Completes Acquisition Of 61.2% of Oaktree Capital Management New York, September 30, 2019 – Brookfield Asset Management Inc. (“Brookfield”) (NYSE: BAM, TSX: BAM.A) and Oaktree Capital Group, LLC (NYSE: OAK) (“Oaktree”) are pleased to announce the completion of Brookfield’s acquisition of approximately 61.2% of Oaktree’s business. In co |
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| September 30, 2019 |
OAK / Oaktree Capital Group, LLC POSASR - - POSASR POSASR As filed with the Securities and Exchange Commission on September 30, 2019 Registration No. |
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| September 30, 2019 |
OAK / Oaktree Capital Group, LLC POS AM - - POS AM POS AM As filed with the Securities and Exchange Commission on September 30, 2019 Registration No. |
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| September 30, 2019 |
OAK / Oaktree Capital Group, LLC S-8 POS - - S-8 POS S-8 POS As filed with the Securities and Exchange Commission on September 30, 2019 Registration No. |
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| September 30, 2019 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on October 11, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
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| September 30, 2019 |
OAK / Oaktree Capital Group, LLC / Oaktree Capital Group, LLC - SC 13E3/A SC 13E3/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 (Amendment No. 3) RULE 13e-3 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 Oaktree Capital Group, LLC (Name of the Issuer) Oaktree Capital Group, LLC Oaktree Capital Group Holdings, L.P. Oaktree Capital Group Holdings GP, LLC Howard S. Marks Bruce A. Karsh Brookfield |
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| September 18, 2019 |
BAM / Brookfield Asset Management, Inc. 425 - Merger Prospectus - 425 425 1 d807247d425.htm 425 Filed by Brookfield Asset Management Inc. pursuant to Rule 425 under the Securities Act of 1933 Subject Company: Oaktree Capital Group, LLC SEC File No.: 001-35500 Date: September 18, 2019 PRESS RELEASE BROOKFIELD ASSET MANAGEMENT AND OAKTREE CAPITAL GROUP ANNOUNCE THE ANTICIPATED ELECTION DEADLINE New York, September 18, 2019 – Brookfield Asset Management Inc. (“Brookfie |
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| September 18, 2019 |
OAK / Oaktree Capital Group, LLC 425 - Merger Prospectus - 425 425 Filed by Oaktree Capital Group, LLC pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Oaktree Capital Group, LLC SEC File No. |
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| September 12, 2019 |
OAK / Oaktree Capital Group, LLC 425 - Merger Prospectus - 425 425 Filed by Oaktree Capital Group, LLC pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Oaktree Capital Group, LLC SEC File No. |
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| August 29, 2019 |
OAK / Oaktree Capital Group, LLC 425 - Merger Prospectus - 425 425 1 d796153d425.htm 425 Filed by Oaktree Capital Group, LLC pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Oaktree Capital Group, LLC SEC File No.: 001-35500 PRESS RELEASE BROOKFIELD ASSET MANAGEMENT AND OAKTREE CAPITAL GROUP ANNOUNCE THE COMMENCEMENT OF THE ELECTION PERIOD AND THE MAILING |
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| August 9, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended June 30, 2019 or ☐TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission File Number 001-35500 Oaktree Capital Grou |
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| July 25, 2019 |
Oaktree Announces Second Quarter 2019 Financial Results Oaktree Announces Second Quarter 2019 Financial Results As of June 30, 2019 or for the quarter then ended, and where applicable, per Class A unit: • GAAP net income attributable to Oaktree Capital Group, LLC (“OCG”) Class A unitholders was $42. |
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| July 25, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 25, 2019 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of incorporation) (Commissio |
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| July 10, 2019 |
OAK / Oaktree Capital Group, LLC 425 - Merger Prospectus - 425 425 Filed by Oaktree Capital Group, LLC pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Oaktree Capital Group, LLC SEC File No. |
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| June 25, 2019 |
OAK / Oaktree Capital Group, LLC 425 - Merger Prospectus - 425 425 1 d761473d425.htm 425 Filed by Oaktree Capital Group, LLC pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Oaktree Capital Group, LLC SEC File No.: 001-35500 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of Th |
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| June 25, 2019 |
Submission of Matters to a Vote of Security Holders 8-K 1 d771700d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 25, 2019 Oaktree Capital Group, LLC (Exact name of registrant as specified in its charter) Delaware 001-35500 26-0174894 (State or other jurisdiction of |
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| June 20, 2019 |
OAK / Oaktree Capital Group, LLC DEFM14A - - DEFM14A DEFM14A 1 d59366ddefm14a.htm DEFM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as |
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| June 20, 2019 |
EX-99.(c)(16) Exhibit (c)(16) Presentation to the Special Committee of the Board of Directors of OSLO Strictly Private & Confidential January 17, 2019Exhibit (c)(16) Presentation to the Special Committee of the Board of Directors of OSLO Strictly Private & Confidential January 17, 2019 GENERAL INFORMATION AND LIMITATIONS This presentation, and the oral or video presentation that supplements it, ha |
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| June 20, 2019 |
EX-99.(C)(9) 8 d755224dex99c9.htm EX-99.(C)(9) Preliminary Draft – Not for Reliance; Subject to Change and Further Review Exhibit (c)(9) Analysis of Liquidity Mechanism Proposals December 2018Preliminary Draft – Not for Reliance; Subject to Change and Further Review Exhibit (c)(9) Analysis of Liquidity Mechanism Proposals December 2018 Preliminary Draft – Not for Reliance; Subject to Change and Fu |
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| June 20, 2019 |
EX-99.(c)(11) Preliminary Confidential Draft – Not for Reliance; Subject to Change and Further Review Exhibit (c)(11) Berlin / REIT Correlation Analysis January 2019Preliminary Confidential Draft – Not for Reliance; Subject to Change and Further Review Exhibit (c)(11) Berlin / REIT Correlation Analysis January 2019 Preliminary Confidential Draft – Not for Reliance; Subject to Change and Further Re |
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| June 20, 2019 |
EX-99.(C)(6) 5 d755224dex99c6.htm EX-99.(C)(6) Preliminary Draft – Not for Reliance; Subject to Change and Further Review Exhibit (c)(6) Project Atlas – Preliminary Oslo Valuation Materials November 2018Preliminary Draft – Not for Reliance; Subject to Change and Further Review Exhibit (c)(6) Project Atlas – Preliminary Oslo Valuation Materials November 2018 Preliminary Draft – Not for Reliance; Su |
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| June 20, 2019 |
EX-99.(c)(17) Exhibit (c)(17) DRAFT Presentation to the Special Committee of the Board of Directors of OSLO Strictly Private & Confidential February 7, 2019Exhibit (c)(17) DRAFT Presentation to the Special Committee of the Board of Directors of OSLO Strictly Private & Confidential February 7, 2019 DR DRAFT AFT GENERAL INFORMATION AND LIMITATIONS This presentation, and the oral or video presentatio |
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| June 20, 2019 |
EX-99.(C)(14) 13 d755224dex99c14.htm EX-99.(C)(14) Preliminary Confidential Draft – Not for Reliance; Subject to Change and Further Review Exhibit (c)(14) Project Atlas: Oslo Board of Directors Discussion Materials March 7, 2019Preliminary Confidential Draft – Not for Reliance; Subject to Change and Further Review Exhibit (c)(14) Project Atlas: Oslo Board of Directors Discussion Materials March 7, |
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| June 20, 2019 |
EX-99.(C)(12) 11 d755224dex99c12.htm EX-99.(C)(12) Preliminary Confidential Draft – Not for Reliance; Subject to Change and Further Review Exhibit (c)(12) Review of Berlin Revised Proposal January 2019Preliminary Confidential Draft – Not for Reliance; Subject to Change and Further Review Exhibit (c)(12) Review of Berlin Revised Proposal January 2019 I. OverviewI. Overview P Pre relliim miinar nary |
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| June 20, 2019 |
EX-99.(C)(4) 3 d755224dex99c4.htm EX-99.(C)(4) Preliminary Draft – Not for Reliance; Subject to Change and Further Review Exhibit (c)(4) Project Atlas – Preliminary Oslo Valuation Materials November 2018Preliminary Draft – Not for Reliance; Subject to Change and Further Review Exhibit (c)(4) Project Atlas – Preliminary Oslo Valuation Materials November 2018 Preliminary Draft – Not for Reliance; Su |
