OCM Growth Holdings LLC's Form 4/A amendment
AmendedRunway Growth Finance Corp. (RWAY) · filed Jan 18, 2022
- Accession no.
- 0000899243-22-002115
- Filed
- Jan 18, 2022, 4:00 PM ET
- Trade date
- Jan 12, 2022
- Filing delay
- 6 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jan 19, 2022
This filing lists 1 non-derivative transaction. It carries over 2 transactions from the original filing that it did not restate. Open-market purchases total $845.1K. It was filed 6 days after the trade.
This amendment restates part of 0000899243-22-001756 (filed Jan 12, 2022). The transactions it did not restate still count and are listed below.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| OCM Growth Holdings LLCCIK 0001693272 | Director, 10% Owner |
| BROOKFIELD CorpCIK 0001001085 | 10% Owner |
| Oaktree Fund GP I, L.P.CIK 0001402746 | 10% Owner |
| Oaktree Capital Group Holdings GP, LLCCIK 0001403525 | 10% Owner |
| Brookfield Oaktree Holdings, LLCCIK 0001403528 | 10% Owner |
| Oaktree Capital I, L.P.CIK 0001403530 | 10% Owner |
| Brookfield OCM Holdings II, LLCCIK 0001407178 | 10% Owner |
| Brookfield OCM Holdings, LLCCIK 0001407181 | 10% Owner |
| Oaktree Fund GP, LLCCIK 0001499005 | 10% Owner |
| BAM Partners TrustCIK 0001861643 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 12, 2022 | Common Stock, par value $0.01 per share | PPurchaseAcquired | +20,300 | $13.49 | +$273,810.46 | 20,106,749 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0000899243-22-001756 (filed Jan 12, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 10, 2022 | Common Stock, par value $0.01 per share | PPurchaseAcquired | +22,000 | $13.20 | +$290,444 | 20,065,349 | Direct | |
| Jan 11, 2022 | Common Stock, par value $0.01 per share | PPurchaseAcquired | +21,100 | $13.31 | +$280,815.68 | 20,086,449 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This amended form is filed to correct the price per share at which the shares were acquired which was misstated due to an administrative error.
- F2
OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 14,933,309.96 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"),
- F3
(Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG; and (ix) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM.
- F4
Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.
- F5
OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4.
- F6
The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors.
- F7
This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons
Remarks
This Form 4 is being filed to amend an inadvertent error in the reported prices for the Common Stockin Column 4 of Table I reported in the original Form 4 filed on January 12, 2022.