BROOKFIELD Corp's Form 4 filing
Runway Growth Finance Corp.RWAY · filed Dec 19, 2023
- Accession no.
- 0000950170-23-071709
- Filed
- Dec 19, 2023, 9:30 PM ET
- Trade date
- Dec 15-18, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 2 non-derivative transactions. Open-market sales total $3.17M. It was filed 4 days after the trade.
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 |
|---|---|
| BROOKFIELD CorpCIK 0001001085 | Director, 10% Owner |
| Oaktree Capital Group Holdings GP, LLCCIK 0001403525 | Director, 10% Owner |
| Brookfield Oaktree Holdings, LLCCIK 0001403528 | Director, 10% Owner |
| OCM Growth Holdings LLCCIK 0001693272 | Director, 10% Owner |
| Oaktree Opportunities Fund Xb Holdings (Delaware), L.P.CIK 0001780629 | Director, 10% Owner |
| BAM Partners TrustCIK 0001861643 | Director, 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 15, 2023 | Common Stock, par value $0.01 per share | SSaleDisposed | −237,635 | $12.69F1,F2 | −$3,016,110.95 | 16,504,533 | Direct | |
| Dec 18, 2023 | Common Stock, par value $0.01 per share | SSaleDisposed | −12,365 | $12.76F1,F8 | −$157,734.12 | 16,492,168 | 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
The reported price represents the volume-weighted average price ("VWAP") of shares sold. Full information regarding the number of shares of Common Stock sold at each separate price in the ranges reflected in footnotes 2 and 8 will be provided to the SEC, the Issuer or its shareholders upon request.
Referenced by the price of 2 transactions in Table I.
- F2
The reported price represents the VWAP of shares sold. Sale prices for the reported transaction reported ranged between $12.68 and $12.85, inclusive.
Referenced by the price of 1 transaction in Table I.
- F8
The reported price represents the VWAP of shares sold. Sale prices for the reported transaction reported ranged between $12.72 and $12.83, inclusive.
Referenced by the price of 1 transaction in Table I.