Tannenbaum Leonard M's Form 4 filing
Oaktree Specialty Lending Corp (OCSL) · filed Dec 30, 2021
- Accession no.
- 0001209191-21-071649
- Filed
- Dec 30, 2021
- Trade date
- Dec 28-30, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market sales total $3.65M. It was filed 2 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 |
|---|---|
| Tannenbaum Leonard MCIK 0001200461 | Other: Former 10% Owner (See Remarks) |
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 28, 2021 | Common Stock | SSaleDisposed | −200,000 | $7.55F1 | −$1,510,000 | 15,591,543 | Direct | |
| Dec 29, 2021 | Common Stock | SSaleDisposed | −200,000 | $7.52F3 | −$1,504,000 | 15,391,543 | Direct | |
| Dec 30, 2021 | Common Stock | SSaleDisposed | −84,954 | $7.50F4 | −$637,155 | 15,306,589 | 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 transaction was executed in multiple trades at prices ranging from $7.500 to $7.590; the price reported reflects the weighted average price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.
Referenced by the price of 1 transaction in Table I.
- F3
This transaction was executed in multiple trades at prices ranging from $7.500 to $7.570; the price reported reflects the weighted average price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer
Referenced by the price of 1 transaction in Table I.
- F4
This transaction was executed in multiple trades at prices ranging from $7.500 to $7.520; the price reported reflects the weighted average price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.
Referenced by the price of 1 transaction in Table I.
Remarks
Following the sale transaction on December 30, 2021, the Reporting Person ceased to own more than 10% of the issuer's common stock.