OCM Growth Holdings LLC 的 Form 4/A 修正申報
修正Runway Growth Finance Corp.(RWAY),2022/1/18 申報
- 申報編號
- 0000899243-22-002115
- 申報時間
- 2022/1/18 16:00 ET
- 交易日
- 2022/1/12
- 申報延遲
- 6 天
- 10b5-1 計畫
- 表單沒有這欄(2023 年以前)
- 原始申報日
- 2022/1/19
這份申報列了 1 筆非衍生性交易。沿用原件裡沒有重述的 2 筆交易。公開市場買進合計 $84.5 萬。交易後 6 天申報。
這份修正申報重述了 0000899243-22-001756(2022/1/12 申報)的一部分,沒有重述的交易仍然有效,列在下面。
申報人
一份 Form 4 可以有好幾位申報人,例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| OCM Growth Holdings LLCCIK 0001693272 | 董事、持股 10% 以上大股東 |
| BROOKFIELD CorpCIK 0001001085 | 持股 10% 以上大股東 |
| Oaktree Fund GP I, L.P.CIK 0001402746 | 持股 10% 以上大股東 |
| Oaktree Capital Group Holdings GP, LLCCIK 0001403525 | 持股 10% 以上大股東 |
| Brookfield Oaktree Holdings, LLCCIK 0001403528 | 持股 10% 以上大股東 |
| Oaktree Capital I, L.P.CIK 0001403530 | 持股 10% 以上大股東 |
| Brookfield OCM Holdings II, LLCCIK 0001407178 | 持股 10% 以上大股東 |
| Brookfield OCM Holdings, LLCCIK 0001407181 | 持股 10% 以上大股東 |
| Oaktree Fund GP, LLCCIK 0001499005 | 持股 10% 以上大股東 |
| BAM Partners TrustCIK 0001861643 | 持股 10% 以上大股東 |
非衍生性證券(表 I)
普通股等股票的取得與處分,每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/1/12 | Common Stock, par value $0.01 per share | P買進取得 | +20,300 | $13.49 | +$273,810.46 | 20,106,749 | 直接 |
沿用原件的交易
這份修正申報只重述了原件的一部分。原件其他的交易仍然有效,網站的交易表把它們算在這份修正申報底下。
來自 0000899243-22-001756(2022/1/12 申報)。
非衍生性證券(表 I)
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/1/10 | Common Stock, par value $0.01 per share | P買進取得 | +22,000 | $13.20 | +$290,444 | 20,065,349 | 直接 | |
| 2022/1/11 | Common Stock, par value $0.01 per share | P買進取得 | +21,100 | $13.31 | +$280,815.68 | 20,086,449 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報(Form 4/A)的全部附註,以及申報的備註。其他附註,例如間接持有的方式、交易計畫的細節,請看 SEC EDGAR 上的原文。
- 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
備註
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.