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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。

這份申報的申報人
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。

非衍生性證券的交易
交易日證券交易股數價格金額交易後持股持有方式旗標
2022/1/12Common Stock, par value $0.01 per shareP買進取得+20,300$13.49+$273,810.4620,106,749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)

沿用 0000899243-22-001756 的非衍生性證券交易
交易日證券交易股數價格金額交易後持股持有方式旗標
2022/1/10Common Stock, par value $0.01 per shareP買進取得+22,000$13.20+$290,44420,065,349直接
2022/1/11Common Stock, par value $0.01 per shareP買進取得+21,100$13.31+$280,815.6820,086,449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.

看 SEC EDGAR 上的完整原文 (在新分頁開啟)