BROOKFIELD Corp 的 Form 4/A 修正申報
修正Runway Growth Finance Corp.RWAY，2023/11/16 申報
- 申報編號
- 0000950170-23-064585
- 申報時間
- 2023/11/16 17:46 ET
- 交易日
- 2023/11/13
- 申報延遲
- 3 天
- 10b5-1 計畫
- 沒有勾選
- 原始申報日
- 2023/11/15
這份申報列了 1 筆非衍生性交易。公開市場賣出合計 $4,522 萬。交易後 3 天申報。
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 |
|---|---|
| BROOKFIELD CorpCIK 0001001085 | 董事、持股 10% 以上大股東 |
| Oaktree Capital Group Holdings GP, LLCCIK 0001403525 | 董事、持股 10% 以上大股東 |
| Brookfield Oaktree Holdings, LLCCIK 0001403528 | 董事、持股 10% 以上大股東 |
| OCM Growth Holdings LLCCIK 0001693272 | 董事、持股 10% 以上大股東 |
| Oaktree Opportunities Fund Xb Holdings (Delaware), L.P.CIK 0001780629 | 董事、持股 10% 以上大股東 |
| BAM Partners TrustCIK 0001861643 | 董事、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 |
|---|---|---|---|---|---|---|---|---|
| 2023/11/13 | Common Stock, par value $0.01 per share | S賣出處分 | −3,750,000 | $12.06 | −$45,216,000 | 17,304,668 | 直接 | 重複申報 |
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
Includes shares acquired pursuant to the issuer's dividend reinvestment plan.
- F2
On November 13, 2023, OCMGH (as defined in Note 3 below), and Fund Xb Delaware (as defined in Note 3 below), sold 3,745,708 and 4,292 shares of the Issuer, respectively, pursuant to an underwriting agreement by and among OCMGH, Fund Xb Delaware, the Issuer, and the underwriters party thereto.
- F3
OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 17,284,860 shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer").Oaktree Opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware"), directly owns 19,808 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) OCMGH; (ii) Fund Xb Delaware;
- F4
(continued from footnote 3) (iii) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as the manager of OCMGH and Fund Xb Delaware; (iv) Oaktree Capital Group Holdings GP, LLC ("OCGHGP"), in its capacity as the indirect owner of class B units of OCG; (v) Brookfield Corporation, a Canadian corporation ("BN"), in its capacity as the indirect owner of the class A units of OCG and (vi) 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 BN.
- F5
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.
- F6
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.
- F7
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.
- F8
This amendment and restatement of the Form 4 filed November 15, 2023 (the "Original Filing") is being filed solely to correct the omission of BN and BAM Partners Trust as reporting persons. Their indirect ownership was accurately described in footnotes 4 and 5 of the Original Filing.