KARSH BRUCE A (See Remarks) exercised options at BROOKFIELD OAKTREE HOLDINGS, LLC
Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.
M · 1 exercise
Filed: 7/31/2019ACC: 0000899243-19-020772
DirectorOfficer· See Remarks
Since May 2019
-200K
Net shares
Net seller
$0.00
Total acquired
0
Open market trades
0B · 0S
3
Total transactions
200K acquired · 400K disposed
Non-Derivative Transactions2
Class A Units
Direct
Shares
+200K
Price / share
—
Trade value
—
% of position
196.4%
7/30/2019
101.83K→301.83K
Class A Units
Direct
Shares
−200K
Price / share
—
Trade value
—
% of position
66.3%
7/31/2019
301.83K→101.83K
Total
Net shares
+0.00
Net value
$0.00
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Class A Units Direct | 7/30/2019 | M · Option Exercise | +200K | — | — | 196.4% | 101.83K | 301.83K |
| Class A Units Direct | 7/31/2019 | G · Gift | −200K | — | — | 66.3% | 301.83K | 101.83K |
| Total | +0.00 | $0.00 | ||||||
Derivative Transactions1
OCGH Units
Indirect
Converts to
Class A Units
200K shares
Shares
−200K
Strike price
Held after
8.92M
Exercisable
—
7/30/2019
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| OCGH Units Indirect | Class A Units200K shares | 7/30/2019 | M · Option Exercise | −200K | — | 8.92M |
Non-Derivative Holdings (Post-Transaction)1
Class A Units
IndirectShares owned13K
Total
13K indirect13K
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Class A Units | 13K | Indirect |
| Total | 13K | 13K indirect |
Derivative Holdings (Post-Transaction)2
OCGH Units
IndirectUnderlying security
Class A Units
Underlying shares
N/A
Shares owned
2.80M
Exercise price
Expiration
—
Exercise window
—
OCGH Units
IndirectUnderlying security
Class A Units
Underlying shares
N/A
Shares owned
3.33M
Exercise price
Expiration
—
Exercise window
—
Total
Underlying
0.00
Owned
6.13M
| Security | Underlying | Exercise Price | Exercise Window | Expiration | Underlying Shares | Shares Owned |
|---|---|---|---|---|---|---|
| OCGH Units Indirect | Class A Units | — | — | N/A | 2.80M | |
| OCGH Units Indirect | Class A Units | — | — | N/A | 3.33M | |
| Total | 0.00 | 6.13M | ||||