0000899243-18-004685.txt : 20180220 0000899243-18-004685.hdr.sgml : 20180220 20180220203117 ACCESSION NUMBER: 0000899243-18-004685 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180215 FILED AS OF DATE: 20180220 DATE AS OF CHANGE: 20180220 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WINTROB JAY S CENTRAL INDEX KEY: 0001236614 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35500 FILM NUMBER: 18626743 MAIL ADDRESS: STREET 1: 333 S. GRAND AVENUE, 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Oaktree Capital Group, LLC CENTRAL INDEX KEY: 0001403528 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE STREET 2: 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 830-6300 MAIL ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE STREET 2: 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-02-15 0 0001403528 Oaktree Capital Group, LLC OAK 0001236614 WINTROB JAY S C/O OAKTREE CAPITAL GROUP, LLC 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES CA 90071 1 1 0 0 Chief Executive Officer Class A Units 2018-02-15 4 F 0 5583 0.00 D 93496 D OCGH Units 2018-02-15 4 F 0 7780 0.00 D Class A Units 7780 217220 D Represents the number of Class A units of the Issuer withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations upon the vesting of certain Class A units held by the Reporting Person. Each OCGH Unit represents a limited partnership interest in Oaktree Capital Group Holdings, L.P. ("OCGH"). Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, Mr. Wintrob has the right to exchange his vested OCGH units into, at the option of the Issuer's board of directors, Class A units on a one-for-one basis, an equivalent amount of cash based on then-prevailing market prices, other consideration of equal value or any combination of the foregoing. Represents the number of OCGH Units withheld to satisfy the Reporting Person's tax withholding obligations upon the vesting of certain OCGH Units held by the Reporting Person. /s/ Richard Ting, Attorney-in-fact 2018-02-20