0000899243-15-008466.txt : 20151118 0000899243-15-008466.hdr.sgml : 20151118 20151118210934 ACCESSION NUMBER: 0000899243-15-008466 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151116 FILED AS OF DATE: 20151118 DATE AS OF CHANGE: 20151118 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KIRCHHEIMER DAVID M CENTRAL INDEX KEY: 0001372704 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35500 FILM NUMBER: 151242153 MAIL ADDRESS: STREET 1: C/O OAKTREE CAPITAL MANAGEMENT STREET 2: 333 SOUTH GRAND 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 FORMER NAME: FORMER CONFORMED NAME: Kirchheimer David DATE OF NAME CHANGE: 20060815 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-11-16 0 0001403528 Oaktree Capital Group, LLC OAK 0001372704 KIRCHHEIMER DAVID M C/O OAKTREE CAPITAL GROUP, LLC 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES CA 90071 1 1 0 0 See Remarks Class A Units 2015-11-16 4 M 0 100000 A 100136 D OCGH Units 2015-11-16 4 M 0 101117 0.00 D Class A Units 100000 1407097 D In connection with a mandatory exchange of limited partnership units ("OCGH units") of Oaktree Capital Group Holdings, L.P. ("OCGH"), at the direction of the Issuer's board of directors, the Reporting Person exchanged 101,117 OCGH units for 100,000 Class A units ("Class A units") of the Issuer pursuant to an exchange agreement, as further described in footnotes 2 and 3 below. Each OCGH unit represents a limited partnership interest in OCGH. Pursuant to an exchange agreement and subject to certain restrictions, including the approval of the exchange by the Issuer's board of directors, each holder of OCGH units may exchange, or may be required to exchange, if approved by the Issuer's board of directors, his or her OCGH units for, 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, with adjustments, as applicable, to account for the disproportionate sharing among certain OCGH unitholders of the historical incentive income of certain of the Issuer's closed-end funds that held their final closing before the Issuer's May 2007 restructuring. (Continued in footnote 3) The adjustments will be made pursuant to the OCGH limited partnership agreement to account for the fact that, as a result of the May 2007 restructuring, the interests of certain OCGH unitholders in historical incentive income are disproportionately larger or smaller than their pro rata interest in the Issuer's business, depending on when the unitholder's interest in the Issuer's business was acquired. Chief Financial Officer and Principal /s/ Richard Ting, Attorney-in-fact 2015-11-18