0000950142-14-000605.txt : 20140307 0000950142-14-000605.hdr.sgml : 20140307 20140307190821 ACCESSION NUMBER: 0000950142-14-000605 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140221 FILED AS OF DATE: 20140307 DATE AS OF CHANGE: 20140307 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PULSE ELECTRONICS CORP CENTRAL INDEX KEY: 0000096763 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 231292472 STATE OF INCORPORATION: PA FISCAL YEAR END: 1228 BUSINESS ADDRESS: STREET 1: 12220 WORLD TRADE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92128 BUSINESS PHONE: 8586748100 MAIL ADDRESS: STREET 1: 12220 WORLD TRADE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92128 FORMER COMPANY: FORMER CONFORMED NAME: TECHNITROL, INC. DATE OF NAME CHANGE: 20100324 FORMER COMPANY: FORMER CONFORMED NAME: TECHNITROL INC DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oaktree Capital Group, LLC CENTRAL INDEX KEY: 0001403528 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-05375 FILM NUMBER: 14678842 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: OAKTREE HOLDINGS, LLC CENTRAL INDEX KEY: 0001407181 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-05375 FILM NUMBER: 14678843 BUSINESS ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE, 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 830-6300 MAIL ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE, 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oaktree Capital I, L.P. CENTRAL INDEX KEY: 0001403530 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-05375 FILM NUMBER: 14678845 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: OAKTREE FUND GP I, L.P. CENTRAL INDEX KEY: 0001402746 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-05375 FILM NUMBER: 14678846 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: Oaktree Fund GP, LLC CENTRAL INDEX KEY: 0001499005 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-05375 FILM NUMBER: 14678847 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: OCM PE Holdings, L.P. CENTRAL INDEX KEY: 0001562480 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-05375 FILM NUMBER: 14678848 BUSINESS ADDRESS: STREET 1: C/O OAKTREE CAPITAL MANAGEMENT, L.P. STREET 2: 333 SOUTH GRAND AVENUE, 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 830-6213 MAIL ADDRESS: STREET 1: C/O OAKTREE CAPITAL MANAGEMENT, L.P. STREET 2: 333 SOUTH GRAND AVENUE, 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 FORMER NAME: FORMER CONFORMED NAME: OCM PE Holdings, Inc. DATE OF NAME CHANGE: 20121116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oaktree Capital Group Holdings GP, LLC CENTRAL INDEX KEY: 0001403525 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-05375 FILM NUMBER: 14678841 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: OCM HOLDINGS I, LLC CENTRAL INDEX KEY: 0001407178 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-05375 FILM NUMBER: 14678844 BUSINESS ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE, 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 830-6300 MAIL ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE, 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 FORMER NAME: FORMER CONFORMED NAME: OAKTREE HOLDINGS I, LLC DATE OF NAME CHANGE: 20070718 4/A 1 es1400413_4a1-pulse.xml OWNERSHIP DOCUMENT X0306 4/A 2014-02-21 2014-02-25 0 0000096763 PULSE ELECTRONICS CORP PULS 0001562480 OCM PE Holdings, L.P. 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 1 0 1 0 0001499005 Oaktree Fund GP, LLC 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 1 0 1 0 0001402746 OAKTREE FUND GP I, L.P. 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 1 0 1 0 0001403530 Oaktree Capital I, L.P. 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 1 0 1 0 0001407178 OCM HOLDINGS I, LLC 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES CA 90071 1 0 1 0 0001407181 OAKTREE HOLDINGS, LLC 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES CA 90071 1 0 1 0 0001403528 Oaktree Capital Group, LLC 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 1 0 1 0 0001403525 Oaktree Capital Group Holdings GP, LLC 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 1 0 1 0 Common Stock 2014-02-21 4 C 0 8154927 0 A 11999585 D This amended Form 4 is being filed to correct the reported number of shares from 11,999,586 to 11,999,585 and to note that 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. Kenneth Liang, Kaj Vazales and Michael Alan Kreger were designated to serve on the Issuer's board of directors on February 21, 2014. This Form 4 is being filed with respect to an aggregate of 11,999,585 shares of the Issuer's common stock, par value $0.125 per share (the "Common Stock") directly owned by OCM PE Holdings, L.P. ("PE Holdings"). PE Holdings received 8,154,927 shares of Common Stock pursuant to the February 21, 2014 amendment to the Issuer's Articles of Incorporation which resulted in 1000 shares of the Issuer's Class A Preferred Stock becoming immediately convertible and automatically converted into the Common Stock. This Form 4 is being filed by (i) PE Holdings. This Form 4 is also being filed by (ii) Oaktree Fund GP, LLC, a Delaware limited liability company ("PE GP"), solely in its capacity as the general partner of PE Holdings; (iii) Oaktree Fund GP I, L.P., a Delaware limited partnership ("GP I"), solely in its capacity as the managing member of PE GP; and (iv) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), solely in its capacity as the general partner of GP I. This Form 4 is also being filed by (v) OCM Holdings I, LLC, a Delaware limited liability company ("Holdings I"), solely in its capacity as the general partner of Capital I; (vi) Oaktree Holdings, LLC, a Delaware limited liability company ("Holdings LLC"), solely in its capacity as the managing member of Holdings I; and (vii) Oaktree Capital Group, LLC, a Delaware limited liability company ("OCG"), solely in its capacity as the managing member of Holdings LLC. This Form 4 is also being filed by (viii) Oaktree Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH GP" and together with PE Holdings, PE GP, GP I, Capital I, Holdings I, Holdings and OCG, collectively, the "Reporting Persons", and each individually, a "Reporting Person"), solely in its capacity as the duly elected manager of Oaktree Capital Group, LLC. Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Each Reporting Person, other than PE Holdings with respect to its direct holdings, disclaims beneficial ownership of the securities reported herein except to the extent of their 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 securities covered by this Form 4. The members of OCGH GP are Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, Larry W. Keele, Stephen A. Kaplan, John B. Frank, David M. Kirchheimer and Kevin L. Clayton (each, an "OCGH GP Member" and collectively, the "OCGH GP Members"), who, by virtue of their membership interests in OCGH GP, may be deemed to share voting and dispositive power with respect to the shares of common stock held by PE Holdings. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the securities reported herein and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4. Exhibit 99.1 attached hereto See signatures included in Exhibit 99.1 2014-03-07 EX-99.1 2 es1400413_ex9901.htm THIS STATEMENT ON FORM 4 IS FILED JOINTLY BY THE REPORTING PERSONS LISTED BELOW. THE PRINCIPAL BUSINESS ADDRESS OF EACH OF THESE REPORTING PERSONS IS 333 SOUTH GRAND AVENUE, 28 TH FL., LOS ANGELES, CA 90071. Unassociated Document
EXHIBIT 99.1

This Statement on Form 4 is filed jointly by the Reporting Persons listed below.  The principal business address of each of these Reporting Persons is 333 South Grand Avenue, 28th Fl., Los Angeles, CA 90071. 

Name of Designated Filer: OCM PE HOLDINGS, L.P.

Date of Event Requiring Statement: February 21, 2014
 
Date of Filing of Original Form 4: February 25, 2014

Date of Filing of Amended Form 4: March 7, 2014

Issuer Name and Ticker or Trading Symbol:   Pulse Electronics Corporation [ PULS ]
 
 
OCM PE HOLDINGS, L.P.
  
       
  By: Oaktree Fund GP, LLC  
  Its: General Partner  
       
  By: Oaktree Fund GP I, L.P.  
  Its: Managing Member  
       
 
By:
/s/ Richard Ting  
  Name: Richard Ting  
  Title: Authorized Signatory  
       
  By: /s/ Jordan Mikes  
  Name: Jordan Mikes  
  Title: Authorized Signatory  

 
 
OAKTREE FUND GP, LLC
  
       
  By: Oaktree Fund GP I, L.P.  
  Its: Managing Member  
       
 
By:
/s/ Richard Ting  
  Name: Richard Ting  
  Title: Authorized Signatory  
       
  By: /s/ Jordan Mikes  
  Name: Jordan Mikes  
  Title: Authorized Signatory  

 
 
OAKTREE FUND GP I, L.P.
  
       
  By: /s/ Richard Ting  
  Name: Richard Ting  
  Title: Authorized Signatory  
       
  By: /s/ Jordan Mikes  
  Name: Jordan Mikes  
  Title: Authorized Signatory  

 
 
 
 
 

 
 
OAKTREE CAPITAL I, L.P.
  
       
  By: OCM Holdings I, LLC  
  Its: General Partner  
       
 
By:
/s/ Richard Ting  
  Name: Richard Ting  
  Title: Managing Director and Associate General Counsel  
       
  By: /s/ Jordan Mikes  
  Name: Jordan Mikes  
  Title: Assistant Vice President  

 
 
OCM HOLDINGS I, LLC
  
       
  By: /s/ Richard Ting   
  Name: Richard Ting  
  Title: Managing Director and Associate General Counsel  
       
  By: /s/ Jordan Mikes  
  Name: Jordan Mikes  
  Title: Assistant Vice President  

 
 
OAKTREE HOLDINGS, LLC
  
       
  By: Oaktree Capital Group, LLC  
  Its: Managing Member  
       
 
By:
/s/ Richard Ting  
  Name: Richard Ting  
  Title: Managing Director, Associate General Counsel and
Assistant Secretary		  
       
  By: /s/ Jordan Mikes  
  Name: Jordan Mikes  
  Title: Assistant Vice President  
 
 
 
OAKTREE CAPITAL GROUP, LLC
  
       
  By: /s/ Richard Ting   
  Name: Richard Ting  
  Title: Managing Director, Associate General Counsel and Assistant Secretary  
       
  By: /s/ Jordan Mikes  
  Name: Jordan Mikes  
  Title: Assistant Vice President  


 
 
 
 
 
OAKTREE CAPITAL GROUP HOLDINGS GP, LLC
  
       
  By: /s/ Richard Ting  
  Name: Richard Ting  
  Title: Managing Director and Associate General Counsel  
       
  By: /s/ Jordan Mikes  
  Name: Jordan Mikes  
  Title: Assistant Vice President