Brookfield Oaktree Holdings, LLC — SEC Form 4 filings
SEC reporting owner CIK 1403528. 8 Form 4 filings on record with FilingPulse; latest filed 2024-11-13.
Transaction summary — filings shown
Covers all 8 filings on record, filed 2024-03-20 to 2024-11-13. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): none reported.
- Open-market sales (code S, non-derivative): 4 legs across 4 filings — 5,719,631 shares, $65,838,849 total (shares × price as filed).
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 7.
- Largest priced transaction: sale of 4,312,500 shares @ $11.50 ($49,593,750) in Runway Growth Finance Corp., filed 2024-05-16.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| Runway Growth Finance Corp. (RWAY) | Director, 10% owner | 3 | — | 3 legs · 5,712,500 sh · $65,683,750 | — |
| CBL & ASSOCIATES PROPERTIES INC (CBL) | 10% owner | 1 | — | 1 leg · 7,131 sh · $155,099 | — |
| BROOKFIELD REAL ESTATE INCOME TRUST INC. | 10% owner | 1 | — | — | 4 |
| BATTALION OIL CORP (BATL) | Director, 10% owner | 3 | — | — | 3 |
Form 4 filings — Brookfield Oaktree Holdings, LLC
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2024-11-13 | 4 | BROOKFIELD REAL ESTATE INCOME TRUST INC. jointly with BROOKFIELD Corp /ON/, Brookfield Holdings Canada Inc., Brookfield Corporate Treasury Ltd., Oaktree Capital Group Holdings GP, LLC, OCG NTR Holdings, LLC, BUSI II GP-C LLC, BUSI II-C L.P., BPG Manager Holdings GP ULC, BPG Manager Holdings L.P. | Other (J): 25,123,346.21 · Other (J): 2,173,519.74 · Other (J): 643,494 · Other (J): 660,286 | EDGAR |
| 2024-06-12 | 4 | Runway Growth Finance Corp. (RWAY) jointly with OCM Growth Holdings LLC, Oaktree Capital Group Holdings GP, LLC, BROOKFIELD Corp /ON/, BAM Partners Trust | Sale (S): 400,000 @ $11.90 | EDGAR |
| 2024-05-16 | 4/A | BATTALION OIL CORP (BATL) jointly with Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, Oaktree Capital Group Holdings GP, LLC, Oaktree Capital I, L.P., BAM Partners Trust, BROOKFIELD Corp /ON/, Oaktree Fund GP, LLC, OCM HLCN Holdings, L.P., OAKTREE FUND GP I, L.P. | Grant/award (A): 6,376 (derivative) | EDGAR |
| 2024-05-16 | 4 | Runway Growth Finance Corp. (RWAY) jointly with OCM Growth Holdings LLC, Oaktree Capital Group Holdings GP, LLC, BROOKFIELD Corp /ON/, BAM Partners Trust | Sale (S): 4,312,500 @ $11.50 | EDGAR |
| 2024-05-15 | 4 | BATTALION OIL CORP (BATL) jointly with Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, Oaktree Capital Group Holdings GP, LLC, Oaktree Capital I, L.P., OAKTREE FUND GP I, L.P., Oaktree Fund GP, LLC, OCM HLCN Holdings, L.P., BAM Partners Trust | Grant/award (A): 6,376 (derivative) | EDGAR |
| 2024-04-26 | 4 | CBL & ASSOCIATES PROPERTIES INC (CBL) jointly with Oaktree Capital Group Holdings GP, LLC, Oaktree Value Opportunities Fund Holdings, L.P., OCM Xb CBL-E Holdings, LLC, Oaktree Capital Holdings, LLC, BROOKFIELD Corp /ON/, BAM Partners Trust | Sale (S): 7,131 @ $21.75 | EDGAR |
| 2024-03-29 | 4 | BATTALION OIL CORP (BATL) jointly with Brookfield OCM Holdings II, LLC, Brookfield OCM Holdings, LLC, Oaktree Capital Group Holdings GP, LLC, Oaktree Capital I, L.P., OAKTREE FUND GP I, L.P., Oaktree Fund GP, LLC, OCM HLCN Holdings, L.P., BAM Partners Trust, BROOKFIELD Corp /ON/ | Grant/award (A): 6,376 (derivative) | EDGAR |
| 2024-03-20 | 4 | Runway Growth Finance Corp. (RWAY) jointly with OCM Growth Holdings LLC, Oaktree Capital Group Holdings GP, LLC, Oaktree Opportunities Fund Xb Holdings (Delaware), L.P., BROOKFIELD Corp /ON/, BAM Partners Trust | Sale (S): 1,000,000 @ $11.33 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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