IPO registrations (S-1, F-1) · Registrants
Brookfield Oaktree Holdings, LLC
- SEC CIK
- 1403528 · filings on EDGAR ↗
- Name on the registration
- Oaktree Capital Group, LLC
- Former names
- Oaktree Capital Group, LLC (2007–2024)
- Registration
- Form S-1, first filed 2011-06-17, last 2012-04-06; 1 initial registration, 10 amendments
- Outcome
- Final prospectus filed 2012-04-12; declared effective 2012-04-11
- Industry (SIC)
- Investment Advice 6282
- Incorporated in
- DE
- Business address
- 333 SOUTH GRAND AVENUE, 28TH FLOOR, Los Angeles, CA 90071
- Ticker
- OAK-PA, OAK-PB (NYSE, NYSE)
- EDGAR entity type
- operating
- Insiders and CEO pay
- Brookfield Oaktree Holdings, LLC on the corporate pages
Offering terms
- Proposed price range
- $43.00–$46.00 per share (S-1/A filed 2012-04-06)
- Final price
- $43.00 per share, within the range (424B4 filed 2012-04-12, an initial public offering)
- Shares sold
- 8,843,023 (7,888,864 by the company, 954,159 by selling holders)
- Gross proceeds
- $380,249,989 before underwriting discounts and any over-allotment option
- Listing
- NYSE under the symbol OAK
- Lead underwriters
- Goldman Sachs (2,431,831 shares); Morgan Stanley (1,989,680 shares)
- Syndicate
- BofA Securities; Credit Suisse (884,302); Deutsche Bank (884,302); J.P. Morgan (884,302); BNY Mellon Capital Markets, LLC (160,782); KBW (160,782); Piper Sandler; Truist Securities (160,782); Wells Fargo (160,782); Sanford C. Bernstein (80,394); Merrill Lynch (884,302); Sandler O’Neill & Partners, L.P (160,782)
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: BROOKFIELD OAKTREE HOLDINGS, LLC Fuzzy (name and state)
- SEC filer: Brookfield Oaktree Holdings, LLC EXACT (CIK (EXACT))
- Person page: B James Ford Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer))
- Person page: Steven J Gilbert Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
- Person page: Todd E Molz Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer))
Filings 13
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2011-06-17 | S-1 | S-1 (registration) | Oaktree Capital Group, LLC | 0001193125-11-167852 ↗ |
| 2011-08-01 | S-1/A | S-1/A (amendment) | Oaktree Capital Group, LLC | 0001193125-11-203631 ↗ |
| 2011-09-02 | S-1/A | S-1/A (amendment) | Oaktree Capital Group, LLC | 0001193125-11-240165 ↗ |
| 2011-10-03 | S-1/A | S-1/A (amendment) | Oaktree Capital Group, LLC | 0001193125-11-261588 ↗ |
| 2011-10-20 | S-1/A | S-1/A (amendment) | Oaktree Capital Group, LLC | 0001193125-11-276126 ↗ |
| 2011-11-21 | S-1/A | S-1/A (amendment) | Oaktree Capital Group, LLC | 0001193125-11-317699 ↗ |
| 2012-02-03 | S-1/A | S-1/A (amendment) | Oaktree Capital Group, LLC | 0001193125-12-037387 ↗ |
| 2012-02-24 | S-1/A | S-1/A (amendment) | Oaktree Capital Group, LLC | 0001193125-12-076545 ↗ |
| 2012-03-14 | S-1/A | S-1/A (amendment) | Oaktree Capital Group, LLC | 0001193125-12-115227 ↗ |
| 2012-03-30 | S-1/A | S-1/A (amendment) | Oaktree Capital Group, LLC | 0001193125-12-141333 ↗ |
| 2012-04-06 | S-1/A | S-1/A (amendment) | Oaktree Capital Group, LLC | 0001193125-12-153543 ↗ |
| 2012-04-11 | EFFECT | EFFECT (declared effective) | Oaktree Capital Group, LLC | 9999999995-12-000999 ↗ |
| 2012-04-12 | 424B4 | 424B4 (final prospectus) | Oaktree Capital Group, LLC | 0001193125-12-160827 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2012-04-06 | S-1/A | registration statement | $43.00–$46.00 | 11,250,000 | - | NYSE OAK | 12 | primary document; range, shares headline, cover names 12 | document ↗ | |
| 2012-04-12 | 424B4 | final prospectus | $43.00 | 8,843,023 | $380,249,989 | NYSE OAK | 14 | primary document; price sentence, shares headline, proceeds table, underwriting table 12, cover names 12 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| CLAYTON KEVIN L | Director,Officer | Principal | 5 | 2012–2014 | |
| DENHAM ROBERT E | Director | 9 | 2012–2019 | ||
| Edwards John B | Officer | Managing Director & Controller | 2 | 2012 | |
| Ford B James | Officer | Managing Director | 9 | 2012–2015 | person page Fuzzy |
| Frank John | Director,Officer | Managing Principal; Vice Chairman | 18 | 2012–2019 | |
| KAPLAN STEPHEN A | Director,Officer | Principal | 10 | 2012–2016 | |
| KARSH BRUCE A | Director,Officer | President and Principal; See Remarks | 16 | 2012–2019 | |
| Keele Larry W | Director; Director,Officer | Principal | 16 | 2012–2019 | |
| KIRCHHEIMER DAVID M | Director,Officer; Director,TenPercentOwner | CFO, CAO and Principal; See Remarks | 14 | 2012–2017 | |
| KRAMER CALEB S | Officer | Managing Director | 8 | 2012–2017 | |
| MARKS HOWARD S | Director,Officer | Chairman and Principal; Co-Chairman | 17 | 2012–2019 | |
| MASSON DAVID RICHARD | Director | 17 | 2012–2019 | ||
| Molz Todd E | Officer | General Counsel,MD & Secretary; See Remarks | 27 | 2012–2019 | person page Fuzzy |
| Oaktree Capital Group Holdings GP, LLC | Director | 1 | 2012 | ||
| PIERSON WAYNE G | Director | 7 | 2012–2019 | ||
| STONE SHELDON M | Director,Officer | Principal | 16 | 2012–2019 | |
| WINTROB JAY S | Director; Director,Officer | Chief Executive Officer | 18 | 2012–2019 | |
| WHITTINGTON MARNA C | Director | 11 | 2012–2019 | ||
| GRAVES SCOTT L | Officer | Managing Director | 5 | 2013–2015 | |
| Gentile Susan | Officer | See Remarks | 8 | 2014–2018 | |
| GILBERT STEVEN J | Director | 10 | 2016–2026 | person page Fuzzy | |
| Levin Daniel D | Officer | See Remarks | 5 | 2017–2019 | |
| Beber Justin B. | Director | 1 | 2019 | ||
| Flatt Bruce | Director | 1 | 2019 | ||
| McGruder Depelsha Thomas | Director | 1 | 2021 | ||
| Perry Mansco III | Director | 3 | 2023–2024 | ||
| Goodman Nicholas Howard | Officer | CHIEF EXECUTIVE OFFICER | 1 | 2024 | |
| Dusad Kunal Krishna | Director | 1 | 2026 | ||
| Dyck Karly Evelyn | Director,Officer | Chief Financial Officer | 1 | 2026 | |
| Fox Brett M. | Director | 1 | 2026 | ||
| Herrington Mathieu Tighe | Director,Officer | Chief Financial Officer | 1 | 2026 | |
| Novakovic Aleksandar | Director | 1 | 2026 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Business registration | BROOKFIELD OAKTREE HOLDINGS, LLC | CA | State business registries | name and state |
| SEC filer | Brookfield Oaktree Holdings, LLC | SEC filers (EDGAR) | CIK (EXACT) | |
| Person page | B James Ford | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer) | |
| Person page | Steven J Gilbert | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) | |
| Person page | Todd E Molz | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
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In other datasets, the same topic (Finance) in CA:
- Lobbying client: A16Z CAPITAL MANAGEMENT FKA ANDREESSEN HOROWITZ (Federal lobbying (LDA))
Interests: Investment Advice · Finance