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FAQs

What exchange does Oaktree trade on, and what is its ticker symbol?

  • Oaktree Capital Group, LLC Class A units trade on the New York Stock Exchange with OAK as its ticker symbol.
  • Oaktree Capital Group, LLC 6.625% Series A Preferred units trade on the New York Stock Exchange with OAK PR A as its ticker symbol.
  • Oaktree Capital Group, LLC 6.550% Series B Preferred units trade on the New York Stock Exchange with OAK PR B as its ticker symbol.

When did Oaktree become a public company?

  • Oaktree Capital Group, LLC listed its Class A units on the NYSE on April 12, 2012.

What are the CUSIP numbers for Oaktree's Class A units, Series A Preferred units and Series B Preferred units?

  • The CUSIP number for the Class A units is 674001 201.
  • The CUSIP number for the Series A Preferred units is 674001 300.
  • The CUSIP number for the Series B Preferred units is 674001 409.

How may I obtain information about Oaktree's latest financials?

  • Please visit the Financials page of this website for our most recent quarterly results and periodic reports. You can also access SEC filings relating to Oaktree Capital Group, LLC on our SEC Filings page or via the SEC's website at www.sec.gov.

Who is Oaktree's independent auditor?

  • Ernst & Young is the independent public accounting firm responsible for auditing Oaktree Capital Group, LLC.

What is Oaktree's fiscal year-end?

  • Our fiscal year-end occurs on December 31.

Who is the transfer agent for Oaktree's Class A units, Series A Preferred units and Series B Preferred units?

  • Our transfer agent, American Stock Transfer & Trust Company, can help you with a variety of shareholder-related services such as change of address, account status and other administrative services. You can write or call our transfer agent at:

    American Stock Transfer & Trust Company
    6201 15th Avenue
    Brooklyn, NY 11219
    +1 (800) 937-5449
    www.amstock.com

What is the distribution policy for Oaktree’s Series A Preferred units?

  • When, as, and if declared by our board of directors out of funds legally available, distributions on the Series A Preferred units will be payable quarterly on March 15, June 15, September 15 and December 15 of each year, beginning September 15, 2018, at a rate per annum equal to 6.625%. Distributions on the Series A Preferred units are non-cumulative. Accordingly, if our board of directors does not declare a distribution before the scheduled record date for any distribution period, we will not make a distribution in that distribution period, whether or not distributions on the Series A Preferred units are declared or paid for any future distribution period. If we liquidate, dissolve or wind up, then the holders of the Series A Preferred units outstanding at such time will be entitled to receive a $25 liquidation preference per unit, subject to conditions disclosed in the prospectus supplement for the Series A Preferred units.

What is the distribution policy for Oaktree’s Series B Preferred units?

  • When, as, and if declared by our board of directors out of funds legally available, distributions on the Series B Preferred units will be payable quarterly on March 15, June 15, September 15 and December 15 of each year, beginning December 15, 2018, at a rate per annum equal to 6.550%. Distributions on the Series B Preferred units are non-cumulative. Accordingly, if our board of directors does not declare a distribution before the scheduled record date for any distribution period, we will not make a distribution in that distribution period, whether or not distributions on the Series B Preferred units are declared or paid for any future distribution period. If we liquidate, dissolve or wind up, then the holders of the Series B Preferred units outstanding at such time will be entitled to receive a $25 liquidation preference per unit, subject to conditions disclosed in the prospectus supplement for the Series B Preferred units.

Does Oaktree have a dividend reinvestment program or a direct stock purchase plan?

  • We do not offer a dividend reinvestment program or a direct stock purchase plan.

Why do unitholders receive a Schedule K-1 instead of a Form 1099?

  • Oaktree Capital Group, LLC is a publicly traded partnership, not a corporation. Partnerships such as Oaktree Capital Group, LLC are required to issue a Schedule K-1 to each unitholder to report its allocable share of income, gain, loss, deduction and tax credit. Unitholders are required to report on their income tax return only their share of Oaktree Capital Group, LLC's income and related items as reflected on the Schedule K-1. A Form 1099 is not used to report unitholders' pro rata share of Oaktree Capital Group, LLC's taxable income on income tax returns.

Will every investor receive a Schedule K-1 regardless of the amount of time units have been held?

  • Yes, Oaktree Capital Group, LLC issues K-1s on an annual basis to report taxable income allocable to each investor who held Class A units, Series A Preferred units or Series B Preferred units at any time during the tax year.

When are Oaktree Capital Group, LLC Schedule K-1s available?

  • Electronic copies of the final Schedule K-1 packages are available on or before March 31 following the tax year end. Access to the TaxWeb secure K-1 website and the Oaktree Capital Group, LLC K-1 Call Center go live immediately upon release of the final Schedule K-1s. Hard copies of the final Schedule K-1 packages will also be mailed following the release at the end of March.

How do I obtain a copy of my Schedule K-1?

  • Unitholders can access electronic copies of K-1 forms through the Tax Information page of this website.

Which research analysts follow Oaktree?

  • Please visit our Analyst Coverage page for a list of analysts currently covering Oaktree.

How can I receive email alerts from Oaktree?

  • For more information on how to sign up for email alerts regarding events, documents and press releases, please visit the Email Alerts page.

How can I obtain additional information from Oaktree?