SEC FORM
3
SEC Form 3
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Estimated average burden |
| hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
| C/O OAKTREE CAPITAL GROUP, LLC |
| 333 SOUTH GRAND AVENUE, 28TH FLOOR |
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year)
02/16/2021
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3. Issuer Name and Ticker or Trading Symbol
Oaktree Capital Group, LLC
[ OAK-PA, OA ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
| X |
Director |
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10% Owner |
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Officer (give title below) |
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Other (specify below) |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
|
Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of Responses: |
| Remarks: |
|
| No securities are beneficially owned. |
|
/s/ Richard Ting, Attorney-in-fact |
02/23/2021 |
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** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
5
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
Exhibit 24
POWER OF ATTORNEY
The undersigned hereby appoints Todd Molz, Richard Ting, Martin Boskovich
and Jeffrey Joseph, and any of them acting alone, the attorneys-in-fact
(collectively, the "Attorneys- in-Fact" and individually an "Attorney-in-Fact")
of the undersigned for the purpose of executing in the undersigned's name, in
the undersigned's individual capacity or in any other capacity, including,
without limitation, as applicable, in the undersigned's capacity as a director,
officer, principal, member or partner of or in other capacities with Oaktree
Capital Group, LLC, a Delaware limited liability company ("OCG"), Oaktree
Capital Group Holdings GP, LLC, a Delaware limited liability company ("OCGH
GP"), or Oaktree Capital Group Holdings, L.P. ("OCGH"), a Delaware limited
partnership, to comply with the U.S. Securities Exchange Act of 1934, as amended
(the "Exchange Act"), and the U.S. Securities Act of 1933, as amended (the
"Securities Act"), and any requirements of the U.S. Securities and Exchange
Commission (the "SEC") in respect thereof, (i) all documents, certificates,
instruments, notices, statements, agreements and other filings relating to the
ownership, beneficial or otherwise, of securities of OCG, OCGH GP, OCGH or any
of their subsidiaries or affiliates ("documents") that the undersigned may be
required to file pursuant to Section 13(d), Section 13(f) or Section 16(a) of
the Exchange Act, including, without limitation, any report or statement on
Schedule 13D, Schedule 13G, Form 13F, Form 3, Form 4 or Form 5, or any amendment
thereto; (ii) any report or notice required under Rule 144 of the Securities
Act, including, without limitation, Form 144, or any amendment thereto; and
(iii) any and all other documents that may be necessary or appropriate in
connection with or in furtherance of any of the foregoing, including, without
limitation, Form ID, or any amendments thereto, and any other documents
necessary or appropriate to obtain codes and passwords enabling the undersigned
to make electronic filings with the SEC of reports required pursuant to Section
13(d) or Section 16(a) of the Exchange Act or any rule or regulation of the SEC,
such power and authority to extend to any form or forms adopted by the SEC in
lieu of or in addition to any of the foregoing; in each case, as determined by
such Attorney-in-Fact to be necessary or appropriate. Any such determination
shall be conclusively evidenced by such Attorney-in-Fact's execution, delivery,
furnishing and/or filing of the applicable document.
All past acts of the Attorneys-in-Fact in furtherance of the foregoing are
hereby ratified and confirmed.
This power of attorney shall remain in effect from the date hereof until the
date revoked by the undersigned in a signed writing delivered to the Attorneys-
in-Fact, and this power of attorney does not revoke or replace any other power
of attorney that the undersigned has previously granted.
IN WITNESS WHEREOF, I have hereunto set my hand this February 16, 2021.
/s/ Depelsha Thomas McGruder
-------------------------------
Depelsha Thomas McGruder
