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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Oaktree Capital Group Holdings GP, LLC C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
X | |||
Oaktree Capital Group Holdings, L.P. C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
X | |||
Oaktree Capital Group, LLC C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
X | |||
OAKTREE HOLDINGS, LLC C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
X | |||
OCM HOLDINGS I, LLC C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
X | |||
Oaktree Capital I, L.P. C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
X | |||
OAKTREE FUND GP I, L.P. C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
X | |||
OCM Power Opportunities Fund II GP, L.P. C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
X | |||
OCM Power Opportunities Fund II GP (Cayman) Ltd. C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
X | |||
Oaktree Holdings, Inc. C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
X |
OAKTREE CAPITAL GROUP HOLDINGS GP, LLC, By: /s/ Todd Molz Name: Todd Molz Title: Managing Director, General Counsel, By: /s/ Martin Boskovich Name: Martin Boskovich Title: Vice President, Legal | 06/17/2009 | |
**Signature of Reporting Person | Date | |
OAKTREE CAPITAL GROUP HOLDINGS, L.P., By: Oaktree Capital Group Holdings GP, LLC Its: General Partner, By: /s/ Todd Molz Name: Todd Molz Title: Managing Director, General Counsel, By: /s/ Martin Boskovich Name: Martin Boskovich Title: V.P., Legal | 06/17/2009 | |
**Signature of Reporting Person | Date | |
OAKTREE CAPITAL GROUP, LLC, By: /s/ Todd Molz Name: Todd Molz Title: Senior Vice President and Secretary, By: /s/ Martin Boskovich Name: Martin Boskovich Title: Vice President and Assistant Secretary | 06/17/2009 | |
**Signature of Reporting Person | Date | |
OAKTREE HOLDINGS, LLC, By: Oaktree Capital Group, LLC Its: Managing Member, By: /s/ Todd Molz Name: Todd Molz Title: Senior Vice President and Secretary, By: /s/ Martin Boskovich Name: Martin Boskovich Title: Vice President and Assistant Secretary | 06/17/2009 | |
**Signature of Reporting Person | Date | |
OCM HOLDINGS I, LLC, By: /s/ Todd Molz Name: Todd Molz Title: Vice President and Secretary, By: /s/ Martin Boskovich Name: Martin Boskovich Title: Vice President and Assistant Secretary | 06/17/2009 | |
**Signature of Reporting Person | Date | |
OAKTREE CAPITAL I, L.P., By: OCM Holdings I, LLC Its: General Partner, By: /s/ Todd Molz Name: Todd Molz Title: Vice President and Secretary, By: /s/ Martin Boskovich Name: Martin Boskovich Title: Vice President and Assistant Secretary | 06/17/2009 | |
**Signature of Reporting Person | Date | |
OAKTREE FUND GP I, L.P., By: /s/ Todd Molz Name: Todd Molz Title: Authorized Signatory, By: /s/ Martin Boskovich Name: Martin Boskovich Title: Authorized Signatory | 06/17/2009 | |
**Signature of Reporting Person | Date | |
OCM POWER OPPORTUNITIES FUND II GP, L.P., By: Oaktree Fund GP I, L.P. Its: General Partner By: /s/ Todd Molz Name: Todd Molz Title: Authorized Signatory, By: /s/ Martin Boskovich Name: Martin Boskovich Title: Authorized Signatory | 06/17/2009 | |
**Signature of Reporting Person | Date | |
OCM POWER OPPORTUNITIES FUND II GP (CAYMAN) LTD., By: OCM Power Opportunities Fund II GP, L.P. Its: Director, By: Oaktree Fund GP I, L.P. Its: General Partner, By: /s/ Todd Molz Title: Auth. Signatory, By: /s/ Martin Boskovich Title: Auth. Signatory | 06/17/2009 | |
**Signature of Reporting Person | Date | |
OAKTREE HOLDINGS, INC., By: /s/ Todd Molz Name: Todd Molz Title: Vice President and Secretary, By: /s/ Martin Boskovich Name: Martin Boskovich Title: Vice President and Assistant Secretary | 06/17/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | OCM/GFI Power Opportunities Fund II, L.P. ("Main Fund") and OCM/GFI Power Opportunities Fund II (Cayman), L.P. ("Cayman Fund" and together with Main Fund, "OCM/GFI Funds") are together the managing member of GT Solar Holdings, LLC. Oaktree Capital Management, L.P. ("OCM") is one of two investment managers of each of the OCM/GFI Funds. Voting and investment power with respect to securities owned by the OCM/GFI Funds is exercised by a four-person committee which includes two representatives of OCM (Messrs. Stephen A. Kaplan and Michael P. Harmon). |
(2) | OCM Power Opportunities Fund II GP, L.P. is the general partner of the Main Fund and the director of OCM Power Opportunities Fund II GP (Cayman) Ltd. OCM Power Opportunities Fund II GP (Cayman) Ltd. is the general partner of the Cayman Fund. Oaktree Fund GP I, L.P. is the general partner of OCM Power Opportunities Fund II GP, L.P. Oaktree Capital I, L.P. is the general partner of Oaktree Fund GP I, L.P. OCM Holdings I, LLC is the general partner of Oaktree Capital I, L.P. Oaktree Holdings, LLC is the managing member of OCM Holdings I, LLC. Oaktree Holdings, Inc. is the general partner of OCM. |
(3) | Oaktree Capital Group, LLC is the managing member of Oaktree Holdings, LLC and the sole shareholder of Oaktree Holdings, Inc. Oaktree Capital Group Holdings, L.P. controls Oaktree Capital Group, LLC. Oaktree Capital Group Holdings GP, LLC is the general partner of Oaktree Capital Group Holdings, L.P. Oaktree Capital Group Holdings GP, LLC is managed by Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, D. Richard Masson, Larry W. Keele, Stephen A. Kaplan, John B. Frank, David Kirchheimer and Kevin L. Clayton. |
(4) | By virtue of the ownership structure described above, each of the OCM/GFI Funds, Oaktree Capital Group Holdings GP, LLC, Oaktree Capital Group Holdings, L.P., Oaktree Capital Group, LLC, Oaktree Holdings, LLC, OCM Holdings I, LLC, Oaktree Capital I, L.P., Oaktree Fund GP I, L.P., OCM Power Opportunities Fund II GP (Cayman) Ltd., OCM Power Opportunities Fund II GP, L.P., Oaktree Holdings, Inc., OCM, Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, D. Richard Masson, Larry W. Keele, Stephen A. Kaplan, John B. Frank, David Kirchheimer, Kevin L. Clayton and Michael P. Harmon (collectively, the "Oaktree Group") may be deemed to have beneficial ownership of the shares owned by GT Solar Holdings, LLC. The Oaktree Group expressly disclaims beneficial ownership of the shares held by GT Solar Holdings, LLC, except to the extent of their respective pecuniary interests therein. |
Remarks: This Form 4 is being filed in two parts due to the large number of reporting persons. This filing is filed by Oaktree Capital Group Holdings GP, LLC, Oaktree Capital Group Holdings, L.P., Oaktree Capital Group, LLC, Oaktree Holdings, LLC, OCM Holdings I, LLC, Oaktree Capital I, L.P., Oaktree Fund GP I, L.P., OCM Power Opportunities Fund II GP (Cayman) Ltd., OCM Power Opportunities Fund II GP, L.P. and Oaktree Holdings, Inc. An accompanying filing is filed, on the date hereof, by Oaktree Capital Management, L.P. Both filings relate to the same transaction described above. |