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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 | |
Opps Marine Holdings TP, L.P. C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
X | |||
Oaktree Fund GP Ltd C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
X | |||
OAKTREE CAPITAL MANAGEMENT LP 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, LLC C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
X | |||
Oaktree Capital Group Holdings GP, LLC C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
X |
OPPS MARINE HOLDINGS TP, L.P By: Oaktree Fund GP Ltd. Its: GP By: Oaktree Capital Management, L.P. Its: Director By: /s/ Lisa Arakaki Name: Lisa Arakaki Title: Managing Director By: /s/ Jamie Toothman Name: Jamie Toothman Title: Vice President | 06/29/2015 | |
**Signature of Reporting Person | Date | |
OAKTREE FUND GP LTD. By: Oaktree Capital Management, L.P. Its: Director By: /s/ Lisa Arakaki Name: Lisa Arakaki Title: Managing Director By: /s/ Jamie Toothman Name: Jamie Toothman Title: Vice President | 06/29/2015 | |
**Signature of Reporting Person | Date | |
OAKTREE CAPITAL MANAGEMENT, L.P. By: /s/ Lisa Arakaki Name: Lisa Arakaki Title: Managing Director By: /s/ Jamie Toothman Name: Jamie Toothman Title: Vice President | 06/29/2015 | |
**Signature of Reporting Person | Date | |
OAKTREE HOLDINGS, INC. By: /s/ Lisa Arakaki Name: Lisa Arakaki Title: Managing Director By: /s/ Jamie Toothman Name: Jamie Toothman Title: Vice President | 06/29/2015 | |
**Signature of Reporting Person | Date | |
OAKTREE CAPITAL GROUP, LLC By: /s/ Lisa Arakaki Name: Lisa Arakaki Title: Managing Director By: /s/ Jamie Toothman Name: Jamie Toothman Title: Vice President | 06/29/2015 | |
**Signature of Reporting Person | Date | |
OAKTREE CAPITAL GROUP HOLDINGS GP, LLC By: /s/ Lisa Arakaki Name: Lisa Arakaki Title: Managing Director By: /s/ Jamie Toothman Name: Jamie Toothman Title: Vice President | 06/29/2015 | |
**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) | Opps Marine Holdings TP, L.P. ("Opps Marine") directly owns the common stock (the "Common Stock") of the Issuer. This Form 4 is also being filed by: (i) Oaktree Fund GP Ltd. ("Fund GP") in its capacity as the general partner of Opps Marine; (ii) Oaktree Capital Management, L.P. ("OCM LP") in its capacity as the sole director of Fund GP; (iii) Oaktree Holdings, Inc. ("OH") in its capacity as the general partner of OCM LP; (iv) Oaktree Capital Group, LLC ("OCG") in its capacity as the sole shareholder of OH; (v) Oaktree Capital Group Holdings GP, LLC ("OCGH GP") in its capacity as the duly appointed manager of OCG (each of Fund GP, OCM LP, OH, OCG and OCGH GP, a "Reporting Person" and collectively, "Reporting Persons"). |
(2) | Each Reporting Person disclaims beneficial ownership of all Common Stock reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any Common Stock covered by this Form 4. |
(3) | OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, Larry W. Keele, Stephen A. Kaplan, John B. Frank, David Kirchheimer, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock held directly by Opps Marine. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock held directly by OCM Marine, except to the extent of his respective pecuniary interests therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any Common Stock covered by this Form 4. |