Amended Statement of Ownership (sc 13g/a)
2013年2月5日 - 6:19AM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b),
(c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2.
UNDER THE SECURITIES EXCHANGE ACT OF 1934
Oaktree Capital Group, LLC
(Name of Issuer)
Class A units, no par value per share
(Title of Class of Securities)
674001201
(CUSIP Number)
December 31, 2012
(Date of Event Which Requires Filing of this Statement)
|
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
|
¨
Rule 13d-1(b)
ý
Rule 13d-1(c)
¨
Rule 13d-1(d)
CUSIP No. 674001201
Page 2
of
17
Pages
1)
|
NAME OF REPORTING PERSONS
Scoggin Capital Management II LLC
|
2)
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
¨
(b)
ý
|
3)
|
SEC USE ONLY
|
4)
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5)
|
SOLE VOTING POWER
232,022
|
6)
|
SHARED VOTING POWER
0
|
7)
|
SOLE DISPOSITIVE POWER
232,022
|
8)
|
SHARED DISPOSITIVE POWER
0
|
9)
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
232,022
|
10)
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨
|
11)
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.8%
|
12)
|
TYPE OF REPORTING PERSON
PN
|
CUSIP No. 674001201
Page 3
of
17
Pages
1)
|
NAME OF REPORTING PERSONS
Scoggin International Fund, Ltd.
|
2)
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
¨
(b)
ý
|
3)
|
SEC USE ONLY
|
4)
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5)
|
SOLE VOTING POWER
259,863
|
6)
|
SHARED VOTING POWER
0
|
7)
|
SOLE DISPOSITIVE POWER
259,863
|
8)
|
SHARED DISPOSITIVE POWER
0
|
9)
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
259,863
|
10)
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨
|
11)
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.9%
|
12)
|
TYPE OF REPORTING PERSON
CO
|
CUSIP No. 674001201
Page 4
of
17
Pages
1)
|
NAME OF REPORTING PERSONS
Scoggin LLC
|
2)
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
¨
(b)
ý
|
3)
|
SEC USE ONLY
|
4)
|
CITIZENSHIP OR PLACE OF ORGANIZATION
New York
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5)
|
SOLE VOTING POWER
491,885
|
6)
|
SHARED VOTING POWER
0
|
7)
|
SOLE DISPOSITIVE POWER
491,885
|
8)
|
SHARED DISPOSITIVE POWER
0
|
9)
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
491,885
|
10)
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨
|
11)
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
1.6%
|
12)
|
TYPE OF REPORTING PERSON
OO
|
CUSIP No. 674001201
Page 5
of
17
Pages
1)
|
NAME OF REPORTING PERSONS
Scoggin Worldwide Fund, Ltd.
|
2)
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
¨
(b)
ý
|
3)
|
SEC USE ONLY
|
4)
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5)
|
SOLE VOTING POWER
0
|
6)
|
SHARED VOTING POWER
0
|
7)
|
SOLE DISPOSITIVE POWER
0
|
8)
|
SHARED DISPOSITIVE POWER
0
|
9)
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
|
10)
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨
|
11)
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0%
|
12)
|
TYPE OF REPORTING PERSON
CO
|
CUSIP No. 674001201
Page 6
of
17
Pages
1)
|
NAME OF REPORTING PERSONS
Old Bell Associates LLC
|
2)
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
¨
(b)
ý
|
3)
|
SEC USE ONLY
|
4)
|
CITIZENSHIP OR PLACE OF ORGANIZATION
New York
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5)
|
SOLE VOTING POWER
0
|
6)
|
SHARED VOTING POWER
0
|
7)
|
SOLE DISPOSITIVE POWER
0
|
8)
|
SHARED DISPOSITIVE POWER
0
|
9)
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
|
10)
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨
|
11)
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0%
|
12)
|
TYPE OF REPORTING PERSON
OO
|
CUSIP No. 674001201
Page 7
of
17
Pages
1)
|
NAME OF REPORTING PERSONS
A. Dev Chodry
|
2)
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
¨
(b)
ý
|
3)
|
SEC USE ONLY
|
4)
|
CITIZENSHIP OR PLACE OF ORGANIZATION
USA
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5)
|
SOLE VOTING POWER
0
|
6)
|
SHARED VOTING POWER
0
|
7)
|
SOLE DISPOSITIVE POWER
0
|
8)
|
SHARED DISPOSITIVE POWER
0
|
9)
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
|
10)
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨
|
11)
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0%
|
12)
|
TYPE OF REPORTING PERSON
IN
|
CUSIP No. 674001201
Page 8
of
17
Pages
1)
|
NAME OF REPORTING PERSONS
Craig Effron
|
2)
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
¨
(b)
ý
|
3)
|
SEC USE ONLY
|
4)
|
CITIZENSHIP OR PLACE OF ORGANIZATION
USA
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5)
|
SOLE VOTING POWER
0
|
6)
|
SHARED VOTING POWER
491,885
|
7)
|
SOLE DISPOSITIVE POWER
0
|
8)
|
SHARED DISPOSITIVE POWER
491,885
|
9)
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
491,885
|
10)
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨
|
11)
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
1.6%
|
12)
|
TYPE OF REPORTING PERSON
IN
|
CUSIP No. 674001201
Page 9
of
17
Pages
1)
|
NAME OF REPORTING PERSONS
Curtis Schenker
|
2)
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
¨
(b)
ý
|
3)
|
SEC USE ONLY
|
4)
|
CITIZENSHIP OR PLACE OF ORGANIZATION
USA
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5)
|
SOLE VOTING POWER
0
|
6)
|
SHARED VOTING POWER
491,885
|
7)
|
SOLE DISPOSITIVE POWER
0
|
8)
|
SHARED DISPOSITIVE POWER
491,885
|
9)
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
491,885
|
10)
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨
|
11)
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
1.6%
|
12)
|
TYPE OF REPORTING PERSON
IN
|
Item 1(a).
|
Name of Issuer:
|
Oaktree Capital Group, LLC
Item 1(b).
|
Address of Issuer’s Principal Executive Offices:
|
333 South Grand Avenue, 28
th
Floor
Los Angeles, California 90071
Item 2(a).
|
Name of Persons Filing:
|
(i)
|
Scoggin Capital Management II LLC
|
(ii)
|
Scoggin International Fund, Ltd.
|
(iv)
|
Scoggin Worldwide Fund, Ltd.
|
(v)
|
Old Bell Associates LLC
|
(collectively, the “Reporting Persons” and each, a “Reporting Person”)
Item 2(b).
|
Address of Principal Business Office or, if None, Residence:
|
Each of Scoggin Worldwide Fund, Ltd. and Scoggin International Fund, Ltd. has a business address at c/o Mourant Cayman Nominees, Ltd., Third Floor, Harbour Centre, P.O. Box 1348, Grand Cayman KY1-1108, Cayman Islands.
Each of the Reporting Persons, other than Scoggin Worldwide Fund, Ltd. and Scoggin International Fund, Ltd., has a business address at 660 Madison Avenue, New York, New York 10065.
Item 2(c).
|
Citizenship or Place of Organization:
|
(i)
|
Scoggin Capital Management II LLC
Delaware
|
(ii)
|
Scoggin International Fund, Ltd.
Cayman Islands
|
(iii)
|
Scoggin LLC
New York
|
(iv)
|
Scoggin Worldwide Fund, Ltd.
Cayman Islands
|
(v)
|
Old Bell Associates LLC
New York
|
(viii)
|
Curtis Schenker
USA
|
Item 2(d).
|
Title of Class of Securities:
|
Item 3.
|
If this statement is filed pursuant to §§ 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:
|
|
(a)
|
¨
|
Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o);
|
|
(b)
|
¨
|
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
|
|
(c)
|
¨
|
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
|
|
(d)
|
¨
|
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
|
|
(e)
|
¨
|
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
|
|
(f)
|
¨
|
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
|
|
(g)
|
¨
|
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
|
|
(h)
|
¨
|
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
(i)
|
¨
|
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);
|
|
(j)
|
¨
|
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
|
|
(k)
|
¨
|
Group, in accordance with § 240.13d-1(b)(1)(ii)(K).
|
(i) Scoggin Capital Management II LLC
1
|
(a)
|
Amount beneficially owned: 232,022
|
|
(c)
|
Number of shares as to which such person has:
|
|
(i)
|
Sole power to vote or to direct the vote: 232,022
|
|
(ii)
|
Shared power to vote or to direct the vote: 0
|
|
(iii)
|
Sole power to dispose or to direct the disposition of: 232,022
|
|
(iv)
|
Shared power to dispose or to direct the disposition of: 0
|
(ii) Scoggin International Fund, Ltd.
3
|
(a)
|
Amount beneficially owned: 259,863
|
|
(b)
|
Percent of class: 0.9%
|
|
(c)
|
Number of shares as to which such person has:
|
|
(i)
|
Sole power to vote or to direct the vote: 259,863
|
|
(ii)
|
Shared power to vote or to direct the vote: 0
|
|
(iii)
|
Sole power to dispose or to direct the disposition of: 259,863
|
|
(iv)
|
Shared power to dispose or to direct the disposition of: 0
|
____________________________
1
|
The investment manager of Scoggin Capital Management II LLC is Scoggin LLC. Craig Effron and Curtis Schenker are the managing members of Scoggin LLC.
|
2
|
Percentages are based on 30,180,933
of Class A units outstanding (as set forth in the Issuer’s quarterly report on Form 10-Q, as filed with the Securities and Exchange Commission on November 13, 2012).
|
3
|
The investment manager of Scoggin International Fund, Ltd. is Scoggin LLC. Craig Effron and Curtis Schenker are the managing members of Scoggin LLC.
|
|
(a)
|
Amount beneficially owned: 491,885
|
|
(b)
|
Percent of class: 1.6%
|
|
(c)
|
Number of shares as to which such person has:
|
|
(i)
|
Sole power to vote or to direct the vote: 491,885
|
|
(ii)
|
Shared power to vote or to direct the vote: 0
|
|
(iii)
|
Sole power to dispose or to direct the disposition of: 491,885
|
|
(iv)
|
Shared power to dispose or to direct the disposition of: 0
|
(iv) Scoggin Worldwide Fund, Ltd.
5
|
(a)
|
Amount beneficially owned: 0
|
|
(b)
|
Percent of class: 0.0%
|
|
(c)
|
Number of shares as to which such person has:
|
|
(i)
|
Sole power to vote or to direct the vote: 0
|
|
(ii)
|
Shared power to vote or to direct the vote: 0
|
|
(iii)
|
Sole power to dispose or to direct the disposition of: 0
|
|
(iv)
|
Shared power to dispose or to direct the disposition of: 0
|
_______________________________
4
|
Scoggin LLC is the investment manager of Scoggin Capital Management II LLC and Scoggin International Fund, Ltd. Scoggin LLC serves as investment sub-manager for equity and event-driven investing for Scoggin Worldwide Fund, Ltd. Craig Effron and Curtis Schenker are the managing members of Scoggin LLC.
|
5
|
The investment manager of Scoggin Worldwide Fund, Ltd. is Old Bellows Partners LP. The general partner of Old Bellows Partners LP is Old Bell Associates LLC. A. Dev Chodry is a principal of Old Bellows Partners LP. Scoggin LLC is a principal of Old Bellows Partners LP and serves as investment sub-manager for equity and event-driven investing for Scoggin Worldwide Fund, Ltd. Craig Effron and Curtis Schenker are the managing members of Scoggin LLC.
|
(v) Old Bell Associates LLC
6
|
(a)
|
Amount beneficially owned: 0
|
|
(b)
|
Percent of class: 0.0%
|
|
(c)
|
Number of shares as to which such person has:
|
|
(i)
|
Sole power to vote or to direct the vote: 0
|
|
(ii)
|
Shared power to vote or to direct the vote: 0
|
|
(iii)
|
Sole power to dispose or to direct the disposition of: 0
|
|
(iv)
|
Shared power to dispose or to direct the disposition of: 0
|
(vi) A. Dev Chodry
|
(a)
|
Amount beneficially owned: 0
|
|
(b)
|
Percent of class: 0.0%
|
|
(c)
|
Number of shares as to which such person has:
|
|
(i)
|
Sole power to vote or to direct the vote: 0
|
|
(ii)
|
Shared power to vote or to direct the vote: 0
|
|
(iii)
|
Sole power to dispose or to direct the disposition of: 0
|
|
(iv)
|
Shared power to dispose or to direct the disposition of: 0
|
(vii) Craig Effron
|
(a)
|
Amount beneficially owned: 491,885
|
|
(b)
|
Percent of class: 1.6%
|
|
(c)
|
Number of shares as to which such person has:
|
|
(i)
|
Sole power to vote or to direct the vote: 0
|
|
(ii)
|
Shared power to vote or to direct the vote: 491,885
|
|
(iii)
|
Sole power to dispose or to direct the disposition of: 0
|
___________________________
6
|
Old Bellows Partners LP is the investment manager of Scoggin Worldwide Fund, Ltd. Old Bell Associates LLC is the general partner of Old Bellows Partners LP.
|
|
(iv)
|
Shared power to dispose or to direct the disposition of: 491,885
|
(viii) Curtis Schenker
|
(a)
|
Amount beneficially owned: 491,885
|
|
(b)
|
Percent of class: 1.6%
|
|
(c)
|
Number of shares as to which such person has:
|
|
(i)
|
Sole power to vote or to direct the vote: 0
|
|
(ii)
|
Shared power to vote or to direct the vote: 491,885
|
|
(iii)
|
Sole power to dispose or to direct the disposition of: 0
|
|
(iv)
|
Shared power to dispose or to direct the disposition of: 491,885
|
Item 5.
|
Ownership of Five Percent or Less of a Class.
|
This statement is being filed to report the fact that as of the date hereof each Reporting Person has ceased to be the beneficial owner of more than five percent of the class of securities.
Item 6.
|
Ownership of More than Five Percent on Behalf of Another Person.
|
Not applicable
Item 7.
|
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
|
Item 9.
|
Identification and Classification of Members of the Group.
|
Item 9.
|
Notice of Dissolution of Group.
|
By signing below the undersigned certifies that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection
with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.
After reasonable inquiry and to the best knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true, complete and correct.
Dated as of February 1, 2013
|
Scoggin Capital Management II LLC
|
|
By: Scoggin LLC, its Investment Manager
|
|
By:
/s/ Craig Effron
Title: Member
|
Dated as of February 1, 2013
|
Scoggin International Fund, Ltd.
|
|
By: Scoggin LLC, its Investment Manager
|
|
By:
/s/ Craig Effron
Title: Member
|
Dated as of February 1, 2013
|
Scoggin LLC
|
|
By:
/s/ Craig Effron
Title: Member
|
Dated as of February 1, 2013
|
Scoggin Worldwide Fund, Ltd.
|
|
By:
/s/ A. Dev Chodry
Title: Director
|
Dated as of February 1, 2013
|
Old Bell Associates LLC
|
|
By:
/s/ A. Dev Chodry
Title: Manager
|
Dated as of February 1, 2013
|
/s/ A. Dev Chodry
A. Dev Chodry
|
Dated as of February 1, 2013
|
/s/ Craig Effron
Craig Effron
|
Dated as of February 1, 2013
|
/s/ Curtis Schenker
Curtis Schenker
|
|
Agreement of Joint Filing
|
Pursuant to 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby confirm the agreement by and among them to join in the filing on behalf of each of them of a Statement on Schedule 13G and any and all amendments thereto, and that this Agreement be included as an Exhibit to such filing.
This Agreement may be executed in any number of counterparts each of which shall be deemed to be an original and all of which together shall be deemed to constitute one and the same Agreement.
IN WITNESS WHEREOF, the undersigned have executed this Agreement.
Dated as of February 1, 2013
|
Scoggin Capital Management II LLC
|
|
By: Scoggin LLC, its Investment Manager
|
|
By:
/s/ Craig Effron
Title: Member
|
Dated as of February 1, 2013
|
Scoggin International Fund, Ltd.
|
|
By: Scoggin LLC, its Investment Manager
|
|
By:
/s/ Craig Effron
Title: Member
|
Dated as of February 1, 2013
|
Scoggin LLC
|
|
By:
/s/ Craig Effron
Title: Member
|
Dated as of February 1, 2013
|
Scoggin Worldwide Fund, Ltd.
|
|
By:
/s/ A. Dev Chodry
Title: Director
|
Dated as of February 1, 2013
|
Old Bell Associates LLC
|
|
By:
/s/ A. Dev Chodry
Title: Manager
|
Dated as of February 1, 2013
|
/s/ A. Dev Chodry
A. Dev Chodry
|
Dated as of February 1, 2013
|
/s/ Craig Effron
Craig Effron
|
Dated as of February 1, 2013
|
/s/ Curtis Schenker
Curtis Schenker
|
Oaktree Capital (NYSE:OAK)
過去 株価チャート
から 6 2024 まで 7 2024
Oaktree Capital (NYSE:OAK)
過去 株価チャート
から 7 2023 まで 7 2024