Amended Statement of Ownership (sc 13g/a)
2014年2月14日 - 5:43AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
Oaktree
Capital Group, LLC
(Name of Issuer)
Common Stock
(Title of
Class of Securities)
674001201
(CUSIP Number)
December 31st, 2013
(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)
¨
Rule 13d-1(c)
x
Rule 13d-1(d)
*
|
The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information
which would alter disclosures provided in a prior cover page.
|
The information required on the remainder of this cover page shall not be
deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act
(however, see the Notes).
|
|
|
|
|
|
|
1.
|
|
Name of
Reporting Person:
Epoch Investment Partners, Inc.
|
2.
|
|
Check the Appropriate Box if a Member
of a Group
(a)
¨
(b)
¨
|
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:
2,511,242
|
|
6.
|
|
Shared Voting Power:
0
|
|
7.
|
|
Sole Dispositive Power:
2,511,242
|
|
8.
|
|
Shared Dispositive Power:
0
|
9.
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person:
2,511,242
|
10.
|
|
Check Box if the Aggregate Amount in
Row (9) Excludes Certain Shares (See Instructions)
¨
|
11.
|
|
Percent of Class Represented by Amount
in Row (9):
6.57 %
|
12.
|
|
Type of Reporting Person (See
Instructions):
CO
|
This Amendment No. 1 (this Amendment) to the Statement on Schedule 13G, filed by TD Asset
Management Inc. on July 19th, 2013 (the Statement), amends and supplements such Statement with respect to the Common Stock (as defined below) of the Issuer (as defined below).
Item 1.
|
(a). Name of Issuer
|
Oaktree Capital Group, LLC
(the Issuer)
|
(b).
|
Address of Issuers Principal Executive Offices:
|
333 South Grand
Avenue, Los Angeles, CA 90071 United States
Item 2(a).
|
Name of Person Filing
|
Item 2(b).
|
Address of Principal Business Office
|
Epoch Investment Partners, Inc. (Epoch)
399 Park Avenue, New York, New York 10022
Citizenship: Delaware
The
foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons. The Reporting Persons are wholly-owned subsidiaries of TD Bank Financial Group. The filing of this statement should not be construed as an
admission that any of the Reporting Persons is, for the purposes of Section 13 of the Securities Exchange Act of 1934, as amended (the Act), the beneficial owner of the shares reported herein.
Item 2(d).
|
Title of Class of Securities:
|
Common Stock
Item 2(e).
|
CUSIP Number:
674001201
|
Item 3.
|
If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
|
This Item 3 is not applicable.
|
(a)
|
Amount beneficially owned:
|
Epoch individually beneficially owns
2,511,242 shares of Common Stock.
The ownership percentages set forth below are based on
38,239,000 shares of the Issuers Common Stock outstanding as of December 31st, 2013.
Epoch may be deemed the
beneficial owner of approximately 6.57 % of the shares of Common Stock outstanding.
Page 3
|
(c)
|
Number of Shares as to which the Reporting Person has:
|
Epoch
:
|
(i)
|
Sole power to vote or to direct the vote:
|
2,511,242
|
(ii)
|
Shared power to vote or to direct the vote:
|
0
|
(iii)
|
Sole power to dispose or to direct the disposition of:
|
2,511,242
|
(iv)
|
Shared power to dispose or to direct the disposition of:
|
0
Item 5.
|
Ownership of Five Percent or Less of a Class
|
If this statement is
being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following:
¨
Item 6.
|
Ownership of More than Five Percent on Behalf of Another Person.
|
This
Item 6 is not applicable.
Item 7.
|
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.
|
This Item 7 is not applicable.
Item 8.
|
Identification and Classification of Members of the Group.
|
This
Item 8 is not applicable.
Item 9.
|
Notice of Dissolution of Group.
|
This Item 9 is not applicable.
By signing below I certify 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.
Page 4
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true,
complete and correct.
Dated: February 10th, 2014
|
|
|
EPOCH INVESTMENT PARTNERS, INC.
|
|
|
By:
|
|
/s/ David A. Barnett
|
Name: David A. Barnett
|
Title: Managing Attorney & Chief Compliance Officer
|
Page 5
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