Key facts
- This page summarizes Oaktree Capital Group Holdings GP, LLC's Form 4 filing for Vistra Corp. (VST).
- 1 reported transaction and 0 derivative rows are listed below.
- Accepted by SEC: 23 Nov 2021, 15:04.
Oaktree Capital Group Holdings GP, LLC - 19 Nov 2021 Form 4 Insider Report for Vistra Corp. (VST)
- Reporting relationship
- Other*
- Issuer ticker
- VST
- Reported as of
- 19 Nov 2021
- Net transaction value
- -$20,936,763
- SEC form
- 4
- Accepted by SEC
- 23 Nov 2021, 15:04:21 UTC
- Next SEC filing
- 26 Apr 2024
- Source filing
- View source filing
- Reporting owner signature
- /s/ See Signatures Included in Exhibit 99.1
Source evidence
Original filing metadata and source links for verification.
4 source fields
Reporting owner
1 detail
Key filing fact
Oaktree Capital Group Holdings GP, LLC filed Form 4 for Vistra Corp. (VST) on 23 Nov 2021.
Change
- No earlier filing in this sequence is available for direct comparison.
- Current net transaction value: -$20,936,763.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
VST
transaction
Common Stock, par value $0.01 per share
Sale
- Transaction value
- $20,936,763
- Shares
- -1,041,573
- Change %
- -3.5%
- Price
- $20.10
- Shares after
- 28,899,812
- Date
- 19 Nov 2021
- Ownership
- See footnotes
- Footnotes
- F1, F2, F3, F4
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Section 16 status
Oaktree Capital Group Holdings GP, LLC is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.
Explanation of responses 4 footnotes
Footnote F1
The Reporting Persons inadvertently omitted to report 4,783 shares received on October 30, 2020 in connection with a distribution from the First Lien Dispute Escrow Account in the Energy Future Holdings Chapter 11 Cases.
Footnote F2
This Form 4 is being filed by Oaktree Capital Management, L.P. ("Management"), on behalf of certain of its managed funds and accounts (the "Funds"), with respect to shares of the Issuer's common stock, par value $0.01 per share ("Common Stock") that may be deemed to be beneficially owned by the Reporting Persons (as defined below). This Form 4 is also being filed by each of (i) Oaktree Holdings, Inc. ("Holdings, Inc.") as the general partner of Management; (ii) Oaktree Capital Group, LLC ("OCG") as the sole shareholder of Holdings, Inc.; and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP", and, together with Management, Holdings, Inc. and OCG, the "Reporting Persons" and each a "Reporting Person") as the duly elected manager of OCG.
Footnote F3
Each Reporting Person disclaims beneficial ownership of all equity securities 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 equity securities covered by this Form 4.
Footnote F4
OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, 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. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest 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 equity securities covered by this Form 4.
SEC remarks
Following the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 13, 2019, by and among OCG, Brookfield Asset Management Inc. ("BAM") and other parties thereto (as reported in a Form 8-K filed by OCG on October 4, 2019), BAM and certain of its affiliates may be deemed to beneficially own securities of the Issuer held by Management and certain of its affiliates, which beneficial ownership BAM and its affiliates disclaims except to the extent of their respective pecuniary interests therein. See Exhibit 99.1 for Joint Filer Information and Signatures incorporated herein by reference.