Filing Details

Accession Number:
0000899243-22-006272
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-02-14 18:48:57
Reporting Period:
2022-02-10
Accepted Time:
2022-02-14 18:48:57
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1653384 Runway Growth Finance Corp. RWAY () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1504722 Brookfield Us Holdings Inc. Brookfield Place, Suite 300
181 Bay St. P.o. Box 762
Toronto A6 M5J 2T3
No No Yes No
1540230 Brookfield Holdings Canada Inc. Brookfield Place, Suite 300
181 Bay St. P.o. Box 762
Toronto A6 M5J 2T3
No No Yes No
1693272 Ocm Growth Holdings Llc C/O Oaktree Capital Management, L.p.
333 S. Grand Ave., 28Th Floor
Los Angeles CA 90071
Yes No Yes No
1760437 Brookfield Bhs Advisors Llc 395 Ninth Avenue, 52Nd Floor
New York NY 10001
No No Yes No
1768973 Brookfield Us Inc. Brookfield Place, 15Th Floor
250 Vesey Street
New York NY 10281
No No Yes No
1909267 Brookfield Multi-Strategy Fund Gp Llc 395 Ninth Avenue, 52Nd Floor
New York NY 10001
No No Yes No
1909269 Brookfield Public Securities Group Holdings Llc Brookfield Place, 15Th Floor
250 Vesey Street
New York NY 10281
No No Yes No
1909657 Brookfield Multi-Strategy Master Fund Lp 395 Ninth Avenue, 52Nd Floor
New York NY 10001
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.01 Per Share Acquisiton 2022-02-10 20,100 $13.07 20,559,233 No 4 P Direct
Common Stock, Par Value $0.01 Per Share Acquisiton 2022-02-11 19,600 $13.26 20,578,833 No 4 P Direct
Common Stock, Par Value $0.01 Per Share Acquisiton 2022-02-14 19,400 $13.55 20,598,233 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
No 4 P Direct
Footnotes
  1. Includes shares acquired pursuant to the issuer's dividend reinvestment plan.
  2. OCM Growth Holdings, LLC, a Delaware limited liability company ("LLC")("OCMGH"), directly owns 20,523,233 shares of the common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Brookfield Multi-Strategy Master Fund LP, a Cayman Island exempted limited partnership ("Master Fund LP"), directly owns 75,000 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) Oaktree Fund GP, LLC, a Delaware LLC ("GP LLC"), in its capacity as manager of OCMGH, (ii) Oaktree GP I, L.P., a Delaware limited partnership ("GP I LLC"), in its capacity as managing member of GP LLC, (iii) Oaktree Capital I, L.P., a Delaware limited partnership ("Capital I"), in its capacity as general partner of GP I, (iv) OCM Holdings I, LLC, a Delaware LLC ("Holdings I"), in its capacity as general partner of Capital I, (v) Oaktree Holdings, LLC, a Delaware LLC ("Holdings"),
  3. (Continued from Footnote 2) in its capacity as managing member of Holdings I; (vi) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as managing member of Holdings; and (vii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGH GP"), in its capacity as the indirect owner of the class B units of OCG; (viii) Brookfield Multi-Strategy Fund GP LLC, a Delaware LLC ("Multi-Fund Strategy Fund GP"), in its capacity as general partner of Master Fund LP; (xi) Brookfield BHS Advisors, LLC, a Delaware LLC ("BHS Advisors"), in its capacity as investment manager to Master Fund LP; (x) Brookfield Public Securities Group Holdings LLC, a Delaware LLC ("Securities Group Holdings"),
  4. (Continued from Footnote 3) in its capacity as managing manager of BHS Advisors; (xi) Brookfield US Inc., a Delaware corporation ("Brookfield US"), in its capacity as managing member of Securities Group Holdings; (xii) Brookfield US Holdings Inc., a Canadian corporation ("Brookfield US Holdings"), in its capacity as the sole shareholder of Brookfield US; (xiii) Brookfield Holdings Canada Inc., a Canadian corporation ("Brookfield Holdings Canada"), in its capacity as the sole shareholder of Brookfield US Holdings; (xiv) Brookfield Asset Management Inc., a Canadian corporation ("BAM"), in its capacity as the indirect owner of the class A units of OCG and sole shareholder of Brookfield Holdings Canada; and (xv) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BAM.
  5. 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.
  6. 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.
  7. The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors.
  8. This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons.