false 0001403528 0001403528 2022-11-15 2022-11-15 0001403528 us-gaap:PreferredClassAMember 2022-11-15 2022-11-15 0001403528 us-gaap:PreferredClassBMember 2022-11-15 2022-11-15

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): November 15, 2022

 

 

Oaktree Capital Group, LLC

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-35500   26-0174894

(State or other jurisdiction

of incorporation)

  

(Commission

File Number)

  

(IRS Employer

Identification No.)

333 South Grand Avenue, 28th Floor

Los Angeles, CA 90071

(Address of principal executive offices, including zip code)

(213) 830-6300

(Registrant’s telephone number, including area code)

Not Applicable

(Former name or former address, if changed since last report)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

☐

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

☐

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

☐

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

☐

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e- 4(c))

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

  

Trading
Symbol

  

Name of each exchange

on which registered

6.625% Series A preferred units   OAK-PA   New York Stock Exchange
6.550% Series B preferred units   OAK-PB   New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

 

 

Item 5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

(b)    On November 15, 2022, D. Richard Masson, a member of the Board of Directors of Oaktree Capital Group, LLC, a Delaware limited liability company (the “Company”), notified the Company of his decision to resign as a director of the Company, effective December 31, 2022. Mr. Masson’s resignation is not because of any disagreement with the Company on any matter relating to its operations, policies, or practices.

Signatures

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed by the undersigned hereunto duly authorized.

 

OAKTREE CAPITAL GROUP, LLC
By:  

/s/ Todd E. Molz

Name:   Todd E. Molz
Title:   General Counsel, Chief Administrative Officer and Secretary

Date: November 16, 2022

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