# EDGAR Filing Document

**Accession Number:** 0001403528
**File Stem:** 0001403528-23-000007
**Filing Date:** 2023-3
**Character Count:** 5220
**Document Hash:** a9899fb48ec3fb8954683c19a5277d97
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001403528-23-000007.hdr.sgml**: 20230331

**ACCESSION NUMBER**: 0001403528-23-000007

**CONFORMED SUBMISSION TYPE**: 8-K/A

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20230210

**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

**FILED AS OF DATE**: 20230331

**DATE AS OF CHANGE**: 20230331

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Oaktree Capital Group, LLC
- **CENTRAL INDEX KEY:** 0001403528
- **STANDARD INDUSTRIAL CLASSIFICATION:** INVESTMENT ADVICE [6282]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-35500
- **FILM NUMBER:** 23789120

**BUSINESS ADDRESS:**
- **STREET 1:** 333 SOUTH GRAND AVENUE
- **STREET 2:** 28TH FLOOR
- **CITY:** LOS ANGELES
- **STATE:** CA
- **ZIP:** 90071
- **BUSINESS PHONE:** (213) 830-6300

**MAIL ADDRESS:**
- **STREET 1:** 333 SOUTH GRAND AVENUE
- **STREET 2:** 28TH FLOOR
- **CITY:** LOS ANGELES
- **STATE:** CA
- **ZIP:** 90071

?xml version="1.0" ? oak-20230210

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K/A** 

**CURRENT REPORT**

**Pursuant to Section 13 or 15(d)**

**of the Securities Exchange Act of 1934**

**Date of Report (Date of earliest event reported): February 10, 2023**

**Oaktree Capital Group, LLC**

**(Exact name of registrant as specified in its charter)**

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| | | |
|:---|:---|:---|
| **Delaware** | **001-35500** | **26-0174894** |
| **(State or other jurisdiction**<br>**of incorporation)** | **(Commission**<br>**File Number)** | **(I.R.S. Employer**<br>**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)

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☐ 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**<br>**Symbol(s)** | **Name of each exchange**<br>**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** |

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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. ☐

This amendment amends the Current Report on Form 8-K filed by Oaktree Capital Group, LLC, a Delaware limited liability company (the "Company"), on February 16, 2023 (the "Original Report") to supplement the Original Report with information regarding Mansco Perry's incentive award in connection with his appointment to the board of directors of the Company (the "Board").

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| | |
|:---|:---|
| **Item 5.02** | **Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers** |

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As disclosed in the Original Report, Mr. Perry became eligible to receive an incentive award from the Company following Mr. Perry's election to the Board. On March 27, 2023, the committee which administers the Oaktree Capital Group, LLC Long-Term Incentive Plan (the "LTIP") approved an incentive award for Mr. Perry. The LTIP is described in the Company's Annual Report on Form 10-K filed with the Securities and Exchange Commission on March 21, 2023. The LTIP award to Mr. Perry has a value of $100,000 and will vest over four years, 25% per year, with the first vesting scheduled to occur on February 15, 2024.

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**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.

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| | |
|:---|:---|
| **OAKTREE CAPITAL GROUP, LLC** | **OAKTREE CAPITAL GROUP, LLC** |
| By: | /s/ Daniel D. Levin |
| Name: | Daniel D. Levin |
| Title: | Chief Financial Officer |

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Date: March 31, 2023