表格4 |
美國證券交易所(SEC) 華盛頓特區20549 有關受益所有權的變動聲明 根據1934年證券交易法第16(a)條或1940年投資公司法第30(h)條申報 或1940年投資公司法第30(h)條款 |
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請參見指令1(b)。請參閱 1. 報告人的姓名和地址 | |||||||||||||||||
勾選該框表示交易是根據購買或銷售發行方權益證券的合同,指示或書面計劃進行的,旨在滿足10b5-1(c)規則的肯定防禦條件。參見指令10。 |
1. 報告人姓名和地址*
(街道)
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2. 發行人名稱 和 逐筆明細或交易標的
Oaktree Acquisition corp. III生命科學 [ OACC ] |
5. 報告人與發行人之間的關係
(勾選所有適用項)
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3. 最早交易日期
(月/日/年) 10/30/2024 | ||||||||||||||||||||||||||
4. 如有修正,最初提交日期
(月/日/年) |
6. 個人或聯合/團體申報(選擇適用的行)
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表格I-已獲取、已處置或有利益佔有的非衍生證券 | ||||||||||
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1. 證券名稱(說明書第3條) | 2. 交易日期(月/日/年) | 2A. 如有,則被視爲執行日期(月/日/年) | 3. 交易代碼(說明書第8條) | 4. 已獲取的證券(A)或已處置的證券(D)(說明書第3、4和5條) | 5. 報告交易後擁有的證券數量(說明書第3和4條) | 6. 擁有形式:直接(D)或間接(I)(說明書第4條) | 7. 間接利益所有權的性質(說明書第4條) | |||
代碼 | V | 數量 | (A)或(D) | 價格 | ||||||
A類普通股。(4) | 10/30/2024 | C(4) | 33,981(4) | A | $10 | 583,981 | D(1)(2)(3) |
表格II - 獲得的衍生證券,出售或受益所有權 (例如,認沽權、認購權、權證、期權、可轉換證券) | |||||||||||||||
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1. 衍生證券的名稱(Instr. 3) | 2. 衍生證券的轉換或行權價格 | 3. 交易日期(月/日/年) (Instr. 8) | 3A. 假定執行日期(如果適用) (月/日/年) | 4. 交易代碼(Instr. 8) | 5. 獲取(A)或處置(D)的衍生證券數量(Instr. 3、4和5) | 6. 行權日期和到期日期(月/日/年) | 7. 衍生證券所基於的證券名稱和數量(Instr. 3和4) | 8. 衍生證券價格(Instr. 5) | 9. 報告交易後所擁有的衍生證券數量(Instr. 4) | 10. 持有形式:直接(D)或間接(I)(Instr. 4) | 11. 間接受益所有權的性質(Instr. 4) | ||||
代碼 | V | (A) | (D) | 可行使日期 | 到期日 | 標題 | 股份數量或股數 | ||||||||
B類普通股(5) | (5) | 10/30/2024 | J(6) | 231,492 | (5) | (5) | A類普通股。(5) | 231,492 | $0(5) | 4,799,758(5) | D(1)(2)(3) | ||||
定向增發股票認股權證(7) | (8) | 10/30/2024 | C(8) | 6,796 | (8) | (8) | A類普通股。(8) | 6,796 | (8) | 116,796(8) | D(1)(2)(3) | ||||
定向增發單位(買入義務)(9) | (9) | 10/30/2024 | C(9) | 33,981 | (9) | (9) | A類普通股和定向增發期權(9) | 33,981 | (9) | 0(9) | D(1)(2)(3) |
1。舉報人的姓名和地址*
(街道)
申報人與發行人的關係
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1。舉報人的姓名和地址*
(街道)
申報人與發行人的關係
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1。舉報人的姓名和地址*
(街道)
申報人與發行人的關係
| ||||||||||||||||||||||||
1。舉報人的姓名和地址*
(街道)
申報人與發行人的關係
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1。舉報人的姓名和地址*
(街道)
申報人與發行人的關係
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1。舉報人的姓名和地址*
(街道)
申報人與發行人的關係
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1。舉報人的姓名和地址*
(街道)
申報人與發行人的關係
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1。舉報人的姓名和地址*
(街道)
申報人與發行人的關係
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1。舉報人的姓名和地址*
(街道)
申報人與發行人的關係
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1。舉報人的姓名和地址*
(街道)
申報人與發行人的關係
|
Explanation of Responses: |
1. This Form 4 is being filed by Oaktree Acquisition Holdings III, LLC ("Holdings"). The managing member of Holdings is Oaktree Acquisition Holdings III LS GP, Ltd. ("Holdings GP"). The director of Holdings GP is Oaktree Capital Management, L.P. ("Oaktree"). The general partner of Oaktree is Oaktree Capital Management GP, LLC ("Oaktree GP"). The sole managing member of Oaktree GP is Oaktree Capital Holdings, LLC ("OCH"). Oaktree Capital Group Holdings, L.P. ("OCGH") is the direct owner of all of the Class B units of OCH. Brookfield Corporation ("BN") and Brookfield Asset Management, Ltd. ("BAM" and, together with BN, "Brookfield") are the indirect owners of all of the Class A units of OCH. Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the general partner of OCGH. |
2. (Continued from footnote 1) BAM Partners Trust (the "BAM Partnership") is the sole owner of class B Limited Voting Shares of each of BN and BAM. These shares provide the holder thereof with the right to elect one half of the board of directors of each of BN and BAM and, as such, may indirectly control the decisions of Brookfield regarding the votes and disposition of securities held of record by Holdings; therefore the BAM Partnership may be deemed to have indirect beneficial ownership of the Class B ordinary shares held of record by Holdings. |
3. (Continued from footnote 2) Each reporting person under this Form 4 disclaims beneficial ownership of the Class B ordinary shares reported herein except to the extent of their 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 Class B ordinary share covered by this Form 4. |
4. Represents Class A ordinary shares, par value $0.0001, of the issuer (the "Private Placement Shares") that are included in the 33,981 additional private placement units (the "Private Placement Units") purchased by Holdings from the issuer in a private placement at $10.00 per Private Placement Unit in connection with the partial over-allotment option exercise of the underwriters of the issuer's initial public offering (the "Private Placement"), as described in the issuer's registration statement on Form S-1 (File No. 333-282508) (the "Registration Statement"). Each Private Placement Unit is comprised of one Private Placement Share and one-fifth of one warrant (the "Private Placement Warrants"), each whole Private Placement Warrant exercisable to purchase one Private Placement Share. Does not represent any Private Placement Shares issuable upon the exercise of Private Placement Warrants. |
5. As described in the Registration Statement under the heading "Description of Securities - Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination on a one-for-one basis or earlier at the option of the holder on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights, and have no expiration date. |
6. On October 30, 2024, the underwriters partially exercised the over-allotment option that was granted to them in connection with the issuer's initial public offering and purchased 1,699,029 additional public units. Concurrently, with the partial exercise of the over-allotment option, the underwriters also agreed to forfeit the portion of the over-allotment option that was not exercised and would have continued to be exercisable for 45 days from the date of the final prospectus related to the issuer's initial public offering. Based on the partial exercise of the over-allotment option, Holdings forfeited at no cost 231,492 Class B ordinary shares, as described in the Registration Statement. |
7. Represents Private Placement Warrants included in the 33,981 Private Placement Units purchased by Holdings in connection with the Private Placement. |
8. Each Private Placement Warrant is exercisable for cash or cashless, as described in the Registration Statement. Assuming an exercise for cash, 6,796 Private Placement Shares could be issued upon exercise of the Private Placement Warrants. The Private Placement Warrants expire five years after the completion of the issuer's initial business combination or earlier upon redemption or liquidation of the company, as described in the Registration Statement. |
9. Holdings had an obligation to purchase up to an additional 52,500 Private Placement Units, including 52,500 Private Placement Shares and 10,500 Private Placement Warrants, to the extent the underwriters of the issuer's initial public offering exercise their over-allotment option, as described in the Registration Statement. Holdings purchased 33,981 additional Private Placement Units in connection with the underwriters' partial exercise of their over-allotment option, with the remaining obligation to purchase 18,519 additional Private Placement Units being forfeited for no consideration. |
Remarks: |
See signatures in Exhibit 99.1 |
/s/ See signatures included in Exhibit 99.1 | 10/31/2024 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |