SEC Form 4
表格4 美国证券交易所(SEC)
华盛顿特区20549

有关受益所有权的变动声明

根据1934年证券交易法第16(a)条或1940年投资公司法第30(h)条申报
或1940年投资公司法第30(h)条款
OMB批准号
OMB号码:3235-0287 3235-0287
如果不再受第16条的限制,请勾选此框。表格4或表格5的义务可能仍然存在。
0.5小时 0.5
  
请参见指令1(b)。请参阅 1. 报告人的姓名和地址
  
勾选该框表示交易是根据购买或销售发行方权益证券的合同,指示或书面计划进行的,旨在满足10b5-1(c)规则的肯定防御条件。参见指令10。
1. 报告人姓名和地址*
Oaktree Acquisition Holdings III LS,LLC

(姓) (第一步) (中间)
333南格兰大道28楼

(街道)
洛杉矶 加利福尼亚州 90071

(城市) (州) (邮政编码)
2. 发行人名称 逐笔明细或交易标的
Oaktree Acquisition corp. III生命科学 [ OACC ]
5. 报告人与发行人之间的关系
(勾选所有适用项)
董事 X 10%所有人
官员(在下面给出头衔) 其他(下面请说明)
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. 个人或联合/团体申报(选择适用的行)
由一个报告人提交的表格
X 由多个报告人提交的表格
表格I-已获取、已处置或有利益占有的非衍生证券
1. 证券名称(说明书第3条) 2. 交易日期(月/日/年) 2A. 如有,则被视为执行日期(月/日/年) 3. 交易代码(说明书第8条) 4. 已获取的证券(A)或已处置的证券(D)(说明书第3、4和5条) 5. 报告交易后拥有的证券数量(说明书第3和4条) 6. 拥有形式:直接(D)或间接(I)(说明书第4条) 7. 间接利益所有权的性质(说明书第4条)
代码 V 数量 (A)或(D) 价格
A类普通股。(4) 10/30/2024 C(4) 33,981(4) A $10 583,981 D(1)(2)(3)
表格II - 获得的衍生证券,出售或受益所有权
(例如,认沽权、认购权、权证、期权、可转换证券)
1. 衍生证券的名称(Instr. 3) 2. 衍生证券的转换或行权价格 3. 交易日期(月/日/年) (Instr. 8) 3A. 假定执行日期(如果适用) (月/日/年) 4. 交易代码(Instr. 8) 5. 获取(A)或处置(D)的衍生证券数量(Instr. 3、4和5) 6. 行权日期和到期日期(月/日/年) 7. 衍生证券所基于的证券名称和数量(Instr. 3和4) 8. 衍生证券价格(Instr. 5) 9. 报告交易后所拥有的衍生证券数量(Instr. 4) 10. 持有形式:直接(D)或间接(I)(Instr. 4) 11. 间接受益所有权的性质(Instr. 4)
代码 V (A) (D) 可行使日期 到期日 标题 股份数量或股数
B类普通股(5) (5) 10/30/2024 J(6) 231,492 (5) (5) A类普通股。(5) 231,492 $0(5) 4,799,758(5) D(1)(2)(3)
定向增发股票认股权证(7) (8) 10/30/2024 C(8) 6,796 (8) (8) A类普通股。(8) 6,796 (8) 116,796(8) D(1)(2)(3)
定向增发单位(买入义务)(9) (9) 10/30/2024 C(9) 33,981 (9) (9) A类普通股和定向增发期权(9) 33,981 (9) 0(9) D(1)(2)(3)
1。举报人的姓名和地址*
橡树收购控股三期 LS, LLC

(最后) (第一) (中间)
南格兰德大道 333 号,28 楼

(街道)
洛杉矶 加州 90071

(城市) (州) (Zip)

申报人与发行人的关系
董事 X 10% 所有者
警官(请在下面给出标题) 其他(请在下方注明)
1。举报人的姓名和地址*
Oaktree 收购控股公司 III LS GP, Ltd

(最后) (第一) (中间)
南格兰德大道 333 号,28 楼

(街道)
洛杉矶 加州 90071

(城市) (州) (Zip)

申报人与发行人的关系
董事 X 10% 所有者
警官(请在下面给出标题) 其他(请在下方注明)
1。举报人的姓名和地址*
OAKTREE 资本管理有限责任公司

(最后) (第一) (中间)
C/O OAKTREE 资本管理有限责任公司
南格兰德大道 333 号,28 楼

(街道)
洛杉矶 加州 90071

(城市) (州) (Zip)

申报人与发行人的关系
董事 X 10% 所有者
警官(请在下面给出标题) 其他(请在下方注明)
1。举报人的姓名和地址*
Oaktree 资本管理 GP, LLC

(最后) (第一) (中间)
南格兰德大道 333 号,28 楼

(街道)
洛杉矶 加州 90071

(城市) (州) (Zip)

申报人与发行人的关系
董事 X 10% 所有者
警官(请在下面给出标题) 其他(请在下方注明)
1。举报人的姓名和地址*
橡树资本控股有限责任公司

(最后) (第一) (中间)
C/O OAKTREE 资本管理有限责任公司
南格兰德大道 333 号,28 楼

(街道)
洛杉矶 加州 90071

(城市) (州) (Zip)

申报人与发行人的关系
董事 X 10% 所有者
警官(请在下面给出标题) 其他(请在下方注明)
1。举报人的姓名和地址*
橡树资本集团控股集团有限责任公司

(最后) (第一) (中间)
C/O OAKTREE 资本管理有限责任公司
南格兰德大道 333 号,28 楼

(街道)
洛杉矶 加州 90071

(城市) (州) (Zip)

申报人与发行人的关系
董事 X 10% 所有者
警官(请在下面给出标题) 其他(请在下方注明)
1。举报人的姓名和地址*
布鲁克菲尔德资产管理有限公司

(最后) (第一) (中间)
C/O OAKTREE 资本管理有限责任公司
南格兰德大道 333 号,28 楼

(街道)
洛杉矶 加州 90071

(城市) (州) (Zip)

申报人与发行人的关系
董事 X 10% 所有者
警官(请在下面给出标题) 其他(请在下方注明)
1。举报人的姓名和地址*
布鲁克菲尔德公司 /ON/

(最后) (第一) (中间)
C/O OAKTREE 资本管理有限责任公司
南格兰德大道 333 号,28 楼

(街道)
洛杉矶 加州 90071

(城市) (州) (Zip)

申报人与发行人的关系
董事 X 10% 所有者
警官(请在下面给出标题) 其他(请在下方注明)
1。举报人的姓名和地址*
橡树资本集团控股有限公司

(最后) (第一) (中间)
C/O OAKTREE 资本管理有限责任公司
南格兰德大道 333 号,28 楼

(街道)
洛杉矶 加州 90071

(城市) (州) (Zip)

申报人与发行人的关系
董事 X 10% 所有者
警官(请在下面给出标题) 其他(请在下方注明)
1。举报人的姓名和地址*
bAM 合作伙伴信托基金

(最后) (第一) (中间)
C/O OAKTREE 资本管理有限责任公司
南格兰德大道 333 号,28 楼

(街道)
洛杉矶 加州 90071

(城市) (州) (Zip)

申报人与发行人的关系
董事 X 10% 所有者
警官(请在下面给出标题) 其他(请在下方注明)
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.