SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Brookfield Asset Management Inc., et al. – ‘3’ for 4/30/21 re: Garrett Motion Inc.

On:  Friday, 5/14/21, at 5:00pm ET   ·   For:  4/30/21   ·   Accession #:  899243-21-19541   ·   File #:  1-38636

Previous ‘3’:  ‘3’ on 2/19/21 for 2/9/21   ·   Next:  ‘3’ on 11/10/21 for 11/2/21   ·   Latest:  ‘3’ on 11/20/23 for 11/10/23

Find Words in Filings emoji
 
  in    Show  and   Hints

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 5/14/21  Brookfield Asset Management Inc.  3                      1:17K  Garrett Motion Inc.               Donnelley Fin’l S… 06/FA
          Oaktree Capital Group Holdings GP, LLC
          Oaktree Capital Group, LLC
          BAM Partners Trust
          Oaktree Holdings, LLC
          Atlas OCM Holdings, LLC
          Oaktree Phoenix Investment Fund, L.P.

Initial Statement of Beneficial Ownership of Securities by an Insider   —   Form 3   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 3           Form 3 Submission -- doc3.xml/2.6                   HTML      3K 




        

This ‘3’ Document is an XML Data File that may be rendered in various formats:

  Form 3    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Form 3 Submission
 
FORM 3UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0104
Estimated average burden
hours per response:0.5
1. Name and Address of Reporting Person*
OAKTREE HOLDINGS, LLC

(Last)(First)(Middle)
333 SOUTH GRAND AVENUE, 28TH FLOOR

(Street)
LOS ANGELESCA90071

(City)(State)(Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
4/30/21
3. Issuer Name and Ticker or Trading Symbol
Garrett Motion Inc. [ GTX ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
DirectorX10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
XForm filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock3,593,111 (1)ISee footnotes (3) (4)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year)3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Series A Cumulative Convertible Preferred Stock (2) (2)Common Stock68,834,814 (2)5.25 (2)ISee footnotes (3) (4)
1. Name and Address of Reporting Person*
OAKTREE HOLDINGS, LLC

(Last)(First)(Middle)
333 SOUTH GRAND AVENUE, 28TH FLOOR

(Street)
LOS ANGELESCA90071

(City)(State)(Zip)
1. Name and Address of Reporting Person*
Atlas OCM Holdings, LLC

(Last)(First)(Middle)
333 SOUTH GRAND AVENUE, 28TH FLOOR

(Street)
LOS ANGELESCA90071

(City)(State)(Zip)
1. Name and Address of Reporting Person*
Oaktree Capital Group, LLC

(Last)(First)(Middle)
333 SOUTH GRAND AVENUE, 28TH FLOOR

(Street)
LOS ANGELESCA90071

(City)(State)(Zip)
1. Name and Address of Reporting Person*
Oaktree Capital Group Holdings GP, LLC

(Last)(First)(Middle)
333 SOUTH GRAND AVENUE, 28TH FLOOR

(Street)
LOS ANGELESCA90071

(City)(State)(Zip)
1. Name and Address of Reporting Person*
BROOKFIELD ASSET MANAGEMENT INC.

(Last)(First)(Middle)
333 SOUTH GRAND AVENUE, 28TH FLOOR

(Street)
LOS ANGELESCA90071

(City)(State)(Zip)
1. Name and Address of Reporting Person*
BAM Partners Trust

(Last)(First)(Middle)
333 SOUTH GRAND AVENUE, 28TH FLOOR

(Street)
LOS ANGELESCA90071

(City)(State)(Zip)
1. Name and Address of Reporting Person*
Oaktree Phoenix Investment Fund, L.P.

(Last)(First)(Middle)
333 SOUTH GRAND AVENUE, 28TH FLOOR

(Street)
LOS ANGELESCA90071

(City)(State)(Zip)
Explanation of Responses:
(1)  On April 30, 2021, the Plan of Reorganization (the "Plan") under Chapter 11 of Title 11 of the United States Code of Garrett Motion Inc., a Delaware corporation (the "Company"), became effective. Upon effectiveness of the Plan, all previously issued and outstanding common stock of the Company was cancelled in exchange for an equal number of shares of the reorganized Company's common stock, $0.001 par value per share (the "Common Stock").
(2)  Pursuant to the terms of the Plan and the Replacement Equity Backstop Commitment Agreement dated March 9, 2021, the Company also issued 247,771,426 shares of Series A Cumulative Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"). Each share of Series A Preferred Stock is convertible into one share of Common Stock pursuant to the terms of the Certificate of Designations of Series A Cumulative Convertible Preferred Stock (the "Series A Certificate of Designations"), dated as of April 30, 2021 by Garrett Motion Inc. as filed pursuant to its Form 8-K dated as of April 30, 2021.
(3)  These shares of Common Stock and the Series A Preferred Stock of the Company are beneficially owned by Oaktree Capital Management, L.P. ("Management"), OCM Opps GTM Holdings, LLC ("GTM Holdings") and Oaktree Phoenix Investment Fund LP ("Phoenix") as a result of being the investment managers of certain private investment funds that directly hold Common Stock and Series A Preferred Stock, including Oaktree Value Opportunities Fund Holdings, L.P. ("VOF Holdings"), Oaktree Value Opportunities Fund GP, L.P. ("VOF GP"), as general partner of VOF Holdings, Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd."), as general partner of VOF GP, Oaktree Fund GP, LLC ("Fund GP"), as general partner of GTM Holdings, Oaktree Fund GP I, L.P. ("GP I"), as managing member of Fund GP and the sole shareholder of VOF GP Ltd.,
(4)  (Continued from Footnote 3) Oaktree Capital I, L.P. ("Capital I"), as general partner of GP I, OCM Holdings I, LLC ("Holdings I"), as general partner of Capital I and holder of limited partnership interests in Capital I, Oaktree Holdings LLC ("Holdings"), as managing member of Holdings I, Oaktree Capital Management GP, LLC ("Management GP"), as general partner of Management, Atlas OCM Holdings LLC ("Atlas"), as manager of Management GP, Oaktree Capital Group, LLC ("OCG"), as managing member of Holdings, Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), as indirect owner of the class B units of each of OCG and Atlas, Brookfield Asset Management Inc. ("BAM"), as indirect owner of the class A units of each of OCG and Atlas, and BAM Partners Trust (the "BAM Partnership"), as sole owner of the Class B Limited Voting Shares of BAM. BAM Class B Partners Inc. ("BAM Partners") is the trustee of the BAM Partnership.
Remarks:
The Reporting Persons are jointly filing this Form 3. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of any or all of the reported securities for purposes of Section 16 or for any other purpose. We note that the undersigned have made a Schedule 13D filing, and we refer to the disclosures contained therein regarding potential "group" status and disclaimers thereto.
OAKTREE HOLDINGS, LLC, By: /s/ Henry Orren, Name: Henry Orren, Title: Senior Vice President 5/14/21
ATLAS OCM HOLDINGS, LLC, By: Oaktree New Holdings, LLC, Its: Member, By: /s/ Henry Orren, Name: Henry Orren, Title: Senior Vice President 5/14/21
OAKTREE CAPITAL GROUP, LLC, By: /s/ Henry Orren, Name: Henry Orren, Title: Senior Vice President 5/14/21
OAKTREE CAPITAL GROUP HOLDINGS GP, LLC, By: /s/ Henry Orren, Name: Henry Orren, Title: Senior Vice President 5/14/21
BROOKFIELD ASSET MANAGEMENT INC., By: /s/ Kathy Sarpash, Name: Kathy Sarpash, Title: Senior Vice President Legal & Regulatory 5/14/21
BAM PARTNERS TRUST, By: BAM Class B Partners, Inc., Its: Trustee, By: /s/ Kathy Sarpash, Name: Kathy Sarpash, Title: Secretary 5/14/21
OAKTREE PHOENIX INVESTMENT FUND LP, By: Oaktree Phoenix Investment Fund GP, L.P., Its: GP, By: Oaktree Phoenix Investment Fund GP, Ltd., Its: GP, By: Oaktree Capital Management, L.P., Its: Dir, By: /s/ Henry Orren, Name: Henry Orren, Title: Senior VP 5/14/21
** Signature of Reporting PersonDate
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 5 (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.

Top
Filing Submission 0000899243-21-019541   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Thu., Mar. 28, 3:24:40.2pm ET