Brookfield Oaktree Holdings, LLC 

CA

  SEC # 1403528

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964  SEC Filings   from  7/26/07  to  3/29/24  (3 Weeks Ago)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘SC 13D/A’ — Amendment to Statement of Acquisition of Beneficial Ownership by an “Active” Investor — Schedule 13D — Filed as:  Offerer / Owner — Re:  Battalion Oil Corp. [ formerly Halcon Resources Corp. ]
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Forms , Documents & Exhibits  in  653 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
3/29/24			SC 13D		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D	22
3/29/24			4		Ownership:		Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4	257
3/21/24			10-K		Update:		Annual Reports — Form 10-K    — Financial Reports	14
3/5/24			8-K		Update:		Current Reports — Form 8-K — Press Releases & Conference Calls  — Financial Reports	100
					8-K Items:
6/29/23			Business & Operations:			•	Entry into a Material Definitive Agreement — Item 1.01 — ↓‘EX-10’	17
4/4/14	OLD		"			•	Termination of a Material Definitive Agreement — Item 1.02  OLD  — ↓‘EX-10’	2
12/6/22	OLD		Financial Info:			•	Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ↓‘EX-2’	2
7/25/19	OLD		"			•	Results of Operations and Financial Condition — Item 2.02  OLD  — Financial Reports	31
7/12/16	OLD		"			•	Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ↓‘EX-10’	5
10/4/19	OLD		Securities & Trading:			•	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.01  OLD	1
10/4/19	OLD		"			•	Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ↓‘EX-4’	3
3/30/16	OLD		Accountants & Accounting:			•	Changes in Registrant’s Certifying Accountant — Item 4.01  OLD  — ↓‘EX-16’	1
3/5/24			Governance & Management:			•	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02 — List of Directors & Officers	17
10/4/19	OLD		"			•	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ↓‘EX-3’	4
6/25/19	OLD		"			•	Submission of Matters to a Vote of Security Holders — Item 5.07  OLD	1
3/5/24			Disclosures:			•	Regulation FD Disclosure — Item 7.01 — ↓‘EX-99’	18
3/5/24			Events:			•	Other Events — Item 8.01	23
3/5/24			Financials:			•	Financial Statements and Exhibits — Item 9.01 — Financial Reports	75
2/14/24			SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G	31
11/20/23			3		Ownership:		Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3	62
11/9/23			10-Q		Update:		Quarterly Reports — Form 10-Q — Financial Reports	38
12/22/20	OLD		CORRESP		Comment:		Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC	17
11/13/19	OLD		13F-NT		Ownership:		Quarterly Holdings Notices by Money Managers — Form 13F  OLD  — Assets Under Management	48
10/10/19	OLD		15-12B		Registration:		Certification of a Termination of Registration of a Class of Securities — Form 15  OLD	1
10/9/19	OLD		EFFECT		SEC:		SEC Notices of Effectiveness  OLD	3
9/30/19	OLD		POSASR		Registration:		Post-Effective Amendment of an Automatic Shelf Registration Statement — Form S-3/F-3ASR  OLD	1
9/30/19	OLD		POS AM		Registration:		Post-Effective Amendment of a Registration Statement  OLD	1
9/30/19	OLD		S-8 POS		Registration:		Post-Effective Amendment of a Form S-8 Registration  OLD	1
9/30/19	OLD		SC 13E3		Ownership:		Tender-Offer Statements by Certain Issuers – Going-Private Transactions — Schedule 13E-3  OLD	4
9/18/19	OLD		425		Registration:		Prospectuses and Communications – Mergers  OLD	11
6/20/19	OLD		DEFM14A		Proxy:		Definitive Proxy Statement – Merger or Acquisition — Schedule 14A  OLD	1
8/9/18	OLD		CERT		Trading:		Certifications by Securities Exchanges Approving Listings — Form CERT  OLD	2
8/9/18	OLD		8-A12B		Registration:		Registration Statements for Certain Classes of Securities — Form 8-A  OLD	3
8/3/18	OLD		424B5		Registration:		Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  OLD	12
8/2/18	OLD		FWP		Registration:		Prospectuses – Free Writing  OLD	3
5/13/16	OLD		S-3ASR		Registration:		Automatic Shelf Registration Statements by Well-Known Issuers — Form S-3  OLD	2
3/30/16	OLD		S-8		Registration:		Registration Statement – Securities for an Employee Benefit Plan — Form S-8  OLD	1
2/26/16	OLD		IRANNOTICE		Update:		Notices of Iran/Syria Disclosures in Quarterly and Annual Reports  OLD	2
9/9/15	OLD		424B2		Registration:		Prospectus – Primary Offering or Shelf Securities  OLD	1
8/28/15	OLD		S-3		Registration:		Registration Statement – Securities for a Transaction — Form S-3  OLD	1
11/18/14	OLD		424B7		Registration:		Prospectuses – Selling Security Holders – Info Previously Omitted  OLD	2
4/12/12	OLD		424B4		Registration:		Prospectus – Info Previously Omitted & New Facts or Events  OLD	1
4/11/12	OLD		CERTNYS		Trading:		Certification by the NYSE Approving a Listing — Form CERT  OLD	1
4/6/12	OLD		S-1		Registration:		Registration Statements (General Form) — Form S-1  OLD	11
					General Exhibits:
3/21/24			EX-3		Articles of Incorporation/Organization and Bylaws			15
3/21/24			EX-97		Clawback Policy re: Recovery of Erroneously Awarded Compensation			1
3/21/24			EX-4		Instruments, Including Indentures, Defining the Rights of Security Holders			55
3/21/24			EX-10		Material Contracts			112
3/21/24			EX-21		Subsidiaries Lists			15
3/21/23	OLD		EX-23		Consents of Experts and Counsel  OLD			27
1/21/22	OLD		EX-1		Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD			10
1/26/21	OLD		EX-24		Powers of Attorney  OLD			3
3/19/19	OLD		EX-2		Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD			2
8/9/18	OLD		EX-5		Opinions of Counsel re: Legality  OLD			14
8/9/18	OLD		EX-8		Opinions of Counsel re: Tax Matters  OLD			13
					Additional Exhibits:
3/5/24			EX-99		Miscellaneous Exhibits, such as Press Releases — Press Releases & Conference Calls			364
					Financials:
3/21/24			EX-31		Certifications — §302 – SOA’02			98
3/21/24			EX-32		Certifications — §906 – SOA’02			96
3/21/24			XML  &  R#		IDEA Financial Reports Info    — Financial Reports			4,448
3/21/24			EXCEL		IDEA Workbooks of Financial Reports Info    — Workbooks of Financial Reports			74
3/21/24			EX-101.*		XBRL Data  (XBRL Files)			349
3/21/24			JSON		XBRL Instances as JavaScript Object Notation Data  (JSON Files)			38
3/21/24			ZIP		XBRL Zipped Folders   (Folders of XBRL Files)			67
8/3/18	OLD		EX-12		Statements re: Computations of Ratios  OLD			2
3/30/16	OLD		EX-16		Letter re: a Change in Accountant  OLD			1
					Graphics:
3/21/24			GRAPHIC		Photos, Images and Graphs			1,883

History as a Money Manager:  Assets Under Management  ·  Related Money Managers

Forms , Documents & Exhibits  in  329 Filings  Filed re:  Issuer / Subject Company

        

List all Money Managers that own this Security Issuer:  CUSIP 674001

        

Latest Filing			Type		Category	Description		Documents
3/7/24			3		Ownership:		Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3	27
11/22/23			4		Ownership:		Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4	223
2/14/20	OLD		SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD	37
9/30/19	OLD		SC 13E3		Ownership:		Tender-Offer Statements by Certain Issuers – Going-Private Transactions — Schedule 13E-3  OLD	4
9/30/19	OLD		25-NSE		Trading:		Notice by a Securities Exchange of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities — Form 25  OLD	1
9/18/19	OLD		425		Registration:		Prospectuses and Communications – Mergers  OLD	14
8/2/18	OLD		FWP		Registration:		Prospectuses – Free Writing  OLD	3
2/13/18	OLD		5		Ownership:		Annual Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 5  OLD	4
					Letters:
12/30/20	OLD		LETTER		Comment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC			16
12/30/20	OLD		TEXT-EXTRACT		Comment and Other Letters from the SEC – PDFs’ Text  [ a.k.a. LETTER ]  OLD			3
					General Exhibits:
3/7/24			EX-24		Powers of Attorney			24
3/19/19	OLD		EX-10		Material Contracts  OLD			2
3/19/19	OLD		EX-2		Plan of Acquisition, Reorganization, Arrangement, Liquidation or Succession  OLD			1
					Additional Exhibits:
9/30/19	OLD		EX-99		Miscellaneous Exhibits, such as Press Releases  OLD			67
					Graphics:
3/7/24			GRAPHIC		Photos, Images and Graphs			1,070

        

Filings History

Year		# of Filings
2024		14
2023		52
2022		52
2021		46
2020		30
2019		113
2018		97
2017		79
2016		69
2015		86
2014		86
2013		75
2012		85
2011		31
2010		20
2009		10
2008		13
2007		6