SEC FORM
3
SEC Form 3
| FORM 3 |
UNITED 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 |
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1. Name and Address of Reporting Person*
| C/O OAKTREE SPECIALTY LENDING CORP |
| 333 SOUTH GRAND AVENUE, 28TH FLOOR |
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year)
03/07/2019
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3. Issuer Name and Ticker or Trading Symbol
Oaktree Specialty Lending Corp
[ OCSL ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
| X |
Director |
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10% Owner |
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Officer (give title below) |
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Other (specify below) |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
|
Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of Responses: |
| Remarks: |
|
| No securities are beneficially owned. |
|
Mary Gallegly, Attorney-in-Fact |
03/15/2019 |
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** 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
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. |
POWER OF ATTORNEY
The undersigned hereby makes, constitutes and appoints each of Rich Ting, Martin
Boskovich, Jeffrey Joseph, Mary Gallegly, Jamie Toothman, Ting He, Philip
McDermott, Jordan Mikes, Brian Price, Donna Choi Suh, Henry Orren and Peter Boos
as a true and lawful attorney-in-fact with full power of substitution and
resubstitution, for and in the name, place and stead of the undersigned (in the
undersigned's individual capacity, or in any other capacity, including,
without limitation, as applicable, in the undersigned's capacity as a director,
officer, principal, member or partner of or in a limited liability company, as a
partner of any partnership or as an officer of any corporation for which the
undersigned is otherwise authorized to sign), to execute, deliver and file such
forms, with all exhibits thereto, documents, certificates, instruments, notices,
statements, agreements and other filings relating to the ownership, beneficial
or otherwise, of securities of Oaktree Specialty Lending Corporation or Oaktree
Strategic Income Corporation or any of their subsidiaries or affiliates as may
be required to be filed from time to time with the Securities and Exchange
Commission ("SEC") with respect to: (i) Sections 13(d), 13(f) and 16(a) of the
Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules
and regulations promulgated thereunder, as applicable, including, without
limitation, Schedule 13D, Schedule 13G, Form 13F, statements on Form 3, Form 4
and Form 5 or any amendment thereto; (ii) any report or notice required under
Rule 144 of the Securities Act of 1933, as amended, including, without
limitation, Form 144, or any amendment thereto; and (iii) any and all other
documents that may be necessary or appropriate in connection with or in
furtherance of any of the foregoing, including, without limitation, any
application for EDGAR access codes, Form ID, or any amendments thereto, and any
other documents necessary or appropriate to obtain codes and passwords enabling
the undersigned to make electronic filings with the SEC of reports required
pursuant to Section 13(d) or Section 16(a) of the Exchange Act or any rule or
regulation of the SEC, such power and authority to extend to any form or forms
adopted by the SEC in lieu of or in addition to any of the foregoing; in each
case, as determined by such attorney-in-fact to be necessary or appropriate.
Any such determination shall be conclusively evidenced by such
attorney-in-fact's execution, delivery, furnishing and/or filing of the
applicable document. Each such attorney-in-fact may act separately or jointly.
All past acts of an attorney-in-fact in furtherance of the foregoing are hereby
ratified and confirmed.
This power of attorney shall remain in effect from the date hereof until the
date revoked by the undersigned in a signed writing delivered to the
attorneys-in-fact, and this power of attorney does not revoke or replace any
other power of attorney that the undersigned has previously granted.
IN WITNESS WHEREOF, I have executed this instrument as of the 11th day of
March, 2019.
/s/ Deborah Ann Gero
--------------------
Name: Deborah Ann Gero
