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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SOROS FUND MANAGEMENT LLC 250 WEST 55TH STREET, 38TH FLOOR NEW YORK, NY 10019 |
X | |||
SOROS GEORGE 250 WEST 55TH STREET, 38TH FLOOR NEW YORK, NY 10019 |
X | |||
SOROS ROBERT 250 WEST 55TH STREET, 38TH FLOOR NEW YORK, NY 10019 |
X |
/s/ Thomas O'Grady, as Assistant General Counsel | 04/19/2017 | |
**Signature of Reporting Person | Date | |
/s/ Thomas O'Grady, as Attorney-in-Fact for George Soros | 04/19/2017 | |
**Signature of Reporting Person | Date | |
/s/ Thomas O'Grady, as Attorney-in-Fact for Robert Soros | 04/19/2017 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Shares of the common stock of Owl Rock Capital Corporation ("Shares") were sold directly in the following amounts for the following accounts: (i) 696,667 Shares were sold for the account of Quantum Strategic Partners Ltd., a Cayman Islands exempted limited partnership ("Quantum Strategic Partners"), and (ii) 4,528,333 Shares were sold for the account of QSP Athena LP, a Delaware limited partnership ("QSP Athena"). |
(2) | These securities are held directly in the following amounts for the following accounts: (i) 63,013 Shares are held for the account of Quantum Strategic Partners, and (ii) 409,585 Shares are held for the account of QSP Athena. |
(3) | Soros Fund Management LLC ("SFM LLC") serves as principal investment manager to Quantum Strategic Partners and QSP Athena. As such, SFM LLC has been granted investment discretion over portfolio investments, including the Shares held for the accounts of Quantum Strategic Partners and QSP Athena. George Soros serves as Chairman of SFM LLC and Robert Soros serves as President and Deputy Chairman of SFM LLC. |
Remarks: The filing of this statement shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of any securities not held directly for its account for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise. |