UNITED STATES
OMB APPROVAL
SECURITIES AND EXCHANGE COMMISSION
OMB Number:
3235-0101
Washington, D.C. 20549
Expires:
June 30, 2020
 
Estimated average burden
FORM 144
 hours per response
1.00
NOTICE OF PROPOSED SALE OF SECURITIES
SEC USE ONLY
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
DOCUMENT SEQUENCE NO.
   
 
CUSIP NUMBER
ATTENTION:  Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker.
 
    
1 (a) NAME OF ISSUER (Please type or print)
(b) IRS IDENT. NO.
(c) S.E.C. FILE NO
WORK LOCATION
OWL ROCK CAPITAL CORPORATION
47-5402460
814-01190
  
1 (d) ADDRESS OF ISSUER
  STREET 
CITY
STATE
ZIP CODE
(e) TELEPHONE NO
  399 PARK AVENUE-38TH FL
 NEW YORK
 NY
 10022
 AREA CODE  NUMBER
 
212-419-3000
2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD  
(b) RELATIONSHIP TO ISSUER
 (c) ADDRESS STREET 
CITY
STATE
ZIP CODE
REGENTS OF THE UNIVERSITY OF CALIFORNIA
  
10% STOCKHOLDER
1111 Franklin Street
OAKLAND
CA
94607
 
INSTRUCTION:  The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
 
3 (a)
(b)
SEC USE ONLY
(c)
(d)
(e)
(f)
(g)
Title of the
Class of
Securities To Be Sold
Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker  who is Acquiring the Securities
Broker-Dealer
File Number
Number of Shares
or Other Units
To Be Sold
(See instr. 3(c))
Aggregate
Market
Value
(See instr. 3(d))
Number of Shares
or Other Units
Outstanding
(See instr. 3(e))
Approximate
Date of Sale
(See instr. 3(f))
(MO.  DAY  YR.)
Name of Each
Securities
Exchange
(See instr. 3(g))
COMMON
 STOCK
State Street Global Markets LLC
One Lincoln Street
State Street Financial Center
Boston, MA 02111-2900
  
1,041,667
$15,000,000 as of
4/27/2021 based on
$14.40 closing price
on NYSE
389,966,688
4/28/21*
NEW YORK
STOCK
EXCHANGE**
 
INSTRUCTIONS:
 
 
 
 
1.
(a)
Name of issuer
 
3.
(a)
Title of the class of securities to be sold
 
(b)
Issuer's I.R.S. Identification Number
 
 
(b)
Name and address of each broker through whom the securities are intended to be sold
 
(c)
Issuer's S.E.C. file number, if any
 
 
(c)
Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
 
(d)
Issuer's address, including zip code
 
 
(d)
Aggregate market value of the securities to be sold as of a specified date within 10 days prior to filing of this notice
 
(e)
Issuer's telephone number, including area code
 
 
(e)
Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer
 
 
 
 
 
(f)
Approximate date on which the securities are to be sold
2.
(a)
Name of person for whose account the securities are to be sold
 
 
(g)
Name of each securities exchange, if any, on which the securities are intended to be sold
 
(b)
Such person's relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)
 
 
 
 
 
(c)
Such person's address, including zip code
 
 
 
 
 
Potential persons who are to 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 1147 (08-07)
 
 
TABLE I — SECURITIES TO BE SOLD
 
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:
 
Title of
the Class
Date you
Acquired
Nature of Acquisition Transaction
Name of Person from Whom Acquired
(If gift, also give date donor acquired)
Amount of
Securities Acquired
Date of
Payment
Nature of Payment
COMMON STOCK
6/17/19
PRIVATE PLACEMENT (CAPITAL CALL)
OWL ROCK CAPITAL CORPORATION
9,463,962
6/17/19
CASH


INSTRUCTIONS:
  
If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

 
 
TABLE II — SECURITIES SOLD DURING THE PAST 3 MONTHS
 
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.


Name and Address of Seller
Title of Securities Sold
Date of Sale
Amount of
Securities Sold
Gross Proceeds
Regents of the University of California
1111 Franklin Street, Floor 8th
Oakland, CA 94607
Common Stock
Common Stock
Common Stock
Common Stock
Common Stock
Common Stock
Common Stock
Common Stock
Common Stock
Common Stock
Common Stock
Common Stock
Common Stock
Common Stock
Common Stock
4/7/2021
4/8/2021
4/9/2021
4/12/2021
4/13/2021
4/14/2021
4/15/2021
4/16/2021
4/19/2021
4/20/2021
4/21/2021
4/22/2021
4/23/2021
4/26/2021
4/27/2021
101,700
71,379
36,299
80,210
42,634
25,844
195,740
167,332
114,500
113,422
82,878
123,729
230,000
265,000
104,951
$1,454,473
$1,002,354
$510,201
$1,138,276
$602,231
$366,522
$2,802,742
$2,396,646
$1,639,354
$1,615,504
$1,183,523
$1,765,341
$3,296,153
$3,836,750
$1,514,600

EXPLANATION OF RESPONSES:

REMARKS:

*Sales anticipated to occur over a number of days from the placement of the order, which is expected to be 4/28/2021 as listed in section 3(f).

**Securities are listed on NYSE but may be sold in any market center on which securities may be lawfully sold.
 
INSTRUCTIONS:
  
ATTENTION:
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
  
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.


 
4/27/2021
     /s/ Arthur R. Guimaraes  
 
DATE OF NOTICE
    
(SIGNATURE)
  
         
 
DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION, IF RELYING ON RULE 10B5-1
  
The notice shall be signed by the person for whose account the securities are to be sold. At least one
copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures.


ATTENTION:  Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)
 
SEC 1147 (02-08)