Statement of Changes in Beneficial Ownership (4)
21 Setembro 2020 - 6:41PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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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1. Name and Address of Reporting Person
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BROOKFIELD ASSET MANAGEMENT INC. |
2. Issuer Name and Ticker or Trading Symbol
Vistra Corp.
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VST
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below) See Remarks |
(Last)
(First)
(Middle)
BROOKFIELD PLACE, 181 BAY STREET, SUITE 300 PO BOX 762 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/28/2020 |
(Street)
NEW YORK, NY 10281-1023
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.01 per share | 5/28/2020 | | J | | 566499 (4) | D | $0 | 19288906 (5) | I | See notes (1)(2)(3)(6)(7)(8)(9) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | See Exhibit 99.1 for text of footnote |
(2) | See Exhibit 99.1 for text of footnote |
(3) | See Exhibit 99.1 for text of footnote |
(4) | See Exhibit 99.1 for text of footnote |
(5) | See Exhibit 99.1 for text of footnote |
(6) | See Exhibit 99.1 for text of footnote |
(7) | See Exhibit 99.1 for text of footnote |
(8) | See Exhibit 99.1 for text of footnote |
(9) | See Exhibit 99.1 for text of footnote |
Remarks: Following the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 13, 2019, by and among Oaktree Capital Group, LLC ("OCG"), Brookfield Asset Management Inc. ("BAM") and other parties thereto (as reported in a Form 8-K filed by OCG on October 4, 2019), BAM and certain of its affiliates may be deemed to beneficially own securities of the Issuer held by OCG and certain of its affiliates, which beneficial ownership BAM and its affiliates disclaims except to the extent of their respective pecuniary interests therein. Due to the technical limitation on the number of reporting persons per filing, this filing is being made into two identical parts. This filing is part two of two. See Exhibit 99.2 for Joint Filer Information and Signatures incorporated herein by reference. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BROOKFIELD ASSET MANAGEMENT INC. BROOKFIELD PLACE, 181 BAY STREET SUITE 300 PO BOX 762 NEW YORK, NY 10281-1023 |
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| See Remarks |
Brookfield Asset Management Private Institutional Capital Adviser (Canada) LP BROOKFIELD PLACE 181 BAY STREET, SUITE 300 TORONTO, A6 M2J2T3 |
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| See Remarks |
Brookfield Private Funds Holdings Inc. BROOKFIELD PLACE 181 BAY STREET, SUITE 300 TORONTO, A6 M5J2T3 |
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| See Remarks |
Brookfield Canada Adviser, LP BROOKFIELD PLACE 181 BAY STREET, SUITE 300 TORONTO, A6 M2J2T3 |
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| See Remarks |
Titan Co-Investment-MRS, L.P. BROOKFIELD PLACE 200 VESEY STREET NEW YORK, NY 10281-1023 |
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| See Remarks |
Signatures
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By: See Signatures Included in Exhibit 99.2 | | 9/21/2020 |
**Signature of Reporting Person | Date |
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