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10-Q Filing

BROOKFIELD OAKTREE HOLDINGS, LLC CIK: 1403528 Q1 2014
Filing Information
Form Type 10-Q
Accession Number 0001403528-14-000040
Period End Date 20140331
Filing Date 20140508
Fiscal Year 2014
Fiscal Period Q1
XBRL Instance oak-20140331.xml
Balance Sheet 53 line items
Line Item Tag Value Unit Period
Corporate investments, fair value EquityMethodInvestmentsFairValueDisclosure $67.60M USD Point-in-time
Corporate investments, fair value EquityMethodInvestmentsFairValueDisclosure $61.42M USD Point-in-time
Cash and cash-equivalents CashAndCashEquivalentsAtCarryingValue $563.29M USD Point-in-time
Cash and cash-equivalents CashAndCashEquivalentsAtCarryingValue $390.72M USD Point-in-time
U.S. Treasury and government-agency securities AvailableForSaleSecurities $676.60M USD Point-in-time
U.S. Treasury and government-agency securities AvailableForSaleSecurities $360.56M USD Point-in-time
Corporate investments (includes $61,424 and $67,596 measured at fair value as of March 31, 2014 and December 31,2013, respectively) Investments $95.65M USD Point-in-time
Corporate investments (includes $61,424 and $67,596 measured at fair value as of March 31, 2014 and December 31,2013, respectively) Investments $178.73M USD Point-in-time
Corporate investments (includes $61,424 and $67,596 measured at fair value as of March 31, 2014 and December 31,2013, respectively) Investments $169.93M USD Point-in-time
Due from affiliates DueFromRelatedParties $48.20M USD Point-in-time
Due from affiliates DueFromRelatedParties $47.77M USD Point-in-time
Deferred tax assets DeferredTaxAssetsLiabilitiesNet $373.04M USD Point-in-time
Deferred tax assets DeferredTaxAssetsLiabilitiesNet $278.88M USD Point-in-time
Investments, at fair value InvestmentsFairValueDisclosure $39.91B USD Point-in-time
Investments, at fair value InvestmentsFairValueDisclosure $42.53B USD Point-in-time
Investments, at fair value InvestmentsFairValueDisclosure $312.90M USD Point-in-time
Other assets OtherAssets $132.60M USD Point-in-time
Other assets OtherAssets $208.93M USD Point-in-time
Total assets Assets $45.26B USD Point-in-time
Total assets Assets $48.43B USD Point-in-time
Total assets Assets $44.92B USD Point-in-time
Accrued compensation expense EmployeeRelatedLiabilitiesCurrentAndNoncurrent $278.65M USD Point-in-time
Accrued compensation expense EmployeeRelatedLiabilitiesCurrentAndNoncurrent $152.91M USD Point-in-time
Accounts payable, accrued expenses and other liabilities AccountsPayableAndAccruedLiabilitiesCurrentAndNoncurrent $80.00M USD Point-in-time
Accounts payable, accrued expenses and other liabilities AccountsPayableAndAccruedLiabilitiesCurrentAndNoncurrent $82.69M USD Point-in-time
Due to affiliates DueToRelatedPartiesCurrentAndNoncurrent $242.99M USD Point-in-time
Due to affiliates DueToRelatedPartiesCurrentAndNoncurrent $321.83M USD Point-in-time
Debt obligations LongTermDebt $610.71M USD Point-in-time
Debt obligations LongTermDebt $579.46M USD Point-in-time
Total liabilities Liabilities $6.51B USD Point-in-time
Total liabilities Liabilities $4.72B USD Point-in-time
Commitments and contingencies (Note 12) CommitmentsAndContingencies - USD Point-in-time
Commitments and contingencies (Note 12) CommitmentsAndContingencies - USD Point-in-time
Non-controlling redeemable interests in consolidated funds TemporaryEquityCarryingAmountAttributableToNoncontrollingInterest $40.15B USD Point-in-time
Non-controlling redeemable interests in consolidated funds TemporaryEquityCarryingAmountAttributableToNoncontrollingInterest $40.10B USD Point-in-time
Non-controlling redeemable interests in consolidated funds TemporaryEquityCarryingAmountAttributableToNoncontrollingInterest $38.83B USD Point-in-time
Non-controlling redeemable interests in consolidated funds TemporaryEquityCarryingAmountAttributableToNoncontrollingInterest $39.67B USD Point-in-time
Paid-in capital AdditionalPaidInCapitalCommonStock $617.63M USD Point-in-time
Paid-in capital AdditionalPaidInCapitalCommonStock $590.24M USD Point-in-time
Accumulated deficit RetainedEarningsAccumulatedDeficit $-63.11M USD Point-in-time
Accumulated deficit RetainedEarningsAccumulatedDeficit $-114.91M USD Point-in-time
Accumulated other comprehensive loss AccumulatedOtherComprehensiveIncomeLossNetOfTax $-1.12M USD Point-in-time
Accumulated other comprehensive loss AccumulatedOtherComprehensiveIncomeLossNetOfTax $-1.19M USD Point-in-time
Class A unitholders capital StockholdersEquity $553.33M USD Point-in-time
Class A unitholders capital StockholdersEquity $474.21M USD Point-in-time
OCGH non-controlling interest in consolidated subsidiaries MinorityInterest $1.23B USD Point-in-time
OCGH non-controlling interest in consolidated subsidiaries MinorityInterest $1.21B USD Point-in-time
Total unitholders capital StockholdersEquityIncludingPortionAttributableToNoncontrollingInterest $1.39B USD Point-in-time
Total unitholders capital StockholdersEquityIncludingPortionAttributableToNoncontrollingInterest $1.71B USD Point-in-time
Total unitholders capital StockholdersEquityIncludingPortionAttributableToNoncontrollingInterest $1.77B USD Point-in-time
Total unitholders capital StockholdersEquityIncludingPortionAttributableToNoncontrollingInterest $1.53B USD Point-in-time
Total liabilities and unitholders capital LiabilitiesAndStockholdersEquity $48.43B USD Point-in-time
Total liabilities and unitholders capital LiabilitiesAndStockholdersEquity $45.26B USD Point-in-time
Income Statement 48 line items
Line Item Tag Value Unit Period
Management fees InvestmentAdvisoryFees $40.43M USD 1 Quarter
Management fees InvestmentAdvisoryFees $42.54M USD 1 Quarter
Total revenues Revenues $42.54M USD 1 Quarter
Total revenues Revenues $40.43M USD 1 Quarter
Compensation and benefits CompensationAndBenefits $93.72M USD 1 Quarter
Compensation and benefits CompensationAndBenefits $98.29M USD 1 Quarter
Equity-based compensation ShareBasedCompensation $6.45M USD 1 Quarter
Equity-based compensation ShareBasedCompensation $9.18M USD 1 Quarter
Incentive income compensation IncentiveIncomeCompensation $91.49M USD 1 Quarter
Incentive income compensation IncentiveIncomeCompensation $130.27M USD 1 Quarter
Total compensation and benefits expense LaborAndRelatedExpense $230.44M USD 1 Quarter
Total compensation and benefits expense LaborAndRelatedExpense $198.97M USD 1 Quarter
General and administrative GeneralAndAdministrativeExpense $32.24M USD 1 Quarter
General and administrative GeneralAndAdministrativeExpense $19.74M USD 1 Quarter
Depreciation and amortization DepreciationDepletionAndAmortization $1.92M USD 1 Quarter
Depreciation and amortization DepreciationDepletionAndAmortization $1.74M USD 1 Quarter
Consolidated fund expenses ConsolidatedFundExpenses $25.19M USD 1 Quarter
Consolidated fund expenses ConsolidatedFundExpenses $23.58M USD 1 Quarter
Total expenses CostsAndExpenses $275.50M USD 1 Quarter
Total expenses CostsAndExpenses $258.32M USD 1 Quarter
Interest expense InterestExpense $24.00M USD 1 Quarter
Interest expense InterestExpense $11.58M USD 1 Quarter
Interest and dividend income InvestmentIncomeInterestAndDividend $406.25M USD 1 Quarter
Interest and dividend income InvestmentIncomeInterestAndDividend $362.14M USD 1 Quarter
Investment income IncomeLossFromEquityMethodInvestments $12.24M USD 1 Quarter
Investment income IncomeLossFromEquityMethodInvestments $4.99M USD 1 Quarter
Other income (expense), net OtherNonoperatingIncomeExpense $-1.70M USD 1 Quarter
Other income (expense), net OtherNonoperatingIncomeExpense $-20.00K USD 1 Quarter
Total other income NonoperatingIncomeExpense $1.77B USD 1 Quarter
Total other income NonoperatingIncomeExpense $2.63B USD 1 Quarter
Income before income taxes IncomeLossFromContinuingOperationsBeforeIncomeTaxesExtraordinaryItemsNoncontrollingInterest $1.55B USD 1 Quarter
Income before income taxes IncomeLossFromContinuingOperationsBeforeIncomeTaxesExtraordinaryItemsNoncontrollingInterest $2.39B USD 1 Quarter
Income taxes IncomeTaxExpenseBenefit $7.99M USD 1 Quarter
Income taxes IncomeTaxExpenseBenefit $10.16M USD 1 Quarter
Net income ProfitLoss $2.38B USD 1 Quarter
Net income ProfitLoss $1.54B USD 1 Quarter
Net income attributable to non-controlling redeemable interests in consolidated funds NetIncomeLossAttributableToRedeemableNoncontrollingInterest $2.06B USD 1 Quarter
Net income attributable to non-controlling redeemable interests in consolidated funds NetIncomeLossAttributableToRedeemableNoncontrollingInterest $1.32B USD 1 Quarter
Net income attributable to OCGH non-controlling interest in consolidated subsidiaries NetIncomeLossAttributableToNoncontrollingInterest $262.02M USD 1 Quarter
Net income attributable to OCGH non-controlling interest in consolidated subsidiaries NetIncomeLossAttributableToNoncontrollingInterest $163.56M USD 1 Quarter
Net income attributable to Oaktree Capital Group, LLC NetIncomeLoss $57.57M USD 1 Quarter
Net income attributable to Oaktree Capital Group, LLC NetIncomeLoss $51.79M USD 1 Quarter
Distributions declared per Class A unit (in dollars per share) CommonStockDividendsPerShareDeclared $1.05 USD 1 Quarter
Distributions declared per Class A unit (in dollars per share) CommonStockDividendsPerShareDeclared $1.00 USD 1 Quarter
Net income per Class A unit (in dollars per share) EarningsPerShareBasicAndDiluted $1.91 USD 1 Quarter
Net income per Class A unit (in dollars per share) EarningsPerShareBasicAndDiluted $1.30 USD 1 Quarter
Weighted average number of Class A units outstanding (in shares) WeightedAverageNumberOfShareOutstandingBasicAndDiluted 30.19M shares 1 Quarter
Weighted average number of Class A units outstanding (in shares) WeightedAverageNumberOfShareOutstandingBasicAndDiluted 39.70M shares 1 Quarter
Cash Flow Statement 59 line items
Line Item Tag Value Unit Period
Net income ProfitLoss $2.38B USD 1 Quarter
Net income ProfitLoss $1.54B USD 1 Quarter
Investment income IncomeLossFromEquityMethodInvestments $12.24M USD 1 Quarter
Investment income IncomeLossFromEquityMethodInvestments $4.99M USD 1 Quarter
Depreciation and amortization DepreciationDepletionAndAmortization $1.92M USD 1 Quarter
Depreciation and amortization DepreciationDepletionAndAmortization $1.74M USD 1 Quarter
Equity-based compensation ShareBasedCompensation $6.45M USD 1 Quarter
Equity-based compensation ShareBasedCompensation $9.18M USD 1 Quarter
Amortization of original issue and market discount of consolidated funds' investments AmortizationOfOriginalIssueAndMarketDiscountOfConsolidatedFundsInvestments $13.49M USD 1 Quarter
Amortization of original issue and market discount of consolidated funds' investments AmortizationOfOriginalIssueAndMarketDiscountOfConsolidatedFundsInvestments $31.09M USD 1 Quarter
Income distributions from corporate investments in companies EquityMethodInvestmentDividendsOrDistributions $17.49M USD 1 Quarter
Income distributions from corporate investments in companies EquityMethodInvestmentDividendsOrDistributions $15.45M USD 1 Quarter
(Increase) decrease in other assets IncreaseDecreaseInOtherOperatingAssets $-102.34M USD 1 Quarter
(Increase) decrease in other assets IncreaseDecreaseInOtherOperatingAssets $104.35M USD 1 Quarter
Decrease in net due to affiliates IncreaseDecreaseInDueToRelatedParties $-7.29M USD 1 Quarter
Decrease in net due to affiliates IncreaseDecreaseInDueToRelatedParties $-1.61M USD 1 Quarter
Decrease in accounts payable, accrued expenses and other liabilities IncreaseDecreaseInAccountsPayableAndAccruedLiabilities $-102.56M USD 1 Quarter
Decrease in accounts payable, accrued expenses and other liabilities IncreaseDecreaseInAccountsPayableAndAccruedLiabilities $-9.02M USD 1 Quarter
Purchases of securities PaymentsToAcquireInvestments $258.20M USD Point-in-time
Net cash provided by (used in) operating activities NetCashProvidedByUsedInOperatingActivities $2.26B USD 1 Quarter
Net cash provided by (used in) operating activities NetCashProvidedByUsedInOperatingActivities $-984.27M USD 1 Quarter
Purchases of U.S. Treasury and government-agency securities PaymentsToAcquireMarketableSecurities $70.15M USD 1 Quarter
Purchases of U.S. Treasury and government-agency securities PaymentsToAcquireMarketableSecurities - USD 1 Quarter
Proceeds from maturities and sales of U.S. Treasury and government-agency securities ProceedsFromSaleAndMaturityOfMarketableSecurities $316.04M USD 1 Quarter
Proceeds from maturities and sales of U.S. Treasury and government-agency securities ProceedsFromSaleAndMaturityOfMarketableSecurities $90.00M USD 1 Quarter
Corporate investments in funds and companies PaymentsToAcquireEquityMethodInvestments $22.04M USD 1 Quarter
Corporate investments in funds and companies PaymentsToAcquireEquityMethodInvestments $1.96M USD 1 Quarter
Distributions from corporate investments in funds and companies ProceedsFromEquityMethodInvestmentDividendsOrDistributionsReturnOfCapital $2.77M USD 1 Quarter
Distributions from corporate investments in funds and companies ProceedsFromEquityMethodInvestmentDividendsOrDistributionsReturnOfCapital $8.00K USD 1 Quarter
Purchases of fixed assets PaymentsToAcquirePropertyPlantAndEquipment $126.00K USD 1 Quarter
Purchases of fixed assets PaymentsToAcquirePropertyPlantAndEquipment $1.33M USD 1 Quarter
Net cash provided by investing activities NetCashProvidedByUsedInInvestingActivities $295.45M USD 1 Quarter
Net cash provided by investing activities NetCashProvidedByUsedInInvestingActivities $17.78M USD 1 Quarter
Proceeds from issuance of debt obligations ProceedsFromIssuanceOfDebt $250.00M USD 1 Quarter
Proceeds from issuance of debt obligations ProceedsFromIssuanceOfDebt - USD 1 Quarter
Payment of debt issuance costs PaymentsOfDebtIssuanceCosts - USD 1 Quarter
Payment of debt issuance costs PaymentsOfDebtIssuanceCosts $728.00K USD 1 Quarter
Repayments of debt obligations RepaymentsOfDebt $6.25M USD 1 Quarter
Repayments of debt obligations RepaymentsOfDebt $218.75M USD 1 Quarter
Purchase of OCGH units PaymentsToMinorityShareholders $833.00K USD 1 Quarter
Purchase of OCGH units PaymentsToMinorityShareholders $298.45M USD 1 Quarter
Distributions to Class A unitholders PaymentsOfDividendsCommonStock $38.47M USD 1 Quarter
Distributions to Class A unitholders PaymentsOfDividendsCommonStock $31.69M USD 1 Quarter
Distributions to OCGH unitholders PaymentsOfDividendsMinorityInterest $152.74M USD 1 Quarter
Distributions to OCGH unitholders PaymentsOfDividendsMinorityInterest $140.30M USD 1 Quarter
Net cash provided by (used in) financing activities NetCashProvidedByUsedInFinancingActivities $-1.50B USD 1 Quarter
Net cash provided by (used in) financing activities NetCashProvidedByUsedInFinancingActivities $1.04B USD 1 Quarter
Effect of exchange rate changes on cash EffectOfExchangeRateOnCashAndCashEquivalents $-8.50M USD 1 Quarter
Effect of exchange rate changes on cash EffectOfExchangeRateOnCashAndCashEquivalents $-747.00K USD 1 Quarter
Net increase in cash and cash-equivalents CashAndCashEquivalentsPeriodIncreaseDecrease $771.38M USD 1 Quarter
Net increase in cash and cash-equivalents CashAndCashEquivalentsPeriodIncreaseDecrease $347.30M USD 1 Quarter
Cash and cash-equivalents, beginning balance CashAndCashEquivalentsAtCarryingValueIncludingConsolidatedFunds $2.98B USD Point-in-time
Cash and cash-equivalents, beginning balance CashAndCashEquivalentsAtCarryingValueIncludingConsolidatedFunds $2.93B USD Point-in-time
Cash and cash-equivalents, beginning balance CashAndCashEquivalentsAtCarryingValueIncludingConsolidatedFunds $2.64B USD Point-in-time
Cash and cash-equivalents, beginning balance CashAndCashEquivalentsAtCarryingValueIncludingConsolidatedFunds $3.70B USD Point-in-time
Cash and cash-equivalents, ending balance CashAndCashEquivalentsAtCarryingValueIncludingConsolidatedFunds $2.98B USD Point-in-time
Cash and cash-equivalents, ending balance CashAndCashEquivalentsAtCarryingValueIncludingConsolidatedFunds $2.93B USD Point-in-time
Cash and cash-equivalents, ending balance CashAndCashEquivalentsAtCarryingValueIncludingConsolidatedFunds $2.64B USD Point-in-time
Cash and cash-equivalents, ending balance CashAndCashEquivalentsAtCarryingValueIncludingConsolidatedFunds $3.70B USD Point-in-time
Stockholders Equity 26 line items
Line Item Tag Value Unit Period
Unitholders' capital, value StockholdersEquityIncludingPortionAttributableToNoncontrollingInterest $1.39B USD Point-in-time
Unitholders' capital, value StockholdersEquityIncludingPortionAttributableToNoncontrollingInterest $1.71B USD Point-in-time
Unitholders' capital, value StockholdersEquityIncludingPortionAttributableToNoncontrollingInterest $1.77B USD Point-in-time
Unitholders' capital, value StockholdersEquityIncludingPortionAttributableToNoncontrollingInterest $1.53B USD Point-in-time
Issuance of units, value StockIssuedDuringPeriodValueNewIssues $296.65M USD 1 Quarter
Issuance of units, value StockIssuedDuringPeriodValueNewIssues - USD 1 Quarter
Purchase of OCGH units from OCGH unitholders StockRepurchasedDuringPeriodUnitholdersValue $296.40M USD 1 Quarter
Deferred tax effect resulting from the purchase of OCGH units AdjustmentsToAdditionalPaidInCapitalDeferredTaxEffectOnPurchaseOfUnits $-14.12M USD 1 Quarter
Repurchase and cancellation of OCGH units StockRepurchasedandRetiredDuringPeriodValueNoncontrollingInterestinConsolidatedSubsidiaries $833.00K USD 1 Quarter
Repurchase and cancellation of OCGH units StockRepurchasedandRetiredDuringPeriodValueNoncontrollingInterestinConsolidatedSubsidiaries $2.06M USD 1 Quarter
Equity reallocation between controlling and non-controlling interests NoncontrollingInterestIncreaseFromSubsidiaryEquityIssuance $-887.00K USD 1 Quarter
Equity reallocation between controlling and non-controlling interests NoncontrollingInterestIncreaseFromSubsidiaryEquityIssuance $49.10M USD 1 Quarter
Capital increase related to equity-based compensation AdjustmentsToAdditionalPaidInCapitalSharebasedCompensationRequisiteServicePeriodRecognitionValue $6.45M USD 1 Quarter
Capital increase related to equity-based compensation AdjustmentsToAdditionalPaidInCapitalSharebasedCompensationRequisiteServicePeriodRecognitionValue $9.18M USD 1 Quarter
Distributions declared DividendsCommonStockCash $184.43M USD 1 Quarter
Distributions declared DividendsCommonStockCash $178.78M USD 1 Quarter
Net income NetIncomeLossIncludingNoncontrollingInterestInConsolidatedSubsidiaries $215.35M USD 1 Quarter
Net income NetIncomeLossIncludingNoncontrollingInterestInConsolidatedSubsidiaries $319.58M USD 1 Quarter
Foreign currency translation adjustment, net of tax OtherComprehensiveIncomeLossForeignCurrencyTransactionAndTranslationAdjustmentNetOfTax $-3.34M USD 1 Quarter
Foreign currency translation adjustment, net of tax OtherComprehensiveIncomeLossForeignCurrencyTransactionAndTranslationAdjustmentNetOfTax $343.00K USD 1 Quarter
Unrealized gain on interest-rate swap designated as cash-flow hedge, net of tax OtherComprehensiveIncomeLossDerivativesQualifyingAsHedgesNetOfTax $540.00K USD 1 Quarter
Unrealized gain on interest-rate swap designated as cash-flow hedge, net of tax OtherComprehensiveIncomeLossDerivativesQualifyingAsHedgesNetOfTax $-610.00K USD 1 Quarter
Unitholders' capital, value StockholdersEquityIncludingPortionAttributableToNoncontrollingInterest $1.39B USD Point-in-time
Unitholders' capital, value StockholdersEquityIncludingPortionAttributableToNoncontrollingInterest $1.71B USD Point-in-time
Unitholders' capital, value StockholdersEquityIncludingPortionAttributableToNoncontrollingInterest $1.77B USD Point-in-time
Unitholders' capital, value StockholdersEquityIncludingPortionAttributableToNoncontrollingInterest $1.53B USD Point-in-time
Comprehensive Income 14 line items
Line Item Tag Value Unit Period
Net income ProfitLoss $2.38B USD 1 Quarter
Net income ProfitLoss $1.54B USD 1 Quarter
Foreign currency translation adjustments OtherComprehensiveIncomeLossForeignCurrencyTransactionAndTranslationAdjustmentNetOfTax $-3.34M USD 1 Quarter
Foreign currency translation adjustments OtherComprehensiveIncomeLossForeignCurrencyTransactionAndTranslationAdjustmentNetOfTax $343.00K USD 1 Quarter
Unrealized loss on interest-rate swap designated as cash-flow hedge OtherComprehensiveIncomeUnrealizedGainLossOnDerivativesArisingDuringPeriodNetOfTax $-610.00K USD 1 Quarter
Unrealized loss on interest-rate swap designated as cash-flow hedge OtherComprehensiveIncomeUnrealizedGainLossOnDerivativesArisingDuringPeriodNetOfTax $540.00K USD 1 Quarter
Other comprehensive loss, net of tax OtherComprehensiveIncomeLossNetOfTax $-267.00K USD 1 Quarter
Other comprehensive loss, net of tax OtherComprehensiveIncomeLossNetOfTax $-2.80M USD 1 Quarter
Total comprehensive income ComprehensiveIncomeNetOfTaxIncludingPortionAttributableToNoncontrollingInterest $2.38B USD 1 Quarter
Total comprehensive income ComprehensiveIncomeNetOfTaxIncludingPortionAttributableToNoncontrollingInterest $1.54B USD 1 Quarter
Less: Comprehensive income attributable to non-controlling interests ComprehensiveIncomeNetOfTaxAttributableToNoncontrollingInterest $2.32B USD 1 Quarter
Less: Comprehensive income attributable to non-controlling interests ComprehensiveIncomeNetOfTaxAttributableToNoncontrollingInterest $1.49B USD 1 Quarter
Comprehensive income attributable to Oaktree Capital Group, LLC ComprehensiveIncomeNetOfTax $57.00M USD 1 Quarter
Comprehensive income attributable to Oaktree Capital Group, LLC ComprehensiveIncomeNetOfTax $51.73M USD 1 Quarter

Data is extracted from SEC EDGAR XBRL filings. Values shown are as reported in the filing.

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