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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 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) | ||
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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 | |
| Newlight Partners LP 320 PARK AVENUE NEW YORK, NY 10022 |
X | X | ||
| Newlight Harbour Point SPV LLC C/O NEWLIGHT PARTNERS LP 320 PARK AVENUE NEW YORK, NY 10022 |
X | |||
| Newlight GP LLC C/O NEWLIGHT PARTNERS LP 320 PARK AVENUE NEW YORK, NY 10022 |
X | |||
| Yadav Ravi C/O NEWLIGHT PARTNERS LP 320 PARK AVENUE NEW YORK, NY 10022 |
X | |||
| WASSONG DAVID C/O NEWLIGHT PARTNERS LP 320 PARK AVENUE NEW YORK, NY 10022 |
X | |||
| Newlight Harbour Point SPV LLC, /s/ David Taylor, as attorney-in fact | 04/27/2023 | |
| **Signature of Reporting Person | Date | |
| Newlight Partners LP, By: Newlight GP LLC, its general partner /s/ David Taylor, as attorney-in fact | 04/27/2023 | |
| **Signature of Reporting Person | Date | |
| Newlight GP LLC, /s/ David Taylor, as attorney-in fact | 04/27/2023 | |
| **Signature of Reporting Person | Date | |
| /s/ David Taylor, as attorney-in-fact for Ravi Yadav | 04/27/2023 | |
| **Signature of Reporting Person | Date | |
| /s/ David Taylor, as attorney-in-fact for David Wassong | 04/27/2023 | |
| **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) | Reflects bona fide charitable gifts of 40,000 shares of common stock, par value $0.001 ("Common Stock") per share of Oak Street Health, Inc. (the "Company") by each of Ravi Yadav and David Wassong to certain charitable institutions for no consideration. |
| (2) | Represents Common Stock held directly by Newlight Harbour Point SPV LLC ("SPV"). Newlight Partners LP controls SPV and serves as the exclusive investment manager to its client in respect of shares held by SPV. The general partner of Newlight Partners LP is Newlight GP LLC. The sole members of Newlight GP LLC are Ravi Yadav and David Wassong. |
| Remarks: The Reporting Persons may be deemed to be directors-by-deputization for the purpose of Section 16 of the Securities Exchange Act of 1934 as a result of the service of Srdjan Vukovic on the Board of Directors of the Company because Mr. Vukovic is an employee of Newlight Partners LP or one of its affiliates. Each of Newlight Partners LP, Newlight GP LLC, Ravi Yadav and David Wassong disclaims beneficial ownership of the shares of Common Stock of the Company, except to the extent of its pecuniary interest therein, and the inclusion of the Common Stock in any Section 16 report by such Reporting Persons shall not be deemed to be an admission of beneficial ownership of the Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
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