SEC Form 4 · accession 0001297704-15-000078
OHA Investment Corp · OHAI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A Stern
Director
Period of report
Dec 18, 2015
Accepted (ET)
Dec 22, 2015 · 10:47 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001297704
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| CommonF1,F2,F3 | Dec 18, 2015 | P | 596 | $3.78 | A | 13,751 | D | |
| CommonF1,F4,F3 | Dec 21, 2015 | P | 2,520 | $3.79 | A | 16,271 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares of common stock of the Issuer purchased pursuant to a trading plan in compliance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Act").
- F2The price shown in Column 4 is the weighted average purchase price of the shares of common stock of the Issuer, par value $0.001 per share, on the transaction date. The price range for the purchases is $3.72 to $3.80 per share. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.
- F3Includes all shares previously purchased pursuant to a trading plan in compliance with Rule 10b5-1 under the Act.
- F4The price shown in Column 4 is the weighted average purchase price of the shares of common stock of the Issuer, par value $0.001 per share, on the transaction date. The price range for the purchases is $3.73 to $3.97 per share. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.