SEC Form 3/A · accession 0000905729-18-000127
Eagle Point Credit Co Inc. · ECC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 3/A). It replaces an earlier filing for the same period.
Period of report
May 8, 2018
Accepted (ET)
Jun 19, 2018 · 4:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001604174
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3,F4,F5 | holding | — | — | — | 1,429,041 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Eagle Point Credit Company Inc. (the "Issuer") common stock, par value $0.001 per share ("Common Stock").
- F2OA Eagle Group Investors, LLC ("OAEG") is the direct owner of 728,811 shares of Common Stock reported on this row and OA Eagle Group Investors II, LLC ("OAEG II") is the direct owner of 700,230 shares of Common Stock reported on this row (all of the foregoing shares of Common Stock collectively, the "Shares").
- F3Ottawa Avenue Private Capital, LLC ("Ottawa") is the manager of OAEG and OAEG II and may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), to be the indirect beneficial owner of some or all of the Shares owned by OAEG and OAEG II.
- F4RDV Corporation ("RDV") is the manager of Ottawa and the manager of Dynasty Financial II, LLC ("Dynasty"), the sole member of each of OAEG and OAEG II, and may be deemed for purposes of Section 16 of the Act, to be the indirect beneficial owner of some or all of the Shares owned by OAEG and OAEG II.
- F5Mr. Jerry L. Tubergen is the President, Chief Executive Officer and Chief Investment Officer of Ottawa and the Chief Executive Officer and Chief Investment Officer of RDV. Mr. Tubergen is additionally the trustee of those trusts that hold the controlling interests in Dynasty, the sole member of OAEG and OAEG II. As such, he may be deemed for purposes of Section 16 of the Act to be the indirect beneficial owner of some or all of the Shares owned by OAEG and OAEG II.
Remarks
The Reporting Persons are affiliated persons of an investment adviser of a registered closed-end investment company. This Form 3 is being filed by the joint filers pursuant to Rule 30h-1 of the Investment Company Act to satisfy the requirements of Section 30(h) of the Investment Company Act.