Statement of Changes in Beneficial Ownership (4)
09 Februar 2022 - 12:48AM
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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OMB APPROVAL
OMB Number:
3235-0287
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0.5
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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
*
OA Eagle Group Investors, LLC |
2. Issuer Name and Ticker or Trading Symbol
Eagle Point Credit Co Inc.
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ECC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
_____ Officer (give title below) __X__ Other (specify below)
See Remarks below |
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(Last)
(First)
(Middle)
200 MONROE AVE NW |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/4/2022 |
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(Street)
GRAND RAPIDS, MI 49503
(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 | 2/4/2022 | | S | | 70590 (1) | D | $14.00 | 1013959 (2)(7)(8) | D (2)(7)(8) | |
| Common Stock | 2/7/2022 | | S | | 28753 (3) | D | $14.01 | 985206 (4)(7)(8) | D (4)(7)(8) | |
| Common Stock | 2/8/2022 | | S | | 52262 (5) | D | $14.17 | 932944 (6)(7)(8) | D (6)(7)(8) | |
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) | Consists of 36,001 shares of common stock, par value $0.001 per share ("Common Stock") of Eagle Point Credit Company Inc. (the "Issuer") sold by OA Eagle Group Investors, LLC ("OAEG") and 34,589 shares of Common Stock sold by OA Eagle Group Investors II, LLC ("OAEG II"). |
| (2) | Represents 517,119 shares of Common Stock directly owned by OAEG and 496,840 shares of Common Stock directly owned by OAEG II. |
| (3) | Consists of 14,664 shares of Common Stock sold by OAEG and 14,089 shares of Common Stock sold by OAEG II. |
| (4) | Represents 502,455 shares of Common Stock directly owned by OAEG and 482,751 shares of Common Stock directly owned by OAEG II. |
| (5) | Consists of 26,654 shares of Common Stock sold by OAEG and 25,608 shares of Common Stock sold by OAEG II. |
| (6) | Represents 475,801 shares of Common Stock directly owned by OAEG and 457,143 shares of Common Stock directly owned by OAEG II. |
| (7) | Ottawa 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 of Common Stock owned by OAEG and OAEG II. |
| (8) | Dynasty Financial II, LLC ("Dynasty") is the sole member of OAEG and Dynasty and Ottawa Avenue GP Investment Partners II, LP ("OAGP") are the members of OAEG II. Each of Dynasty and OAGP may be deemed for purposes of Section 16 of the Act, to be the indirect beneficial owner of some or all of the shares of Common Stock 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 4 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. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
OA Eagle Group Investors, LLC
200 MONROE AVE NW
GRAND RAPIDS, MI 49503 |
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| See Remarks below |
OA Eagle Group Investors II, LLC
200 MONROE AVE NW
GRAND RAPIDS, MI 49503 |
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| See Remarks below |
Ottawa Avenue Private Capital, LLC
200 MONROE AVE NW
GRAND RAPIDS, MI 49503 |
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| See Remarks below |
Signatures
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| /s/ Randall Damstra, Chief Executive Officer | | 2/8/2022 |
| **Signature of Reporting Person | Date |
| /s/ Randall Damstra, Chief Executive Officer | | 2/8/2022 |
| **Signature of Reporting Person | Date |
| /s/ Randall Damstra, Chief Executive Officer | | 2/8/2022 |
| **Signature of Reporting Person | Date |
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