SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 05/08/2018 | 3. Issuer Name and Ticker or Trading Symbol Eagle Point Credit Co Inc. [ ECC ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 05/18/2018 | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock(1) | 1,429,041(2)(3)(4)(5) | D(2)(3)(4)(5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. Eagle Point Credit Company Inc. (the "Issuer") common stock, par value $0.001 per share ("Common Stock"). |
2. OA 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"). |
3. 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 owned by OAEG and OAEG II. |
4. RDV 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. |
5. Mr. 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. |
/s/ Jerry L. Tubergen, Chief Executive Officer | 06/18/2018 | |
/s/ Jerry L. Tubergen, Chief Executive Officer | 06/18/2018 | |
/s/ Jerry L. Tubergen, Chief Executive Officer | 06/18/2018 | |
/s/ Jerry L. Tubergen, Chief Executive Officer | 06/18/2018 | |
/s/ Jerry L. Tubergen | 06/18/2018 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |