ECC

SEC source: 0001621022-26-000001 · primary_doc.xml · nonDerivative · entry 1

Ko Daniel W. · CIK 0001621022 · Sr Principal/Portfolio Manager

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,665

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.49 to $3.50, inclusive. Upon request by the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, the reporting person undertakes to provide full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001104659-26-027666 · tm268807-1_4seq1.xml · nonDerivative · entry 1

Onorio Kenneth P. · CIK 0001620746 · CFO / COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 205,756

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.72 to $3.75, inclusive. Upon request by the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, the reporting person undertakes to provide full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: Includes shares acquired through the Issuer's dividend reinvestment plan.

SEC source: 0001104659-25-026722 · tm2510002-1_4seq1.xml · nonDerivative · entry 1

Majewski Thomas P. · CIK 0001617694 · Director · Chief Executive Officer · Portfolio Manager

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,086.9565

SEC source: 0001620746-25-000001 · primary_doc.xml · nonDerivative · entry 1

Onorio Kenneth P. · CIK 0001620746 · CFO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,883

F1 · balance_after: Includes shares acquired through the Issuer's dividend reinvestment plan.

SEC source: 0001620746-24-000002 · primary_doc.xml · nonDerivative · entry 1

Onorio Kenneth P. · CIK 0001620746 · CFO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,314

F1 · balance_after: Includes shares acquired through the Issuer's dividend reinvestment plan.

SEC source: 0001620746-24-000001 · primary_doc.xml · nonDerivative · entry 1

Onorio Kenneth P. · CIK 0001620746 · CFO/COO

10b5-1 filing: No plan indicated

Ownership: Indirect · By Children

Disclosed balance after: 898

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.72 to $9.73, inclusive. Upon request by the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, the reporting person undertakes to provide full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: Includes shares acquired through the Issuer's dividend reinvestment plan.

F1 · ownership.nature: These shares are held in accounts for the benefit of Kenneth Onorio's children. Kenneth Onorio has investment authority over these accounts. Kenneth Onorio disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

SEC source: 0001617694-23-000001 · primary_doc.xml · nonDerivative · entry 1

Majewski Thomas P. · CIK 0001617694 · Director · CEO · Portfolio Manager

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,000

SEC source: 0001209191-23-022780 · doc4.xml · nonDerivative · entry 1

Trident V Parallel Fund, L.P. · CIK 0001492068 · 10% owner

Trident Capital V-PF, L.P. · CIK 0001621505 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On March 31, 2023, all shares of Eagle Point Credit Co Inc. held by Trident V Parallel Fund, L.P. ("Trident V Parallel") and Trident Capital V-PF, L.P. ("Trident V Parallel GP") were transferred to Trident ECC Aggregator LP ("Aggregator") in exchange for equity interests in Aggregator.

F1 · shares: On March 31, 2023, all shares of Eagle Point Credit Co Inc. held by Trident V Parallel Fund, L.P. ("Trident V Parallel") and Trident Capital V-PF, L.P. ("Trident V Parallel GP") were transferred to Trident ECC Aggregator LP ("Aggregator") in exchange for equity interests in Aggregator.

F1 · balance_after: On March 31, 2023, all shares of Eagle Point Credit Co Inc. held by Trident V Parallel Fund, L.P. ("Trident V Parallel") and Trident Capital V-PF, L.P. ("Trident V Parallel GP") were transferred to Trident ECC Aggregator LP ("Aggregator") in exchange for equity interests in Aggregator.

F2 · ownership.direct: This Form 4 is being filed jointly by Trident V Parallel and Trident V Parallel GP. Trident V Parallel GP, as the general partner of Trident V Parallel, may be deemed a beneficial owner of securities held by Trident V Parallel, but disclaims such beneficial ownership except to the extent of Trident V Parallel GP's pecuniary interest therein.

SEC source: 0001209191-23-022775 · doc4.xml · nonDerivative · entry 1

TRIDENT V, L.P. · CIK 0001459925 · 10% owner

Trident Capital V, L.P. · CIK 0001621506 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On March 31, 2023, all shares of Eagle Point Credit Co Inc. held by Trident V, L.P. ("Trident V") and Trident Capital V, L.P. ("Trident V GP") were transferred to Trident ECC Aggregator LP ("Aggregator") in exchange for equity interests in Aggregator.

F1 · shares: On March 31, 2023, all shares of Eagle Point Credit Co Inc. held by Trident V, L.P. ("Trident V") and Trident Capital V, L.P. ("Trident V GP") were transferred to Trident ECC Aggregator LP ("Aggregator") in exchange for equity interests in Aggregator.

F1 · balance_after: On March 31, 2023, all shares of Eagle Point Credit Co Inc. held by Trident V, L.P. ("Trident V") and Trident Capital V, L.P. ("Trident V GP") were transferred to Trident ECC Aggregator LP ("Aggregator") in exchange for equity interests in Aggregator.

F2 · ownership.direct: This Form 4 is being filed jointly by Trident V and Trident V GP. Trident V GP, as the general partner of Trident V, may be deemed a beneficial owner of securities held by Trident V, but disclaims such beneficial ownership except to the extent of Trident V GP's pecuniary interest therein.

SEC source: 0001620746-22-000006 · primary_doc.xml · nonDerivative · entry 1

Onorio Kenneth P. · CIK 0001620746 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Children

Disclosed balance after: 411

F2 · balance_after: Includes shares acquired through the Issuer's dividend reinvestment plan.

F1 · ownership.nature: These shares are held in accounts for the benefit of Kenneth Onorio's children. Kenneth Onorio has investment authority over these accounts. Kenneth Onorio disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

SEC source: 0001620746-22-000005 · primary_doc.xml · nonDerivative · entry 1

Onorio Kenneth P. · CIK 0001620746 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Children

Disclosed balance after: 271

F1 · balance_after: Includes shares acquired through the Issuer's dividend reinvestment plan.

F2 · ownership.nature: These shares are held in accounts for the benefit of Kenneth Onorio's children. Kenneth Onorio has investment authority over these accounts. Kenneth Onorio disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

SEC source: 0001617694-22-000006 · primary_doc.xml · nonDerivative · entry 1

Majewski Thomas P. · CIK 0001617694 · Director · Chief Executive Officer · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Indirect · By Majewski Family 2022 Holdings LLC

Disclosed balance after: Not disclosed

F1 · shares: The amount reported reflects the aggregate principal amount of the notes.

F2 · price: The price reported in Column 4 is the amount paid excluding any transactions costs.

F1 · valueOwnedAfter: The amount reported reflects the aggregate principal amount of the notes.

F3 · ownership.nature: These securities are held by Mr. Majewski through Majewski Family 2022 Holdings LLC, a limited liability company of which Mr. Majewski is the sole member.

SEC source: 0000899243-22-010317 · doc4.xml · nonDerivative · entry 1

OA Eagle Group Investors, LLC · CIK 0001740874 · See Remarks below

OA Eagle Group Investors II, LLC · CIK 0001741110 · See Remarks below

Ottawa Avenue Private Capital, LLC · CIK 0001741108 · See Remarks below

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 470,386

F1 · shares: Consists of 185 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 177 shares of Common Stock sold by OA Eagle Group Investors II, LLC ("OAEG II").

F2 · balance_after: Represents 239,895 shares of Common Stock directly owned by OAEG and 230,491 shares of Common Stock directly owned by OAEG II.

F3 · balance_after: 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.

F4 · balance_after: 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.

F2 · ownership.direct: Represents 239,895 shares of Common Stock directly owned by OAEG and 230,491 shares of Common Stock directly owned by OAEG II.

F3 · ownership.direct: 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.

F4 · ownership.direct: 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.

SEC source: 0001621014-22-000003 · primary_doc.xml · nonDerivative · entry 1

Spinner Daniel M. · CIK 0001621014 · Principal & Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The securities were called for redemption by the Issuer at their stated redemption price (plus accrued but unpaid interest).

SEC source: 0001617694-22-000003 · primary_doc.xml · nonDerivative · entry 1

Majewski Thomas P. · CIK 0001617694 · Director · Chief Executive Officer · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The securities were called for redemption by the Issuer at their stated redemption price (plus accrued but unpaid interest).

SEC source: 0001620746-22-000001 · primary_doc.xml · nonDerivative · entry 1

Onorio Kenneth P. · CIK 0001620746 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Children

Disclosed balance after: 175

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.10 to $14.12, inclusive. Upon request by the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, the reporting person undertakes to provide full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: These shares are held in accounts for the benefit of Kenneth Onorio's children. Kenneth Onorio has investment authority over these accounts. Kenneth Onorio disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-22-007051 · doc4.xml · nonDerivative · entry 1

OA Eagle Group Investors, LLC · CIK 0001740874 · See Remarks below

OA Eagle Group Investors II, LLC · CIK 0001741110 · See Remarks below

Ottawa Avenue Private Capital, LLC · CIK 0001741108 · See Remarks below

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 470,748

F1 · shares: Consists of 27,006 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 25,947 shares of Common Stock sold by OA Eagle Group Investors II, LLC ("OAEG II").

F2 · balance_after: Includes 7,966 shares of Common Stock and 7,653 shares of Common Stock received by OAEG and OAEG II, respectively, in a distribution from the Issuer on June 27, 2018. These shares were omitted from prior filings due to administrative error.

F3 · balance_after: Represents 240,080 shares of Common Stock directly owned by OAEG and 230,668 shares of Common Stock directly owned by OAEG II.

F4 · balance_after: 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.

F5 · balance_after: 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.

F3 · ownership.direct: Represents 240,080 shares of Common Stock directly owned by OAEG and 230,668 shares of Common Stock directly owned by OAEG II.

F4 · ownership.direct: 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.

F5 · ownership.direct: 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.

SEC source: 0000899243-22-006690 · doc4.xml · nonDerivative · entry 3

OA Eagle Group Investors, LLC · CIK 0001740874 · See Remarks below

OA Eagle Group Investors II, LLC · CIK 0001741110 · See Remarks below

Ottawa Avenue Private Capital, LLC · CIK 0001741108 · See Remarks below

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 508,082

F5 · shares: Consists of 138 shares of Common Stock sold by OAEG and 133 shares of Common Stock sold by OAEG II.

F6 · balance_after: Represents 259,120 shares of Common Stock directly owned by OAEG and 248,962 shares of Common Stock directly owned by OAEG II.

F7 · balance_after: 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.

F8 · balance_after: 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.

F6 · ownership.direct: Represents 259,120 shares of Common Stock directly owned by OAEG and 248,962 shares of Common Stock directly owned by OAEG II.

F7 · ownership.direct: 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.

F8 · ownership.direct: 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.

SEC source: 0000899243-22-006690 · doc4.xml · nonDerivative · entry 2

OA Eagle Group Investors, LLC · CIK 0001740874 · See Remarks below

OA Eagle Group Investors II, LLC · CIK 0001741110 · See Remarks below

Ottawa Avenue Private Capital, LLC · CIK 0001741108 · See Remarks below

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 508,353

F3 · shares: Consists of 39,606 shares of Common Stock sold by OAEG and 38,052 shares of Common Stock sold by OAEG II.

F4 · balance_after: Represents 259,258 shares of Common Stock directly owned by OAEG and 249,095 shares of Common Stock directly owned by OAEG II.

F7 · balance_after: 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.

F8 · balance_after: 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.

F4 · ownership.direct: Represents 259,258 shares of Common Stock directly owned by OAEG and 249,095 shares of Common Stock directly owned by OAEG II.

F7 · ownership.direct: 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.

F8 · ownership.direct: 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.

SEC source: 0000899243-22-006690 · doc4.xml · nonDerivative · entry 1

OA Eagle Group Investors, LLC · CIK 0001740874 · See Remarks below

OA Eagle Group Investors II, LLC · CIK 0001741110 · See Remarks below

Ottawa Avenue Private Capital, LLC · CIK 0001741108 · See Remarks below

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 586,011

F1 · shares: Consists of 123,097 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 118,269 shares of Common Stock sold by OA Eagle Group Investors II, LLC ("OAEG II").

F2 · balance_after: Represents 298,864 shares of Common Stock directly owned by OAEG and 287,147 shares of Common Stock directly owned by OAEG II.

F7 · balance_after: 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.

F8 · balance_after: 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.

F2 · ownership.direct: Represents 298,864 shares of Common Stock directly owned by OAEG and 287,147 shares of Common Stock directly owned by OAEG II.

F7 · ownership.direct: 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.

F8 · ownership.direct: 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.

SEC source: 0001621014-22-000002 · primary_doc.xml · nonDerivative · entry 4

Spinner Daniel M. · CIK 0001621014 · Principal & Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: Not disclosed

F1 · shares: The amount reported reflects the aggregate principal amount of notes.

F2 · price: The securities were called for redemption by the Issuer at their stated redemption price (plus accrued but unpaid interest).

F1 · valueOwnedAfter: The amount reported reflects the aggregate principal amount of notes.

F3 · ownership.nature: These securities are held in an account for the benefit of Daniel Spinner's spouse. Daniel Spinner has investment authority over this account. Daniel Spinner disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.

SEC source: 0001621014-22-000002 · primary_doc.xml · nonDerivative · entry 3

Spinner Daniel M. · CIK 0001621014 · Principal & Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: Not disclosed

F1 · shares: The amount reported reflects the aggregate principal amount of notes.

F2 · price: The securities were called for redemption by the Issuer at their stated redemption price (plus accrued but unpaid interest).

F3 · ownership.nature: These securities are held in an account for the benefit of Daniel Spinner's spouse. Daniel Spinner has investment authority over this account. Daniel Spinner disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.

SEC source: 0001621014-22-000002 · primary_doc.xml · nonDerivative · entry 2

Spinner Daniel M. · CIK 0001621014 · Principal & Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

F1 · shares: The amount reported reflects the aggregate principal amount of notes.

F2 · price: The securities were called for redemption by the Issuer at their stated redemption price (plus accrued but unpaid interest).

F1 · valueOwnedAfter: The amount reported reflects the aggregate principal amount of notes.

SEC source: 0001621014-22-000002 · primary_doc.xml · nonDerivative · entry 1

Spinner Daniel M. · CIK 0001621014 · Principal & Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

F1 · shares: The amount reported reflects the aggregate principal amount of notes.

F2 · price: The securities were called for redemption by the Issuer at their stated redemption price (plus accrued but unpaid interest).

SEC source: 0001617694-22-000002 · primary_doc.xml · nonDerivative · entry 2

Majewski Thomas P. · CIK 0001617694 · Director · Chief Executive Officer · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: The amount reported reflects the aggregate principal amount of the notes.

F2 · price: The securities were called for redemption by the Issuer at their stated redemption price (plus accrued but unpaid interest).

F1 · balance_after: The amount reported reflects the aggregate principal amount of the notes.

SEC source: 0001617694-22-000002 · primary_doc.xml · nonDerivative · entry 1

Majewski Thomas P. · CIK 0001617694 · Director · Chief Executive Officer · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,725

F1 · shares: The amount reported reflects the aggregate principal amount of the notes.

F2 · price: The securities were called for redemption by the Issuer at their stated redemption price (plus accrued but unpaid interest).

F1 · balance_after: The amount reported reflects the aggregate principal amount of the notes.

SEC source: 0000899243-22-005973 · doc4.xml · nonDerivative · entry 2

OA Eagle Group Investors, LLC · CIK 0001740874 · See Remarks below

OA Eagle Group Investors II, LLC · CIK 0001741110 · See Remarks below

Ottawa Avenue Private Capital, LLC · CIK 0001741108 · See Remarks below

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 827,377

F3 · shares: Consists of 717 shares of Common Stock sold by OAEG and 688 shares of Common Stock sold by OAEG II.

F4 · balance_after: Represents 421,961 shares of Common Stock directly owned by OAEG and 405,416 shares of Common Stock directly owned by OAEG II.

F5 · balance_after: 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.

F6 · balance_after: 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.

F4 · ownership.direct: Represents 421,961 shares of Common Stock directly owned by OAEG and 405,416 shares of Common Stock directly owned by OAEG II.

F5 · ownership.direct: 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.

F6 · ownership.direct: 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.

SEC source: 0000899243-22-005973 · doc4.xml · nonDerivative · entry 1

OA Eagle Group Investors, LLC · CIK 0001740874 · See Remarks below

OA Eagle Group Investors II, LLC · CIK 0001741110 · See Remarks below

Ottawa Avenue Private Capital, LLC · CIK 0001741108 · See Remarks below

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 828,782

F1 · shares: Consists of 53,123 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 51,039 shares of Common Stock sold by OA Eagle Group Investors II, LLC ("OAEG II").

F2 · balance_after: Represents 422,678 shares of Common Stock directly owned by OAEG and 406,104 shares of Common Stock directly owned by OAEG II.

F5 · balance_after: 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.

F6 · balance_after: 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.

F2 · ownership.direct: Represents 422,678 shares of Common Stock directly owned by OAEG and 406,104 shares of Common Stock directly owned by OAEG II.

F5 · ownership.direct: 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.

F6 · ownership.direct: 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.

SEC source: 0000899243-22-005269 · doc4.xml · nonDerivative · entry 3

OA Eagle Group Investors, LLC · CIK 0001740874 · See Remarks below

OA Eagle Group Investors II, LLC · CIK 0001741110 · See Remarks below

Ottawa Avenue Private Capital, LLC · CIK 0001741108 · See Remarks below

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 932,944

F5 · shares: Consists of 26,654 shares of Common Stock sold by OAEG and 25,608 shares of Common Stock sold by OAEG II.

F6 · balance_after: Represents 475,801 shares of Common Stock directly owned by OAEG and 457,143 shares of Common Stock directly owned by OAEG II.

F7 · balance_after: 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.

F8 · balance_after: 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.

F6 · ownership.direct: Represents 475,801 shares of Common Stock directly owned by OAEG and 457,143 shares of Common Stock directly owned by OAEG II.

F7 · ownership.direct: 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.

F8 · ownership.direct: 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.

SEC source: 0000899243-22-005269 · doc4.xml · nonDerivative · entry 2

OA Eagle Group Investors, LLC · CIK 0001740874 · See Remarks below

OA Eagle Group Investors II, LLC · CIK 0001741110 · See Remarks below

Ottawa Avenue Private Capital, LLC · CIK 0001741108 · See Remarks below

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 985,206

F3 · shares: Consists of 14,664 shares of Common Stock sold by OAEG and 14,089 shares of Common Stock sold by OAEG II.

F4 · balance_after: Represents 502,455 shares of Common Stock directly owned by OAEG and 482,751 shares of Common Stock directly owned by OAEG II.

F7 · balance_after: 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.

F8 · balance_after: 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.

F4 · ownership.direct: Represents 502,455 shares of Common Stock directly owned by OAEG and 482,751 shares of Common Stock directly owned by OAEG II.

F7 · ownership.direct: 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.

F8 · ownership.direct: 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.

SEC source: 0000899243-22-005269 · doc4.xml · nonDerivative · entry 1

OA Eagle Group Investors, LLC · CIK 0001740874 · See Remarks below

OA Eagle Group Investors II, LLC · CIK 0001741110 · See Remarks below

Ottawa Avenue Private Capital, LLC · CIK 0001741108 · See Remarks below

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,013,959

F1 · shares: 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").

F2 · balance_after: Represents 517,119 shares of Common Stock directly owned by OAEG and 496,840 shares of Common Stock directly owned by OAEG II.

F7 · balance_after: 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.

F8 · balance_after: 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.

F2 · ownership.direct: Represents 517,119 shares of Common Stock directly owned by OAEG and 496,840 shares of Common Stock directly owned by OAEG II.

F7 · ownership.direct: 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.

F8 · ownership.direct: 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.

SEC source: 0000899243-22-002132 · doc4.xml · nonDerivative · entry 1

OA Eagle Group Investors, LLC · CIK 0001740874 · See Remarks below

OA Eagle Group Investors II, LLC · CIK 0001741110 · See Remarks below

Ottawa Avenue Private Capital, LLC · CIK 0001741108 · See Remarks below

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,084,549

F1 · shares: Consists of 5,351 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 5,141 shares of Common Stock sold by OA Eagle Group Investors II, LLC ("OAEG II").

F2 · balance_after: Represents 621,460 shares of Common Stock directly owned by OAEG and 597,089 shares of Common Stock directly owned by OAEG II.

F3 · balance_after: 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.

F4 · balance_after: 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.

F2 · ownership.direct: Represents 621,460 shares of Common Stock directly owned by OAEG and 597,089 shares of Common Stock directly owned by OAEG II.

F3 · ownership.direct: 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.

F4 · ownership.direct: 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.

SEC source: 0000899243-22-001938 · doc4.xml · nonDerivative · entry 3

OA Eagle Group Investors, LLC · CIK 0001740874 · See Remarks below

OA Eagle Group Investors II, LLC · CIK 0001741110 · See Remarks below

Ottawa Avenue Private Capital, LLC · CIK 0001741108 · See Remarks below

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,095,041

F5 · shares: Consists of 17,340 shares of Common Stock sold by OAEG and 16,660 shares of Common Stock sold by OAEG II.

F6 · balance_after: Represents 558,471 shares of Common Stock directly owned by OAEG and 536,570 shares of Common Stock directly owned by OAEG II.

F7 · balance_after: 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.

F8 · balance_after: 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.

F6 · ownership.direct: Represents 558,471 shares of Common Stock directly owned by OAEG and 536,570 shares of Common Stock directly owned by OAEG II.

F7 · ownership.direct: 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.

F8 · ownership.direct: 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.

SEC source: 0000899243-22-001938 · doc4.xml · nonDerivative · entry 2

OA Eagle Group Investors, LLC · CIK 0001740874 · See Remarks below

OA Eagle Group Investors II, LLC · CIK 0001741110 · See Remarks below

Ottawa Avenue Private Capital, LLC · CIK 0001741108 · See Remarks below

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,129,041

F3 · shares: Consists of 51,000 shares of Common Stock sold by OAEG and 49,000 shares of Common Stock sold by OAEG II.

F4 · balance_after: Represents 575,811 shares of Common Stock directly owned by OAEG and 553,230 shares of Common Stock directly owned by OAEG II.

F7 · balance_after: 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.

F8 · balance_after: 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.

F4 · ownership.direct: Represents 575,811 shares of Common Stock directly owned by OAEG and 553,230 shares of Common Stock directly owned by OAEG II.

F7 · ownership.direct: 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.

F8 · ownership.direct: 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.

SEC source: 0000899243-22-001938 · doc4.xml · nonDerivative · entry 1

OA Eagle Group Investors, LLC · CIK 0001740874 · See Remarks below

OA Eagle Group Investors II, LLC · CIK 0001741110 · See Remarks below

Ottawa Avenue Private Capital, LLC · CIK 0001741108 · See Remarks below

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,229,041

F1 · shares: Consists of 102,000 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 98,000 shares of Common Stock sold by OA Eagle Group Investors II, LLC ("OAEG II").

F2 · balance_after: Represents 626,811 shares of Common Stock directly owned by OAEG and 602,230 shares of Common Stock directly owned by OAEG II.

F7 · balance_after: 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.

F8 · balance_after: 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.

F2 · ownership.direct: Represents 626,811 shares of Common Stock directly owned by OAEG and 602,230 shares of Common Stock directly owned by OAEG II.

F7 · ownership.direct: 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.

F8 · ownership.direct: 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.

SEC source: 0001621014-22-000001 · primary_doc.xml · nonDerivative · entry 1

Spinner Daniel M. · CIK 0001621014 · Principal & Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192

F1 · price: The securities were called for redemption by the Issuer at a price equal to their liquidation preference price (plus accrued but unpaid dividends).

SEC source: 0001617694-22-000001 · primary_doc.xml · nonDerivative · entry 1

Majewski Thomas P. · CIK 0001617694 · Director · Chief Executive Officer · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 995

F1 · price: The securities were called for redemption by the Issuer at a price equal to their liquidation preference price (plus accrued but unpaid dividends).

SEC source: 0001617694-20-000006 · primary_doc.xml · nonDerivative · entry 2

Majewski Thomas P. · CIK 0001617694 · Director · Chief Executive Officer · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

SEC source: 0001617694-20-000006 · primary_doc.xml · nonDerivative · entry 1

Majewski Thomas P. · CIK 0001617694 · Director · Chief Executive Officer · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 891

SEC source: 0001617693-20-000001 · primary_doc.xml · nonDerivative · entry 1

McDonald Kevin F. · CIK 0001617693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,993

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.99 to $6.10, inclusive. Upon request by the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, the reporting person undertakes to provide full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: Includes shares acquired through the Issuer's dividend reinvestment plan.

SEC source: 0001617694-20-000005 · primary_doc.xml · nonDerivative · entry 2

Majewski Thomas P. · CIK 0001617694 · Director · Chief Executive Officer · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,000

F1 · balance_after: This amended Form 4 is being filed to reflect trades executed on May 5, 2020 prior to the filing of the initial Form 4 that may not have been timely reported to the filer by the time of the initial filing.

SEC source: 0001617694-20-000004 · primary_doc.xml · nonDerivative · entry 1

Majewski Thomas P. · CIK 0001617694 · Director · Chief Executive Officer · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,000

SEC source: 0001617695-20-000001 · primary_doc.xml · nonDerivative · entry 1

Appleby Scott W. · CIK 0001617695 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,518

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.06 to $6.09, inclusive. Upon request by the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, the reporting person undertakes to provide full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: Includes shares acquired through the Issuer's dividend reinvestment plan.

SEC source: 0001617694-20-000005 · primary_doc.xml · nonDerivative · entry 1

Majewski Thomas P. · CIK 0001617694 · Director · Chief Executive Officer · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,000

SEC source: 0001646381-20-000002 · primary_doc.xml · nonDerivative · entry 1

Malik Nauman S. · CIK 0001646381 · CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

SEC source: 0001620746-20-000003 · primary_doc.xml · nonDerivative · entry 1

Onorio Kenneth P. · CIK 0001620746 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,394

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.95 to $5.97, inclusive. Upon request by the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, the reporting person undertakes to provide full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: Includes shares acquired through the Issuer's dividend reinvestment plan.

SEC source: 0001620746-20-000002 · primary_doc.xml · nonDerivative · entry 1

Onorio Kenneth P. · CIK 0001620746 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,394

F1 · balance_after: Includes shares acquired through the Issuer's dividend reinvestment plan.

SEC source: 0001617692-20-000001 · primary_doc.xml · nonDerivative · entry 1

Tramontano Paul E. · CIK 0001617692 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,127

F1 · balance_after: Includes shares acquired through the Issuer's dividend reinvestment plan.

SEC source: 0001617694-20-000003 · primary_doc.xml · nonDerivative · entry 1

Majewski Thomas P. · CIK 0001617694 · Director · Chief Executive Officer · Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.53 to $6.55, inclusive. Upon request by the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, the reporting person undertakes to provide full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001621014-20-000001 · primary_doc.xml · nonDerivative · entry 8

Spinner Daniel M. · CIK 0001621014 · Principal & Portfolio Manager

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 166,550

F1 · shares: The amount reported reflects the aggregate principal amount of notes

F9 · price: The price reported in Column 4 is an aggregate purchase price. These notes were purchased at a price of $20.25 per $25 aggregate principal amount.

F1 · balance_after: The amount reported reflects the aggregate principal amount of notes

F7 · ownership.nature: These shares are held in an account for the benefit of Daniel Spinner's spouse. Daniel Spinner has investment authority over this account. Daniel Spinner disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.