ECC

SEC source: 0001621014-20-000001 · primary_doc.xml · nonDerivative · entry 5

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

F5 · price: The price reported in Column 4 is an aggregate purchase price. These notes were purchased at a price of $20.50 per $25 aggregate principal amount.

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

SEC source: 0001621014-20-000001 · primary_doc.xml · nonDerivative · entry 3

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

F3 · price: The price reported in Column 4 is an aggregate purchase price. These notes were purchased at a price of $20.05 per $25 aggregate principal amount

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

SEC source: 0001620746-20-000001 · primary_doc.xml · nonDerivative · entry 1

Onorio Kenneth P. · CIK 0001620746 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,713

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

SEC source: 0001621014-20-000001 · primary_doc.xml · nonDerivative · entry 7

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

F8 · price: The price reported in Column 4 is an aggregate purchase price. These notes were purchased at a price of $21.05 per $25 aggregate principal amount.

F1 · valueOwnedAfter: 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.

SEC source: 0001621014-20-000001 · primary_doc.xml · nonDerivative · entry 6

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

F6 · price: The price reported in Column 4 is an aggregate purchase price. These notes were purchased at a price of $21.62 per $25 aggregate principal amount.

F1 · valueOwnedAfter: 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.

SEC source: 0001621014-20-000001 · primary_doc.xml · nonDerivative · entry 4

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

F4 · price: The price reported in Column 4 is an aggregate purchase price. These notes were purchased at a price of $21.48 per $25 aggregate principal amount.

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

SEC source: 0001621014-20-000001 · 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 price reported in Column 4 is an aggregate purchase price. These notes were purchased at a price of $21.73 per $25 aggregate principal amount.

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

SEC source: 0001621014-20-000001 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 385

SEC source: 0001617694-20-000001 · 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: Not disclosed

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

F2 · price: The price reported in Column 4 is an aggregate purchase price. These notes were purchased at a price of $25.35 per $25 aggregate principal amount.

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

SEC source: 0001617694-19-000001 · 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: 55,000

SEC source: 0001620746-18-000002 · primary_doc.xml · nonDerivative · entry 1

Onorio Kenneth P. · CIK 0001620746 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,210

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

SEC source: 0001617694-18-000006 · 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: 54,000

SEC source: 0001621014-18-000004 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112

SEC source: 0001617694-18-000005 · 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: Not disclosed

F1 · price: The price reported in Column 4 is an aggregate purchase price. These notes were purchased at a price of $23.80 per $25 aggregate principal amount.

F2 · valueOwnedAfter: The amount reported in Column 5 reflects the aggregate principal amount of notes.

SEC source: 0001617694-18-000003 · 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: 53,000

SEC source: 0001621014-18-000002 · primary_doc.xml · nonDerivative · entry 1

Spinner Daniel M. · CIK 0001621014 · Principal and Portfolio Manage

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,625

F1 · shares: The price reported in Column 4 is an aggregate purchase price, and the other amounts shown reflect an aggregate principal amount of the notes. These notes were purchased in multiple transactions at prices ranging from $24.67 to $24.70, inclusive, per $25 aggregate principal amount. 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 notes purchased at each separate price within the range set forth in this footnote.

F1 · price: The price reported in Column 4 is an aggregate purchase price, and the other amounts shown reflect an aggregate principal amount of the notes. These notes were purchased in multiple transactions at prices ranging from $24.67 to $24.70, inclusive, per $25 aggregate principal amount. 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 notes purchased at each separate price within the range set forth in this footnote.

F1 · balance_after: The price reported in Column 4 is an aggregate purchase price, and the other amounts shown reflect an aggregate principal amount of the notes. These notes were purchased in multiple transactions at prices ranging from $24.67 to $24.70, inclusive, per $25 aggregate principal amount. 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 notes purchased at each separate price within the range set forth in this footnote.

SEC source: 0001617694-18-000002 · 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: 50,000

F2 · price: The price reported in Column 4 is an aggregate purchase price. These notes were purchased at a price of $24.75 per $25 aggregate principal amount.

SEC source: 0001617694-18-000002 · 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: 0

F1 · price: The Issuer's 7.00% notes due 2020 were redeemed in full on May 24, 2018 at a price equal to the aggregate principal amount thereof plus accrued but unpaid interest to, but excluding, the date of redemption

SEC source: 0001621014-18-000001 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The Issuer's 7.00% notes due 2020 were redeemed in full on May 24, 2018 at a price equal to the aggregate principal amount thereof plus accrued but unpaid interest to, but excluding, the date of redemption.

SEC source: 0001617694-18-000001 · 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: 50,000

F2 · price: The price reported in Column 4 is an aggregate purchase price. These notes were purchased at a price of $24.75 per $25 aggregate principal amount.

SEC source: 0001617694-18-000001 · 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: 0

F1 · price: The Issuer's 7.00% notes due 2020 were redeemed in full on May 24, 2018 at a price equal to the aggregate principal amount thereof plus accrued but unpaid interest to, but excluding, the date of redemption.

SEC source: 0001621014-18-000001 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

F2 · price: The price reported in Column 4 is an aggregate purchase price. These notes were purchased in multiple transactions at prices ranging from $24.61 to $24.65, inclusive, per $25 aggregate principal amount. 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 notes purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-18-029260 · 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: Not disclosed

Ownership: Direct

Disclosed balance after: 2,339,901

F1 · kind: This Form 4 is being filed jointly by Trident V Parallel Fund, L.P. ("Trident V Parallel") and Trident Capital V-PF, L.P. ("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. The reporting persons' beneficial ownership of Issuer securities disclosed herein does not include those Issuer securities held by Eagle Point Credit Management LLC ("EPCM"), the Issuer's investment advisor. As from May 8, 2018, each reporting person disclaims beneficial ownership of Issuer securities held by EPCM.

F1 · shares: This Form 4 is being filed jointly by Trident V Parallel Fund, L.P. ("Trident V Parallel") and Trident Capital V-PF, L.P. ("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. The reporting persons' beneficial ownership of Issuer securities disclosed herein does not include those Issuer securities held by Eagle Point Credit Management LLC ("EPCM"), the Issuer's investment advisor. As from May 8, 2018, each reporting person disclaims beneficial ownership of Issuer securities held by EPCM.

F2 · price: These shares were sold in multiple transactions and the price reported is a weighted average. The sale price ranged from $17.49425 to $18.41500 per share. The reporting persons undertake to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F1 · balance_after: This Form 4 is being filed jointly by Trident V Parallel Fund, L.P. ("Trident V Parallel") and Trident Capital V-PF, L.P. ("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. The reporting persons' beneficial ownership of Issuer securities disclosed herein does not include those Issuer securities held by Eagle Point Credit Management LLC ("EPCM"), the Issuer's investment advisor. As from May 8, 2018, each reporting person disclaims beneficial ownership of Issuer securities held by EPCM.

F1 · ownership.direct: This Form 4 is being filed jointly by Trident V Parallel Fund, L.P. ("Trident V Parallel") and Trident Capital V-PF, L.P. ("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. The reporting persons' beneficial ownership of Issuer securities disclosed herein does not include those Issuer securities held by Eagle Point Credit Management LLC ("EPCM"), the Issuer's investment advisor. As from May 8, 2018, each reporting person disclaims beneficial ownership of Issuer securities held by EPCM.

SEC source: 0001209191-18-029259 · 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: Not disclosed

Ownership: Direct

Disclosed balance after: 3,336,437

F1 · kind: This Form 4 is being filed jointly by Trident V, L.P. ("Trident V") and Trident Capital V, L.P. ("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. The reporting persons' beneficial ownership of Issuer securities disclosed herein does not include those Issuer securities held by Eagle Point Credit Management LLC ("EPCM"), the Issuer's investment advisor. As from May 8, 2018, each reporting person disclaims beneficial ownership of Issuer securities held by EPCM.

F1 · shares: This Form 4 is being filed jointly by Trident V, L.P. ("Trident V") and Trident Capital V, L.P. ("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. The reporting persons' beneficial ownership of Issuer securities disclosed herein does not include those Issuer securities held by Eagle Point Credit Management LLC ("EPCM"), the Issuer's investment advisor. As from May 8, 2018, each reporting person disclaims beneficial ownership of Issuer securities held by EPCM.

F2 · price: These shares were sold in multiple transactions and the price reported is a weighted average. The sale price ranged from $17.49425 to $18.41500 per share. The reporting persons undertake to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F1 · balance_after: This Form 4 is being filed jointly by Trident V, L.P. ("Trident V") and Trident Capital V, L.P. ("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. The reporting persons' beneficial ownership of Issuer securities disclosed herein does not include those Issuer securities held by Eagle Point Credit Management LLC ("EPCM"), the Issuer's investment advisor. As from May 8, 2018, each reporting person disclaims beneficial ownership of Issuer securities held by EPCM.

F1 · ownership.direct: This Form 4 is being filed jointly by Trident V, L.P. ("Trident V") and Trident Capital V, L.P. ("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. The reporting persons' beneficial ownership of Issuer securities disclosed herein does not include those Issuer securities held by Eagle Point Credit Management LLC ("EPCM"), the Issuer's investment advisor. As from May 8, 2018, each reporting person disclaims beneficial ownership of Issuer securities held by EPCM.

SEC source: 0001140361-18-022781 · doc1.xml · nonDerivative · entry 1

Eagle Point Credit Management LLC · CIK 0001607203 · Investment Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,457,589

SEC source: 0001620746-17-000001 · primary_doc.xml · nonDerivative · entry 2

Onorio Kenneth P. · CIK 0001620746 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,702

F1 · shares: Shares acquired through a 10b5-1 plan adopted by Mr. Onorio on March 23, 2016.

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

SEC source: 0001620746-17-000001 · primary_doc.xml · nonDerivative · entry 1

Onorio Kenneth P. · CIK 0001620746 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,913

F1 · shares: Shares acquired through a 10b5-1 plan adopted by Mr. Onorio on March 23, 2016.

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

SEC source: 0001620746-16-000005 · primary_doc.xml · nonDerivative · entry 2

Onorio Kenneth P. · CIK 0001620746 · CFO / COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,732

F1 · shares: Shares acquired through a 10b5-1 plan adopted by Mr. Onorio on March 23, 2016.

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

SEC source: 0001620746-16-000005 · primary_doc.xml · nonDerivative · entry 1

Onorio Kenneth P. · CIK 0001620746 · CFO / COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,889

F1 · shares: Shares acquired through a 10b5-1 plan adopted by Mr. Onorio on March 23, 2016.

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

SEC source: 0001617693-16-000002 · primary_doc.xml · nonDerivative · entry 1

McDonald Kevin F. · CIK 0001617693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $26.15 to $26.20, 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.