Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| OFS Capital CorpOFS · Entity 7193 | 10% owner | September 15, 2021 | September 27, 2021 |
| OFS Credit Company, Inc.OCCI · Entity 6964 | 10% owner | April 23, 2021 | April 27, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
OFS Capital Corp
Report date September 15, 2021 · Filed September 27, 2021
Jointly reported with Orchard Investments, LLC, RESSLER RICHARD S
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Indirect- | 2,946,474 |
Reported balance
Holding disclosure · report date 2021-09-15 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,946,474 F1: The reported securities are owned directly by Orchard First Source Asset Management ("OFSAM") and may be deemed to be indirectly owned by Orchard Investments, LLC through its interests in OFSAM, indirectly owned by The OI3 2019 Trust, as an owner of Orchard Investments, LLC, and indirectly owned by Richard S. Ressler, as investment trustee of The OI3 2019 Trust. Each of the foregoing persons disclaims beneficial ownership of the reported securities except to the extent of his/its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities are owned directly by Orchard First Source Asset Management ("OFSAM") and may be deemed to be indirectly owned by Orchard Investments, LLC through its interests in OFSAM, indirectly owned by The OI3 2019 Trust, as an owner of Orchard Investments, LLC, and indirectly owned by Richard S. Ressler, as investment trustee of The OI3 2019 Trust. Each of the foregoing persons disclaims beneficial ownership of the reported securities except to the extent of his/its pecuniary interest therein.
OFS Credit Company, Inc.
Report date April 23, 2021 · Filed April 27, 2021
Jointly reported with OI3, LLC, RESSLER RICHARD S
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 389,967 |
Reported balance
After 2021-04-23 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-04-23 · Other · Acquired 9,287 · Balance 389,967 F1: On February 8, 2021, the Issuer's board of directors declared a $0.53 per share quarterly distribution (the "Dividend") for the quarter ending April 30, 2021, payable to holders of record of common stock on March 23, 2021 (each, a "Stockholder"). The Dividend will be paid in cash or shares of the Issuer's common stock at the election of each Stockholder. The total amount of cash distributed to all Stockholders will be limited to 20% of the total Dividend, excluding any cash paid for fractional shares. The remainder of the Dividend (approximately 80%) will be paid in the form of shares of the Issuer's common stock. In connection with the Dividend, OI3, LLC and Orchard First Source Asset Management, LLC ("OFSAM") (together with its subsidiary) will receive 9,287 and 3,095 shares of common stock, respectively, as of April 30, 2021. F2: These securities are held, or to be acquired pursuant to the Dividend, by OI3, LLC, and may be deemed to be indirectly owned by The OI3 2019 Trust, as the sole owner of the limited liability company interests in OI3, LLC, and indirectly owned by Richard S. Ressler, as investment trustee of The OI3 2019 Trust. |
| Common StockSEC Table I · non-derivative | Indirect- | 129,985 |
Reported balance
After 2021-04-23 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-04-23 · Other · Acquired 3,095 · Balance 129,985 F1: On February 8, 2021, the Issuer's board of directors declared a $0.53 per share quarterly distribution (the "Dividend") for the quarter ending April 30, 2021, payable to holders of record of common stock on March 23, 2021 (each, a "Stockholder"). The Dividend will be paid in cash or shares of the Issuer's common stock at the election of each Stockholder. The total amount of cash distributed to all Stockholders will be limited to 20% of the total Dividend, excluding any cash paid for fractional shares. The remainder of the Dividend (approximately 80%) will be paid in the form of shares of the Issuer's common stock. In connection with the Dividend, OI3, LLC and Orchard First Source Asset Management, LLC ("OFSAM") (together with its subsidiary) will receive 9,287 and 3,095 shares of common stock, respectively, as of April 30, 2021. F3: These securities are held, or to be acquired pursuant to the Dividend, by OFSAM and its subsidiary and may be deemed to be indirectly owned by OI3, LLC through its direct and indirect interests in OFSAM, indirectly owned by The OI3 2019 Trust, as the sole owner of the limited liability company interests in OI3, LLC, and indirectly owned by Richard S. Ressler, as investment trustee of The OI3 2019 Trust. Each of the foregoing persons disclaims beneficial ownership of these securities, except to the extent of his or its, as applicable, pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On February 8, 2021, the Issuer's board of directors declared a $0.53 per share quarterly distribution (the "Dividend") for the quarter ending April 30, 2021, payable to holders of record of common stock on March 23, 2021 (each, a "Stockholder"). The Dividend will be paid in cash or shares of the Issuer's common stock at the election of each Stockholder. The total amount of cash distributed to all Stockholders will be limited to 20% of the total Dividend, excluding any cash paid for fractional shares. The remainder of the Dividend (approximately 80%) will be paid in the form of shares of the Issuer's common stock. In connection with the Dividend, OI3, LLC and Orchard First Source Asset Management, LLC ("OFSAM") (together with its subsidiary) will receive 9,287 and 3,095 shares of common stock, respectively, as of April 30, 2021.
F2: These securities are held, or to be acquired pursuant to the Dividend, by OI3, LLC, and may be deemed to be indirectly owned by The OI3 2019 Trust, as the sole owner of the limited liability company interests in OI3, LLC, and indirectly owned by Richard S. Ressler, as investment trustee of The OI3 2019 Trust.
F3: These securities are held, or to be acquired pursuant to the Dividend, by OFSAM and its subsidiary and may be deemed to be indirectly owned by OI3, LLC through its direct and indirect interests in OFSAM, indirectly owned by The OI3 2019 Trust, as the sole owner of the limited liability company interests in OI3, LLC, and indirectly owned by Richard S. Ressler, as investment trustee of The OI3 2019 Trust. Each of the foregoing persons disclaims beneficial ownership of these securities, except to the extent of his or its, as applicable, pecuniary interest therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 23, 2021 Filed Apr 27, 2021 22:15 UTC | OFS Credit Company, Inc. OCCI · Entity 6964 | OtherCommon Stock | 3,095 | $0.00 | $0.00 |
DisclosureSEC source: 0001716951-21-000063 · wf-form4_161956172493711.xml · nonDerivative · entry 2 OI3, LLC · CIK 0001798529 · 10% owner OI3 2019 Trust · CIK 0001798523 · 10% owner RESSLER RICHARD S · CIK 0000904290 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · - Disclosed balance after: 129,985 F1 · kind: On February 8, 2021, the Issuer's board of directors declared a $0.53 per share quarterly distribution (the "Dividend") for the quarter ending April 30, 2021, payable to holders of record of common stock on March 23, 2021 (each, a "Stockholder"). The Dividend will be paid in cash or shares of the Issuer's common stock at the election of each Stockholder. The total amount of cash distributed to all Stockholders will be limited to 20% of the total Dividend, excluding any cash paid for fractional shares. The remainder of the Dividend (approximately 80%) will be paid in the form of shares of the Issuer's common stock. In connection with the Dividend, OI3, LLC and Orchard First Source Asset Management, LLC ("OFSAM") (together with its subsidiary) will receive 9,287 and 3,095 shares of common stock, respectively, as of April 30, 2021. F3 · ownership.nature: These securities are held, or to be acquired pursuant to the Dividend, by OFSAM and its subsidiary and may be deemed to be indirectly owned by OI3, LLC through its direct and indirect interests in OFSAM, indirectly owned by The OI3 2019 Trust, as the sole owner of the limited liability company interests in OI3, LLC, and indirectly owned by Richard S. Ressler, as investment trustee of The OI3 2019 Trust. Each of the foregoing persons disclaims beneficial ownership of these securities, except to the extent of his or its, as applicable, pecuniary interest therein. Read SEC document |
| April 23, 2021 Filed Apr 27, 2021 22:15 UTC | OFS Credit Company, Inc. OCCI · Entity 6964 | OtherCommon Stock | 9,287 | $0.00 | $0.00 |
DisclosureSEC source: 0001716951-21-000063 · wf-form4_161956172493711.xml · nonDerivative · entry 1 OI3, LLC · CIK 0001798529 · 10% owner OI3 2019 Trust · CIK 0001798523 · 10% owner RESSLER RICHARD S · CIK 0000904290 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 389,967 F1 · kind: On February 8, 2021, the Issuer's board of directors declared a $0.53 per share quarterly distribution (the "Dividend") for the quarter ending April 30, 2021, payable to holders of record of common stock on March 23, 2021 (each, a "Stockholder"). The Dividend will be paid in cash or shares of the Issuer's common stock at the election of each Stockholder. The total amount of cash distributed to all Stockholders will be limited to 20% of the total Dividend, excluding any cash paid for fractional shares. The remainder of the Dividend (approximately 80%) will be paid in the form of shares of the Issuer's common stock. In connection with the Dividend, OI3, LLC and Orchard First Source Asset Management, LLC ("OFSAM") (together with its subsidiary) will receive 9,287 and 3,095 shares of common stock, respectively, as of April 30, 2021. F2 · ownership.direct: These securities are held, or to be acquired pursuant to the Dividend, by OI3, LLC, and may be deemed to be indirectly owned by The OI3 2019 Trust, as the sole owner of the limited liability company interests in OI3, LLC, and indirectly owned by Richard S. Ressler, as investment trustee of The OI3 2019 Trust. Read SEC document |
| January 22, 2021 Filed Jan 26, 2021 23:29 UTC | OFS Credit Company, Inc. OCCI · Entity 6964 | OtherCommon Stock | 3,373 | $0.00 | $0.00 |
DisclosureSEC source: 0001716951-21-000015 · wf-form4_161170374330374.xml · nonDerivative · entry 2 OI3, LLC · CIK 0001798529 · 10% owner OI3 2019 Trust · CIK 0001798523 · 10% owner RESSLER RICHARD S · CIK 0000904290 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · - Disclosed balance after: 126,890 F1 · kind: On November 30, 2020, the Issuer's board of directors declared a $0.52 per share quarterly distribution (the "Dividend") for the quarter ending January 31, 2021, payable to holders of record of common stock on December 18, 2020 (each, a "Stockholder"). The Dividend will be paid in cash or shares of the Issuer's common stock at the election of each Stockholder. The total amount of cash distributed to all Stockholders will be limited to 20% of the total Dividend, excluding any cash paid for fractional shares. The remainder of the Dividend (approximately 80%) will be paid in the form of shares of the Issuer's common stock. In connection with the Dividend, OI3, LLC and Orchard First Source Asset Management, LLC ("OFSAM") (together with its subsidiary) will receive 10,124 and 3,373 shares of common stock, respectively, as of January 29, 2021. F3 · ownership.nature: These securities are held, or to be acquired pursuant to the Dividend, by OFSAM and its subsidiary and may be deemed to be indirectly owned by OI3, LLC through its direct and indirect interests in OFSAM, indirectly owned by The OI3 2019 Trust, as the sole owner of the limited liability company interests in OI3, LLC, and indirectly owned by Richard S. Ressler, as investment trustee of The OI3 2019 Trust. Each of the foregoing persons disclaims beneficial ownership of these securities, except to the extent of his or its, as applicable, pecuniary interest therein. Read SEC document |
| January 22, 2021 Filed Jan 26, 2021 23:29 UTC | OFS Credit Company, Inc. OCCI · Entity 6964 | OtherCommon Stock | 10,124 | $0.00 | $0.00 |
DisclosureSEC source: 0001716951-21-000015 · wf-form4_161170374330374.xml · nonDerivative · entry 1 OI3, LLC · CIK 0001798529 · 10% owner OI3 2019 Trust · CIK 0001798523 · 10% owner RESSLER RICHARD S · CIK 0000904290 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 380,680 F1 · kind: On November 30, 2020, the Issuer's board of directors declared a $0.52 per share quarterly distribution (the "Dividend") for the quarter ending January 31, 2021, payable to holders of record of common stock on December 18, 2020 (each, a "Stockholder"). The Dividend will be paid in cash or shares of the Issuer's common stock at the election of each Stockholder. The total amount of cash distributed to all Stockholders will be limited to 20% of the total Dividend, excluding any cash paid for fractional shares. The remainder of the Dividend (approximately 80%) will be paid in the form of shares of the Issuer's common stock. In connection with the Dividend, OI3, LLC and Orchard First Source Asset Management, LLC ("OFSAM") (together with its subsidiary) will receive 10,124 and 3,373 shares of common stock, respectively, as of January 29, 2021. F2 · ownership.direct: These securities are held, or to be acquired pursuant to the Dividend, by OI3, LLC, and may be deemed to be indirectly owned by The OI3 2019 Trust, as the sole owner of the limited liability company interests in OI3, LLC, and indirectly owned by Richard S. Ressler, as investment trustee of The OI3 2019 Trust. Read SEC document |
| October 16, 2020 Filed Oct 20, 2020 21:19 UTC | OFS Credit Company, Inc. OCCI · Entity 6964 | OtherCommon Stock | 5,462 | $0.00 | $0.00 |
DisclosureSEC source: 0001716951-20-000078 · wf-form4_160322877063692.xml · nonDerivative · entry 2 OI3, LLC · CIK 0001798529 · 10% owner OI3 2019 Trust · CIK 0001798523 · 10% owner RESSLER RICHARD S · CIK 0000904290 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · - Disclosed balance after: 123,517 F1 · kind: On May 26, 2020, the Issuer's board of directors declared a $0.52 per share quarterly distribution (the "Dividend") for the quarter ending October 31, 2020, payable to holders of record of common stock on September 15, 2020 (each, a "Stockholder"). The Dividend will be paid in cash or shares of the Issuer's common stock at the election of each Stockholder. The total amount of cash distributed to all Stockholders will be limited to 10% of the total Dividend, excluding any cash paid for fractional shares. The remainder of the Dividend (approximately 90%) will be paid in the form of shares of the Issuer's common stock. In connection with the Dividend, OI3, LLC and Orchard First Source Asset Management, LLC ("OFSAM") (together with its subsidiary) will receive 16,388 and 5,462 shares of common stock, respectively, as of October 30, 2020. F3 · ownership.nature: These securities are held, or to be acquired pursuant to the Dividend, by OFSAM and its subsidiary and may be deemed to be indirectly owned by OI3, LLC through its interests in OFSAM, indirectly owned by The OI3 2019 Trust, as the sole owner of the limited liability company interests in OI3, LLC, and indirectly owned by Richard S. Ressler, as investment trustee of The OI3 2019 Trust. Each of the foregoing persons disclaims beneficial ownership of all securities reported on this form, except to the extent of his or its, as applicable, pecuniary interest therein. Read SEC document |
| October 16, 2020 Filed Oct 20, 2020 21:19 UTC | OFS Credit Company, Inc. OCCI · Entity 6964 | OtherCommon Stock | 16,388 | $0.00 | $0.00 |
DisclosureSEC source: 0001716951-20-000078 · wf-form4_160322877063692.xml · nonDerivative · entry 1 OI3, LLC · CIK 0001798529 · 10% owner OI3 2019 Trust · CIK 0001798523 · 10% owner RESSLER RICHARD S · CIK 0000904290 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 370,556 F1 · kind: On May 26, 2020, the Issuer's board of directors declared a $0.52 per share quarterly distribution (the "Dividend") for the quarter ending October 31, 2020, payable to holders of record of common stock on September 15, 2020 (each, a "Stockholder"). The Dividend will be paid in cash or shares of the Issuer's common stock at the election of each Stockholder. The total amount of cash distributed to all Stockholders will be limited to 10% of the total Dividend, excluding any cash paid for fractional shares. The remainder of the Dividend (approximately 90%) will be paid in the form of shares of the Issuer's common stock. In connection with the Dividend, OI3, LLC and Orchard First Source Asset Management, LLC ("OFSAM") (together with its subsidiary) will receive 16,388 and 5,462 shares of common stock, respectively, as of October 30, 2020. F2 · ownership.direct: These securities are held, or to be acquired pursuant to the Dividend, by OI3, LLC, and may be deemed to be indirectly owned by The OI3 2019 Trust, as the sole owner of the limited liability company interests in OI3, LLC, and indirectly owned by Richard S. Ressler, as investment trustee of The OI3 2019 Trust. Each of the foregoing persons disclaims beneficial ownership of all securities reported on this form, except to the extent of his or its, as applicable, pecuniary interest therein. Read SEC document |
| July 17, 2020 Filed Jul 21, 2020 22:53 UTC | OFS Credit Company, Inc. OCCI · Entity 6964 | OtherCommon Stock | 5,555 | $0.00 | $0.00 |
DisclosureSEC source: 0001716951-20-000046 · wf-form4_159537196570954.xml · nonDerivative · entry 2 OI3, LLC · CIK 0001798529 · 10% owner OI3 2019 Trust · CIK 0001798523 · 10% owner RESSLER RICHARD S · CIK 0000904290 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · - Disclosed balance after: 118,055 F1 · kind: On May 26, 2020, the Issuer's board of directors declared a $0.52 per share quarterly distribution (the "Dividend") for the quarter ending July 31, 2020, payable to holders of record of common stock on June 16, 2020 (each, a "Stockholder"). The Dividend will be paid in cash or shares of the Issuer's common stock at the election of each Stockholder. The total amount of cash distributed to all Stockholders will be limited to 10% of the total Dividend, excluding any cash paid for fractional shares. The remainder of the Dividend (approximately 90%) will be paid in the form of shares of the Issuer's common stock. In connection with the Dividend, OI3, LLC and Orchard First Source Asset Management, LLC ("OFSAM") (together with its subsidiary) will receive 16,668 and 5,555 shares of common stock, respectively, as of July 31, 2020. F3 · ownership.nature: These securities are held, or to be acquired pursuant to the Dividend, by OFSAM and its subsidiary and may be deemed to be indirectly owned by OI3, LLC through its interests in OFSAM, indirectly owned by The OI3 2019 Trust, as the sole owner of the limited liability company interests in OI3, LLC, and indirectly owned by Richard S. Ressler, as investment trustee of The OI3 2019 Trust. Each of the foregoing persons disclaims beneficial ownership of all securities reported on this form, except to the extent of his or its, as applicable, pecuniary interest therein. Read SEC document |
| July 17, 2020 Filed Jul 21, 2020 22:53 UTC | OFS Credit Company, Inc. OCCI · Entity 6964 | OtherCommon Stock | 16,668 | $0.00 | $0.00 |
DisclosureSEC source: 0001716951-20-000046 · wf-form4_159537196570954.xml · nonDerivative · entry 1 OI3, LLC · CIK 0001798529 · 10% owner OI3 2019 Trust · CIK 0001798523 · 10% owner RESSLER RICHARD S · CIK 0000904290 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 354,168 F1 · kind: On May 26, 2020, the Issuer's board of directors declared a $0.52 per share quarterly distribution (the "Dividend") for the quarter ending July 31, 2020, payable to holders of record of common stock on June 16, 2020 (each, a "Stockholder"). The Dividend will be paid in cash or shares of the Issuer's common stock at the election of each Stockholder. The total amount of cash distributed to all Stockholders will be limited to 10% of the total Dividend, excluding any cash paid for fractional shares. The remainder of the Dividend (approximately 90%) will be paid in the form of shares of the Issuer's common stock. In connection with the Dividend, OI3, LLC and Orchard First Source Asset Management, LLC ("OFSAM") (together with its subsidiary) will receive 16,668 and 5,555 shares of common stock, respectively, as of July 31, 2020. F2 · ownership.direct: These securities are held, or to be acquired pursuant to the Dividend, by OI3, LLC, and may be deemed to be indirectly owned by The OI3 2019 Trust, as the sole owner of the limited liability company interests in OI3, LLC, and indirectly owned by Richard S. Ressler, as investment manager of The OI3 2019 Trust. Each of the foregoing persons disclaims beneficial ownership of all securities reported on this form, except to the extent of his or its, as applicable, pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.