Vault-13

OFS CAP CORP OFS

COM · Common Stock · CUSIP 67103B100

34 institutional holders +3 vs Q3 2025
1,130,2381.1m shares reported held*
8.4% of all shares outstanding*
$5.4mreported value*
5 new 5 added 15 reduced 3 sold out net sold ≈ $608.2k (-127.8k shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Shares outstanding: 13.4m as of 2025-10-28, from the company's own SEC filing; the percentage can still exceed 100%: lent-out shares are counted by the lender and the buyer, and some reports overlap without saying so. Implied quarter-end price ≈ $4.77. Options: 2 managers hold calls ($44.3k notional), 0 hold puts (—).

Trends to Q4 2025

Institutional holders

Managers reporting a position, each quarter

02040Q3 22: 39Q4 22: 35Q1 23: 37Q2 23: 38Q3 23: 37Q4 23: 39Q1 24: 37Q2 24: 37Q3 24: 34Q4 24: 34Q1 25: 31Q2 25: 40Q3 25: 31Q4 25: 3434Q3 22Q2 23Q1 24Q4 24Q4 25
Numbers
QuarterHolders
Q3 202239
Q4 202235
Q1 202337
Q2 202338
Q3 202337
Q4 202339
Q1 202437
Q2 202437
Q3 202434
Q4 202434
Q1 202531
Q2 202540
Q3 202531
Q4 202534

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
20020Q1 24: 17 bought or addedQ1 24: 20 cut or sold outQ2 24: 15 bought or addedQ2 24: 17 cut or sold outQ2 24Q3 24: 12 bought or addedQ3 24: 17 cut or sold outQ4 24: 14 bought or addedQ4 24: 11 cut or sold outQ4 24Q1 25: 11 bought or addedQ1 25: 16 cut or sold outQ2 25: 16 bought or addedQ2 25: 11 cut or sold outQ2 25Q3 25: 13 bought or addedQ3 25: 18 cut or sold outQ4 25: 10 bought or addedQ4 25: 18 cut or sold outQ4 25
Numbers
QuarterBought or addedCut or sold out
Q1 20241720
Q2 20241517
Q3 20241217
Q4 20241411
Q1 20251116
Q2 20251611
Q3 20251318
Q4 20251018

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$50k$100k$150kQ1 25 calls: $103.0kQ1 25 puts: $0Q1 25P/C 0.00Q2 25 calls: $40.8kQ2 25 puts: $0Q2 25P/C 0.00Q3 25 calls: $78.2kQ3 25 puts: $15.0kQ3 25P/C 0.19Q4 25 calls: $44.3kQ4 25 puts: $0Q4 25P/C 0.00
Numbers
QuarterCallsPutsP/C
Q1 2025$103.0k$00.00
Q2 2025$40.8k$00.00
Q3 2025$78.2k$15.0k0.19
Q4 2025$44.3k$00.00

Biggest buyers

MARSHALL WACE, LLP New +79,122+79.1k
Squarepoint Ops LLC New +42,369+42.4k
Virtus Investment Advisers, LLC Added +15,935+15.9k
JANE STREET GROUP, LLC New +13,869+13.9k
MORGAN STANLEY Added +10,818+10.8k
CITADEL ADVISORS LLC Added +8,533+8.5k
ROYAL BANK OF CANADA Added +4,000+4.0k
SOA Wealth Advisors, LLC. Added +642+642
Triumph Capital Management New +500+500
SIMPLEX TRADING, LLC New +140+140

Biggest sellers

Advisors Asset Management, Inc. Sold out -85,231-85.2k
TWO SIGMA ADVISERS, LP Reduced -67,000-67.0k
TWO SIGMA INVESTMENTS, LP Reduced -48,678-48.7k
Trexquant Investment LP Sold out -20,847-20.8k
Arkadios Wealth Advisors Reduced -19,893-19.9k
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC Reduced -14,805-14.8k
Sanctuary Advisors, LLC Reduced -12,102-12.1k
O'SHAUGHNESSY ASSET MANAGEMENT, LLC Reduced -6,360-6.4k
ACADIAN ASSET MANAGEMENT LLC Sold out -6,193-6.2k
RITHOLTZ WEALTH MANAGEMENT Reduced -6,138-6.1k

Biggest calls

SIMPLEX TRADING, LLC Reduced $41.9k8.8k shares
GROUP ONE TRADING LLC Reduced $2.4k500 shares

Biggest puts

None

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Insider purchases and sales in Q4 2025

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

None reported in Q4 2025.

Holders, Q4 2025

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 157,516157.5k $749.8k $749.8k 0.00% Added +10.8k +10,818
2 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.05% of their portfolio ORLANDO, FL 153,198153.2k $729.2k $729.2k 0.05% Reduced -14.8k -14,805
3 TWO SIGMA ADVISERS, LP 0.00% of their portfolio NEW YORK, NY 109,300109.3k $520.3k $520.3k 0.00% Reduced -67.0k -67,000
4 Virtus Investment Advisers, LLC 0.11% of their portfolio HARTFORD, CT 82,22182.2k $391.4k $391.4k 0.11% Added +15.9k +15,935
5 MARSHALL WACE, LLP 0.00% of their portfolio LONDON, X0 79,12279.1k $376.6k $376.6k 0.00% New
6 TWO SIGMA INVESTMENTS, LP 0.00% of their portfolio NEW YORK, NY 72,23072.2k $343.8k $343.8k 0.00% Reduced -48.7k -48,678
7 Connor, Clark & Lunn Investment Management Ltd. 0.00% of their portfolio VANCOUVER, A1 70,18470.2k $334.1k $334.1k 0.00% Reduced -964 -964
8 O'SHAUGHNESSY ASSET MANAGEMENT, LLC 0.00% of their portfolio Stamford, CT 62,95763.0k $299.7k $299.7k 0.00% Reduced -6.4k -6,360
9 Arkadios Wealth Advisors 0.01% of their portfolio ATLANTA, GA 57,83157.8k $275.3k $275.3k 0.01% Reduced -19.9k -19,893
10 Bulldog Investors, LLP 0.06% of their portfolio SADDLE BROOK, NJ 57,63957.6k $274.4k $274.4k 0.06% Unchanged
11 Squarepoint Ops LLC 0.00% of their portfolio NEW YORK, NY 42,36942.4k $201.7k $201.7k 0.00% New
12 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 24,06824.1k $114.6k $114.6k 0.00% Added +8.5k +8,533
13 SOA Wealth Advisors, LLC. 0.02% of their portfolio NEW YORK, NY 18,74518.7k $89.2k $89.2k 0.02% Added +642 +642
14 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 17,90717.9k $85.2k $85.2k 0.00% Reduced -2.3k -2,256
15 RITHOLTZ WEALTH MANAGEMENT 0.00% of their portfolio NEW YORK, NY 17,08817.1k $81.3k $81.3k 0.00% Reduced -6.1k -6,138
16 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 15,04015.0k $72.0k $72.0k 0.00% Reduced -3.0k -3,050
17 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 14,00014.0k $67.0k $67.0k 0.00% Unchanged
18 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 13,86913.9k $66.0k $66.0k 0.00% New
19 &PARTNERS 0.00% of their portfolio NASHVILLE, TN 13,50013.5k $64.3k $64.3k 0.00% Unchanged
20 Prota Financial, LLC 0.04% of their portfolio HOUSTON, TX 12,95012.9k $61.6k $61.6k 0.04% First filing
21 Sanctuary Advisors, LLC 0.00% of their portfolio INDIANAPOLIS, IN 12,10212.1k $57.6k $57.6k 0.00% Reduced -12.1k -12,102
22 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 11,50011.5k $55.0k $55.0k 0.00% Added +4.0k +4,000
23 UBS Group AG 0.00% of their portfolio ZURICH, V8 3,3483.3k $15.9k $15.9k 0.00% Reduced -92 -92
24 LANARK FINANCIAL, INC. 0.00% of their portfolio BIRMINGHAM, AL 2,8192.8k $13.4k $13.4k 0.00% Reduced -1.4k -1,439
25 Access Investment Management LLC 0.01% of their portfolio ATLANTA, GA 2,5002.5k $19.2k $19.2k 0.01% Unchanged
26 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 2,2172.2k $10.6k $10.6k 0.00% Reduced -2.3k -2,349
27 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 1,0831.1k $5.2k $5.2k 0.00% Reduced -6.0k -5,996
28 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 1,0001.0k $4.8k $4.8k 0.00% Unchanged
29 Harbor Asset Planning, Inc. 0.00% of their portfolio BELMONT, MA 687687 $3.3k $3.3k 0.00% Unchanged
30 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 506506 $2.4k $2.4k 0.00% Unchanged
31 Triumph Capital Management 0.00% of their portfolio DENVER, CO 500500 $2.4k $2.4k 0.00% New
32 SIMPLEX TRADING, LLC 0.00% of their portfolio CHICAGO, IL 140140 $666 $666 0.00% New
33 CWM, LLC 0.00% of their portfolio OMAHA, NE 100100 $0 $0 0.00% Unchanged
34 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 22 $7 $7 0.00% Reduced -300 -300