Vault-13

OFS CREDIT COMPANY INC OCCI

COM · Closed-End Fund · CUSIP 67111Q107

22 institutional holders +0 vs Q1 2023
1,028,7611.0m shares reported held*
$8.7mreported value*
2 new 12 added 6 reduced 3 sold out net bought ≈ $3.7m (+446.8k 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. Implied quarter-end price ≈ $8.43.

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0102030Q3 22: 19Q4 22: 19Q1 23: 22Q2 23: 2222Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 202219
Q4 202219
Q1 202322
Q2 202322

Buyers vs sellers

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

Bought or addedCut or sold out
20020Q4 22: 13 bought or addedQ4 22: 9 cut or sold outQ4 22Q1 23: 15 bought or addedQ1 23: 7 cut or sold outQ1 23Q2 23: 14 bought or addedQ2 23: 9 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022139
Q1 2023157
Q2 2023149

Biggest buyers

Thomas J. Herzfeld Advisors, Inc. New +480,060+480.1k
ENVESTNET ASSET MANAGEMENT INC New +81,788+81.8k
Thrivent Financial for Lutherans Added +3,850+3.9k
BARD ASSOCIATES INC Added +3,736+3.7k
Baird Financial Group, Inc. Added +3,137+3.1k
B. Riley Wealth Advisors, Inc. Added +2,373+2.4k
Kovack Advisors, Inc. Added +1,987+2.0k
NewEdge Advisors, LLC Added +1,900+1.9k
Arkadios Wealth Advisors Added +1,466+1.5k
Wealth Enhancement & Preservation of GA, LLC Added +813+813

Biggest sellers

OSAIC HOLDINGS, INC. Reduced -76,288-76.3k
Balboa Wealth Partners Reduced -31,750-31.8k
Cetera Advisor Networks LLC Sold out -11,361-11.4k
MORGAN STANLEY Reduced -6,823-6.8k
J.P. Morgan Private Wealth Advisors LLC Reduced -4,708-4.7k
Compound Planning, Inc. Reduced -2,764-2.8k
TUCKER ASSET MANAGEMENT LLC Sold out -1,298-1.3k
ROYAL BANK OF CANADA Reduced -404-404
Belpointe Asset Management LLC Sold out -50-50

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

HolderStakeChangeShares Last filed
Karpus Management, Inc. 13G · institution filed 2026-05-07 19.9% 449.2k 2026-05-07
Eagle Point Credit Management LLC 13G · passive investor +1.0 pts · filed 2026-08-11 5.8% +1.0 pts 207.2k 2026-08-11

Insider purchases and sales in Q2 2023

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 Q2 2023.

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Thomas J. Herzfeld Advisors, Inc. 1.60% of their portfolio MIAMI BEACH, FL 480,060480.1k $4.0m $4.0m 1.60% New
2 BARD ASSOCIATES INC 0.40% of their portfolio CHICAGO, IL 114,458114.5k $1.0m $1.0m 0.40% Added +3.7k +3,736
3 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 81,78881.8k $683.7k $683.7k 0.00% New
4 Wealth Enhancement & Preservation of GA, LLC 0.49% of their portfolio ALPHARETTA, GA 60,80460.8k $508.3k $508.3k 0.49% Added +813 +813
5 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 53,72753.7k $449.2k $449.2k 0.00% Added +3.1k +3,137
6 Compound Planning, Inc. 0.12% of their portfolio NEW YORK, NY 32,01932.0k $267.7k $267.7k 0.12% Reduced -2.8k -2,764
7 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 30,78930.8k $257.0k $257.0k 0.00% Added +3.9k +3,850
8 Arkadios Wealth Advisors 0.03% of their portfolio ATLANTA, GA 30,01530.0k $250.9k $250.9k 0.03% Added +1.5k +1,466
9 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 21,55121.6k $180.2k $180.2k 0.00% Reduced -76.3k -76,288
10 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 20,07620.1k $167.8k $167.8k 0.00% Added +1.9k +1,900
11 B. Riley Wealth Advisors, Inc. 0.00% of their portfolio MEMPHIS, TN 19,33319.3k $171.2k $171.2k 0.00% Added +2.4k +2,373
12 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 17,78117.8k $148.6k $148.6k 0.00% Reduced -6.8k -6,823
13 Balboa Wealth Partners 0.05% of their portfolio SCOTTSDALE, AZ 17,25017.2k $144.2k $144.2k 0.05% Reduced -31.8k -31,750
14 Kovack Advisors, Inc. 0.01% of their portfolio FT. LAUDERDALE, FL 13,24113.2k $110.7k $110.7k 0.01% Added +2.0k +1,987
15 J.P. Morgan Private Wealth Advisors LLC 0.00% of their portfolio SAN FRANCISCO, CA 11,35611.4k $94.9k $94.9k 0.00% Reduced -4.7k -4,708
16 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.01% of their portfolio ORLANDO, FL 11,15611.2k $93.3k $93.3k 0.01% Added +630 +630
17 Lindbrook Capital, LLC 0.01% of their portfolio CALABASAS, CA 7,2877.3k $60.9k $60.9k 0.01% Added +287 +287
18 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 5,5845.6k $46.7k $46.7k 0.00% Added +219 +219
19 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 420420 $4.0k $4.0k 0.00% Reduced -404 -404
20 AdvisorNet Financial, Inc 0.00% of their portfolio MINNETONKA, MN 3434 $288 $288 0.00% Added +1 +1
21 Cornerstone Planning Group LLC 0.00% of their portfolio FAIRFIELD, NJ 3232 $266 $266 0.00% First filing
22 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged