Amended Statement of Ownership (sc 13g/a)
2019年9月11日 - 5:03AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE
13G
Under
the Securities Exchange Act of 1934
(Amendment No. 1)*
OFS
Credit Company, Inc.
(Name
of Issuer)
Common
Stock
(Title
of Class of Securities)
67111Q107
(CUSIP
Number(s))
9/3/2019
(Date
of Event which Requires Filing of this Statement)
Check
the appropriate box to designate the rule pursuant to which this Schedule is filed:
X
Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
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*
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The
remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject
class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior
cover page.
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The information
required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the
Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall
be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. 67111Q107
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13G
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Page
2 of 4 Pages
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1.
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NAMES
OF REPORTING PERSONS
I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Thomas J. Herzfeld Advisors, Inc.
59-2414380
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2.
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CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see
instructions)
(a) [ ]
(b) [ ]
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3.
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SEC
USE ONLY
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4.
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CITIZENSHIP
OR PLACE OF ORGANIZATION
A Florida Corporation
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NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON WITH
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5.
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SOLE
VOTING POWER
518,513
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6.
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SHARED
VOTING POWER
0
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7.
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SOLE
DISPOSITIVE POWER
518,513
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8.
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SHARED
DISPOSITIVE POWER
0
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9.
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AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
518,513
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10.
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CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see
instructions) [ ]
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11.
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PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
16.94%
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12.
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TYPE
OF REPORTING PERSON (see instructions)
IA
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CUSIP No. 67111Q107
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13G
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Page 3 of 4 Pages
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Item
1.
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(a)
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Name of Issuer
OFS Credit Company, Inc.
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(b)
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Address of Issuer’s Principal Executive
Offices
OFS Credit Company, Inc. 10 South Wacker Drive, Suite 2500 Chicago, IL 60606
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Item
2.
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(a)
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Name of Person Filing
Thomas J. Herzfeld Advisors, Inc.
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(b)
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Address of the Principal Office or, if none,
residence
119 Washington Avenue, Suite 504 Miami Beach, FL 33139
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(c)
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Citizenship
A Florida Corporation
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(d)
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Title of Class of Securities
Common Stock
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(e)
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CUSIP Number
67111Q107
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Item
3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is
a:
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(a)
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[ ]
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Broker or dealer registered
under section 15 of the Act (15 U.S.C. 78o).
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(b)
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Bank as defined in section 3(a)(6) of the Act
(15 U.S.C. 78c).
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(c)
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[ ]
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Insurance company as defined in section 3(a)(19)
of the Act (15 U.S.C. 78c).
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(d)
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[ ]
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Investment company registered under section
8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
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(e)
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X
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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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[ ]
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An employee benefit plan or endowment fund in
accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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[ ]
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A parent holding company or control person in
accordance with §240.13d-1(b)(1)(ii)(G);
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(h)
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[ ]
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A savings associations as defined in Section
3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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[ ]
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A church plan that is excluded from the definition
of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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(j)
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[ ]
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Group, in accordance with §240.13d-1(b)(1)(ii)(J).
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Item
4. Ownership.
Provide
the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in
Item 1.
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(a)
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Amount beneficially
owned: 518,513
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(b)
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Percent
of class: 16.94%
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(c)
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Number of
shares as to which the person has:
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(i)
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Sole power to vote or
to direct the vote 518,513
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(ii)
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Shared power to vote
or to direct the vote 0.
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(iii)
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Sole power to dispose
or to direct the disposition of 518,513.
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(iv)
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Shared power to dispose
or to direct the disposition of 0.
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Instruction.
For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1).
Item
5. Ownership of Five Percent or Less of a Class.
If this
statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner
of more than five percent of the class of securities, check the following [ ].
Instruction.
Dissolution of a group requires a response to this item.
Item
6. Ownership of More than Five Percent on Behalf of Another Person.
Not applicable.
Item
7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company
or Control Person.
Not applicable.
Item
8. Identification and Classification of Members of the Group.
Not applicable.
Item
9. Notice of Dissolution of Group.
Not applicable.
Item
10. Certification.
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The following
certification shall be included if the statement is filed pursuant to §240.13d-1(b):
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By signing below I certify
that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary
course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing
the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant
in any transaction having that purpose or effect.
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CUSIP No. 67111Q107
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13G
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Page
4 of 4 Pages
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After
reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true,
complete and correct.
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September
9, 2019
Date
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/s/
Erik M. Herzfeld
Signature
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Erik
M. Herzfeld, President
Name/Title
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OFS Credit (NASDAQ:OCCIP)
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OFS Credit (NASDAQ:OCCIP)
過去 株価チャート
から 6 2023 まで 6 2024