Certificate of Accounting of Securities and Similar Investments in the Custody of Management Investment Companies Filed Pursu...

Date : 08/02/2019 @ 8:04PM
Source : Edgar (US Regulatory)
Stock : OHA Investment Corporation (OHAI)
Quote : 1.2815  -0.0085 (-0.66%) @ 10:59PM

Certificate of Accounting of Securities and Similar Investments in the Custody of Management Investment Companies Filed Pursu...



UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM N-17f-2

CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY
OF MANAGEMENT INVESTMENT COMPANIES

Pursuant to Rule 17f-2 [17 CRF 270.17f-2]

1. Investment Company Act File Number:

814-00672

 
Date examination completed:

May 31, 2019



2. State Identification Number:



 
 
AL
 
AK
 
AZ
 
AR
 
CA
 
CO
 
 
CT
 
DE
 
DC
 
FL
 
GA
 
HI
 
 
ID
 
IL
 
IN
 
IA
 
KS
 
KY
 
 
LA
 
ME
 
MD
 
MA
 
MI
 
MN
 
 
MS
 
MO
 
MT
 
NE
 
NV
 
NH
 
 
NJ
 
NM
 
NY
 
NC
 
ND
 
OH
 
 
OK
 
OR
 
PA
 
RI
 
SC
 
SD
 
 
TN
 
TX
 
UT
 
VT
 
VA
 
WA
 
 
WV
 
WI
 
WY
 
PUERTO RICO
 
 
Other (specify):
 
 
 
 
 
 
 
 

3. Exact name of investment company as specified in registration statement:

OHA Investment Corporation
4. Address of principal executive office (number, street, city, state, zip code):

1114 Avenue of the Americas, 27 th  Floor, New York, New York 10036















Management Statement Regarding Compliance With Certain Provisions of the Investment Company Act of 1940


August 2, 2019


We as members of management of OHA Investment Corporation (the “Company”), are responsible for complying with the requirements of subsections (b) and (c) of rule 17f-2, “Custody of Investments by Registered Management Investment Companies,” of the Investment Company Act of 1940 (the “Act”). We are also responsible for establishing and maintaining effective internal controls over compliance with those requirements. We have performed an evaluation of the Company’s compliance with the requirements of subsections (b) and (c) of rule 17f-2 as of May 31, 2019 and from December 31, 2018 through May 31, 2019.

Based on this evaluation, we assert that the Company was in compliance with the requirements of subsections (b) and (c) of rule 17f-2 of the Act as of May 31, 2019 and from December 31, 2018 through May 31, 2019, with respect to securities reflected in the investment account of the Company.

OHA Investment Corporation


By: /s/ Cory Gilbert
Cory Gilbert
Chief Financial Officer
































Report of Independent Registered Public Accounting Firm


The Board of Directors of
OHA Investment Corporation

We have examined management’s assertion, included in the accompanying Management Statement Regarding Compliance With Certain Provisions of the Investment Company Act of 1940, that OHA Investment Corporation (the “Company”) complied with the requirements of subsections (b) and (c) of rule 17f-2 under the Investment Company Act of 1940 (the “Act”) as of May 31, 2019. Management is responsible for the Company’s compliance with those requirements. Our responsibility is to express an opinion on management’s assertion about the Company’s compliance based on our examination.

Our examination was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) and, accordingly, included examining, on a test basis, evidence about the Company’s compliance with those requirements and performing such other procedures as we considered necessary in the circumstances. Included among our procedures were the following tests performed as of May 31, 2019, and with respect to agreement of security purchases and sales, for the period from December 31, 2018 (the date of our last examination), through May 31, 2019:

Count and inspection of all securities located in the vault of Wells Fargo Bank in Minneapolis, Minnesota;
Confirmation of all securities held by institutions in book entry form with Wells Fargo Bank;
Reconciliation of all such securities to the books and records of the Company and the Custodian;
Confirmation of all repurchase agreements with brokers/banks and agreement of underlying collateral with Jefferies' records; and
Agreement of all security purchases and all security sales since our last report from the books and records of the Company to broker confirmations.

We believe that our examination provides a reasonable basis for our opinion. Our examination does not provide a legal determination on the Company’s compliance with specified requirements.

In our opinion, management's assertion that OHA Investment Corporation complied with the requirements of subsections (b) and (c) of rule 17f-2 of the Act as of May 31, 2019, with respect to securities reflected in the investment account of the Company is fairly stated, in all material respects.

This report is intended solely for the information and use of management and the Board of Directors of OHA Investment Corporation and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.


/s/ Ernst & Young LLP

Dallas, Texas
August 2, 2019




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