Statement of Changes in Beneficial Ownership (4)
November 22 2019 - 4:03PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Majewski Thomas P. |
2. Issuer Name and Ticker or Trading Symbol
Eagle Point Credit Co Inc.
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ECC
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) __X__ Other (specify below) Chief Executive Officer
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Portfolio Manager |
(Last)
(First)
(Middle)
600 STEAMBOAT RD, SUITE 202 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/22/2019 |
(Street)
GREENWICH, CT 06830
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.001 per share | 11/22/2019 | | P | | 1000 | A | $14.43 | 55000 | D | |
6.6875% Notes due 2028 | | | | | | | | $75000 (1) | D | |
7.75% Series A Term Preferred Stock due 2022 | | | | | | | | 125 | I | By Anna Majewski UGTMA (2) |
7.75% Series A Term Preferred Stock due 2022 | | | | | | | | 137 | I | By Michael Majewski UGTMA (3) |
7.75% Series A Term Preferred Stock due 2022 | | | | | | | | 500 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The amount reported in Column 5 reflects the aggregate principal amount of notes. |
(2) | These shares are held in an account for the benefit of Anna Majewski, Thomas Majewski's daughter. Thomas Majewski has investment authority over this account. Thomas Majewski disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. |
(3) | These shares are held in an account for the benefit of Michael Majewski, Thomas Majewski's son. Thomas Majewski has investment authority over this account. Thomas Majewski disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Majewski Thomas P. 600 STEAMBOAT RD, SUITE 202 GREENWICH, CT 06830 | X |
| Chief Executive Officer | Portfolio Manager |
Signatures
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Thomas P. Majewski | | 11/22/2019 |
**Signature of Reporting Person | Date |
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