OHA Investment Corp. 

NY

  SEC # 1297704

        

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750  SEC Filings   from  8/16/04  to  2/13/20  (None in the Past Year)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘SC 13G/A’ — Amendment to Statement of Acquisition of Beneficial Ownership by a “Passive” Investor — Schedule 13G — Filed re:  Issuer / Subject Company — Filed by:  Rivernorth Capital Management, LLC
New-Filing E-Mail:			Send me notifications of all Filings involving  OHA Investment Corp.

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Forms , Documents & Exhibits  in  447 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
1/15/20	OLD		15-12G		Registration:		Certification of a Termination of Registration of a Class of Securities — Form 15  OLD	1
12/19/19	OLD		N-54C		Registration:		Notice of a Withdrawal from Registration by a Business Development Company (BDC) — Form N-54C  OLD	1
12/19/19	OLD		8-K		Update:		Current Reports — Form 8-K  OLD  — Press Releases & Conference Calls	233
					8-K Items:
8/1/19	OLD		Business & Operations:			•	Entry into a Material Definitive Agreement — Item 1.01  OLD  — ↓‘EX-10’	19
12/19/19	OLD		"			•	Termination of a Material Definitive Agreement — Item 1.02  OLD  — ↓‘EX-10’	2
12/19/19	OLD		Financial Info:			•	Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ↓‘EX-2’	2
11/12/19	OLD		"			•	Results of Operations and Financial Condition — Item 2.02  OLD	74
9/7/18	OLD		"			•	Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ↓‘EX-10’	9
12/19/19	OLD		Securities & Trading:			•	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.01  OLD	4
7/21/14	OLD		"			•	Unregistered Sales of Equity Securities — Item 3.02  OLD	1
12/19/19	OLD		"			•	Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ↓‘EX-4’	1
4/13/12	OLD		Accountants & Accounting:			•	Changes in Registrant’s Certifying Accountant — Item 4.01  OLD  — ↓‘EX-16’	2
3/16/10	OLD		"			•	Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review — Item 4.02  OLD	1
12/19/19	OLD		Governance & Management:			•	Changes in Control of Registrant — Item 5.01  OLD	1
12/19/19	OLD		"			•	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02  OLD  — ↓‘EX-17’  — List of Directors & Officers	12
12/19/19	OLD		"			•	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ↓‘EX-3’	4
12/12/19	OLD		"			•	Submission of Matters to a Vote of Security Holders — Item 5.07  OLD	11
12/19/19	OLD		Disclosures:			•	Regulation FD Disclosure — Item 7.01  OLD  — ↓‘EX-99’	101
12/12/19	OLD		Events:			•	Other Events — Item 8.01  OLD	29
12/19/19	OLD		Financials:			•	Financial Statements and Exhibits — Item 9.01  OLD	211
11/14/19	OLD		425		Registration:		Prospectus or Communication – Merger  OLD	1
11/12/19	OLD		DEFA14A		Proxy:		Definitive Additional Proxy Soliciting Materials — Schedule 14A  OLD	9
11/12/19	OLD		10-Q		Update:		Quarterly Reports — Form 10-Q  OLD	54
11/5/19	OLD		DEFM14A		Proxy:		Definitive Proxy Statement – Merger or Acquisition — Schedule 14A  OLD	1
10/16/19	OLD		PRER14A		Proxy:		Preliminary Revised Proxy Soliciting Material — Schedule 14A  OLD	1
9/13/19	OLD		PREM14A		Proxy:		Preliminary Proxy Statement – Merger or Acquisition — Schedule 14A  OLD	1
8/2/19	OLD		40-17F2		Update:		Certificates of Accounting of Securities in the Custody of Investment Companies — Form N-17f-2  OLD	35
4/22/19	OLD		DEF 14A		Proxy:		Definitive Proxy Statements — Schedule 14A  OLD	15
3/21/19	OLD		10-K		Update:		Annual Reports — Form 10-K  OLD	17
2/20/19	OLD		40-17G		Update:		Fidelity Bonds for Investment Companies  OLD	14
12/7/16	OLD		CORRESP		Comment:		Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC	14
11/9/16	OLD		NT 10-Q		Update:		Notices of Late Filings of Form 10-Q Quarterly Reports — Form 12b-25  OLD	2
4/25/16	OLD		APP ORDR		SEC:		Application for an SEC Exemption Order – ‘40-APP’ SEC Order  OLD	1
3/30/16	OLD		APP NTC		SEC:		Application for an SEC Exemption Order – ‘40-APP’ SEC Notice  OLD	1
3/18/16	OLD		40-APP		Registration:		Applications for Exemption Orders and Other Relief by Investment Companies  OLD	10
8/28/14	OLD		ARS		Update:		Annual Reports to Security Holders  OLD	3
7/21/14	OLD		PRE 14A		Proxy:		Preliminary Proxy Statements — Schedule 14A  OLD	2
5/7/13	OLD		EFFECT		SEC:		SEC Notices of Effectiveness  OLD	2
4/19/13	OLD		N-2		Registration:		Registration Statements by Closed-End Investment Companies — Form N-2  OLD	13
3/16/10	OLD		NT 10-K		Update:		Notices of Late Filings of Form 10-K Annual Reports — Form 12b-25  OLD	2
4/25/08	OLD		497AD		Update:		Advertising by Certain Investment Companies  OLD	6
4/10/08	OLD		497		Registration:		Definitive Materials  OLD	3
3/19/08	OLD		NO ACT		SEC:		SEC No-Action Letters re: Shareholder Proposals  OLD	2
5/24/05	OLD		40-17F1		Update:		Certificate of Accounting of Securities of an Investment Company in the Custody of Members of National Securities Exchanges — Form N-17f-1  OLD	1
10/29/04	OLD		8-A12G		Registration:		Registration Statements for Certain Classes of Securities — Form 8-A  OLD	3
8/16/04	OLD		N-54A		Update:		Notice of Election by a Business Development Company (BDC) — Form N-54A  OLD	1
					General Exhibits:
12/19/19	OLD		EX-3		Articles of Incorporation/Organization and Bylaws  OLD			7
8/1/19	OLD		EX-2		Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD			2
3/21/19	OLD		EX-14		Codes of Ethics  OLD			12
3/21/19	OLD		EX-21		Subsidiaries Lists  OLD			14
9/7/18	OLD		EX-10		Material Contracts  OLD			45
3/12/15	OLD		EX-4		Instruments, Including Indentures, Defining the Rights of Security Holders  OLD			2
3/3/08	OLD		EX-17		Correspondence re: Departure of a Director  OLD			1
					Additional Exhibits:
12/19/19	OLD		EX-99		Miscellaneous Exhibits, such as Press Releases  OLD  — Press Releases & Conference Calls			255
					Financials:
11/12/19	OLD		EX-31		Certifications — §302 – SOA’02  OLD			142
11/12/19	OLD		EX-32		Certifications — §906 – SOA’02  OLD			140
4/13/12	OLD		EX-16		Letters re: Changes in Accountants  OLD			2
					Graphics:
11/14/19	OLD		GRAPHIC		Photos, Images and Graphs  OLD			832

Forms , Documents & Exhibits  in  340 Filings  Filed re:  Issuer / Subject Company

        

        

Latest Filing			Type		Category	Description		Documents
2/13/20	OLD		SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD	38
12/20/19	OLD		4		Ownership:		Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD	226
12/18/19	OLD		25-NSE		Trading:		Notice by a Securities Exchange of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities — Form 25  OLD	1
11/14/19	OLD		425		Registration:		Prospectuses and Communications – Mergers  OLD	6
8/2/19	OLD		40-17F2		Update:		Certificates of Accounting of Securities in the Custody of Investment Companies — Form N-17f-2  OLD	35
4/13/18	OLD		SC 13D		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD	6
1/22/16	OLD		3		Ownership:		Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD	22
2/14/07	OLD		5		Ownership:		Annual Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 5  OLD	3
5/24/05	OLD		40-17F1		Update:		Certificate of Accounting of Securities of an Investment Company in the Custody of Members of National Securities Exchanges — Form N-17f-1  OLD	1
					Letters:
10/22/09	OLD		LETTER		Comment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC			2
					General Exhibits:
6/15/15	OLD		EX-24		Powers of Attorney  OLD			24
					Additional Exhibits:
12/18/19	OLD		EX-99		Miscellaneous Exhibits, such as Press Releases  OLD			6
					Graphics:
11/14/19	OLD		GRAPHIC		Photos, Images and Graphs  OLD			55

        

Filings History

Year		# of Filings
2020		2
2019		48
2018		27
2017		31
2016		33
2015		73
2014		94
2013		41
2012		45
2011		37
2010		43
2009		47
2008		67
2007		53
2006		44
2005		33
2004		32