OHA Investment Corp

Related Filers (79)

Financials (74)

10-Q
Tuesday, 11/12/2019
Quarterly Report for period ending 2019-09-30
10-Q
Monday, 8/12/2019
Quarterly Report for period ending 2019-06-30
10-Q
Tuesday, 5/14/2019
Quarterly Report for period ending 2019-03-31
10-K
Thursday, 3/21/2019
Annual Report for period ending 2018-12-31
10-Q
Wednesday, 11/14/2018
Quarterly Report for period ending 2018-09-30
10-Q
Tuesday, 8/14/2018
Quarterly Report for period ending 2018-06-30
10-Q
Monday, 5/14/2018
Quarterly Report for period ending 2018-03-31
10-K
Monday, 3/26/2018
Annual Report for period ending 2017-12-31
10-Q
Monday, 11/13/2017
Quarterly Report for period ending 2017-09-30
10-Q
Thursday, 8/10/2017
Quarterly Report for period ending 2017-06-30
10-Q
Monday, 5/15/2017
Quarterly Report for period ending 2017-03-31
10-K
Tuesday, 3/14/2017
Annual Report for period ending 2016-12-31
10-Q
Monday, 11/14/2016
Quarterly Report for period ending 2016-09-30
NT 10-Q
Thursday, 11/10/2016
Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB for period ending 2016-11-09
10-Q
Friday, 8/5/2016
Quarterly Report for period ending 2016-06-30
10-Q
Tuesday, 5/10/2016
Quarterly Report for period ending 2016-03-31
10-K
Tuesday, 3/15/2016
Annual Report for period ending 2015-12-31
10-Q
Monday, 11/9/2015
Quarterly Report for period ending 2015-09-30
10-Q
Thursday, 8/6/2015
Quarterly Report for period ending 2015-06-30
10-Q
Friday, 5/8/2015
Quarterly Report for period ending 2015-03-31
10-K
Thursday, 3/12/2015
Annual Report for period ending 2014-12-31
10-Q
Friday, 11/7/2014
Quarterly Report for period ending 2014-09-30
10-Q
Friday, 5/9/2014
Quarterly Report for period ending 2014-03-31
10-K/A
Tuesday, 4/29/2014
Annual Report for period ending 2013-12-31
10-K
Monday, 3/10/2014
Annual Report for period ending 2013-12-31
10-Q
Thursday, 11/7/2013
Quarterly Report for period ending 2013-09-30
10-Q
Thursday, 8/8/2013
Quarterly Report for period ending 2013-06-30
10-Q
Thursday, 5/9/2013
Quarterly Report for period ending 2013-03-31
10-K
Tuesday, 3/12/2013
Annual Report for period ending 2012-12-31
10-Q
Friday, 11/9/2012
Quarterly Report for period ending 2012-09-30
10-Q
Wednesday, 8/8/2012
Quarterly Report for period ending 2012-06-30
10-Q
Thursday, 5/10/2012
Quarterly Report for period ending 2012-03-31
10-K
Friday, 3/9/2012
Annual Report for period ending 2011-12-31
10-Q
Tuesday, 11/15/2011
Quarterly Report for period ending 2011-09-30
NT 10-Q
Thursday, 11/10/2011
Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB for period ending 2011-09-30
10-Q
Tuesday, 8/9/2011
Quarterly Report for period ending 2011-06-30
10-Q
Friday, 5/6/2011
Quarterly Report for period ending 2011-03-31
10-K
Monday, 3/14/2011
Annual Report for period ending 2010-12-31
10-Q
Tuesday, 11/9/2010
Quarterly Report for period ending 2010-09-30
10-Q
Monday, 8/9/2010
Quarterly Report for period ending 2010-06-30
10-Q/A
Friday, 6/25/2010
Quarterly Report for period ending 2007-06-30
10-Q/A
Friday, 6/25/2010
Quarterly Report for period ending 2007-09-30
10-Q/A
Friday, 6/25/2010
Quarterly Report for period ending 2008-06-30
10-Q/A
Friday, 6/25/2010
Quarterly Report for period ending 2008-09-30
10-Q/A
Friday, 6/25/2010
Quarterly Report for period ending 2009-06-30
10-Q/A
Friday, 6/25/2010
Quarterly Report for period ending 2009-09-30
10-Q
Monday, 5/10/2010
Quarterly Report for period ending 2010-03-31
10-Q/A
Monday, 5/10/2010
Quarterly Report for period ending 2007-03-31
10-Q/A
Monday, 5/10/2010
Quarterly Report for period ending 2008-03-31
10-Q/A
Monday, 5/10/2010
Quarterly Report for period ending 2009-03-31
10-K
Wednesday, 3/31/2010
Annual Report for period ending 2009-12-31
NT 10-K
Tuesday, 3/16/2010
Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10-KT for period ending 2009-12-31
10-Q
Friday, 11/6/2009
Quarterly Report for period ending 2009-09-30
10-Q
Friday, 8/7/2009
Quarterly Report for period ending 2009-06-30
10-Q
Monday, 5/11/2009
Quarterly Report for period ending 2009-03-31
10-K
Monday, 3/16/2009
Annual Report for period ending 2008-12-31
10-Q
Monday, 11/10/2008
Quarterly Report for period ending 2008-09-30
10-Q
Wednesday, 8/6/2008
Quarterly Report for period ending 2008-06-30
10-Q
Thursday, 5/8/2008
Quarterly Report for period ending 2008-05-07
10-K
Thursday, 3/13/2008
Annual Report for period ending 2007-12-31
10-Q
Friday, 11/9/2007
Quarterly Report for period ending 2007-09-30
10-Q
Wednesday, 8/8/2007
Quarterly Report for period ending 2007-06-30
10-Q
Wednesday, 5/9/2007
Quarterly Report for period ending 2007-03-31
10-K
Friday, 3/9/2007
Annual Report for period ending 2006-12-31
10-Q
Tuesday, 11/7/2006
Quarterly Report for period ending 2006-09-30
10-Q
Monday, 8/7/2006
Quarterly Report for period ending 2006-06-30
10-Q
Wednesday, 5/10/2006
Quarterly Report for period ending 2006-03-31
10-K
Thursday, 3/16/2006
Annual Report for period ending 2005-12-31
10-Q
Monday, 11/14/2005
Quarterly Report for period ending 2005-09-30
10-Q
Friday, 8/12/2005
Quarterly Report for period ending 2005-06-30
10-K/A
Monday, 5/16/2005
Annual Report for period ending 2004-12-31
10-Q
Monday, 5/16/2005
Quarterly Report for period ending 2005-03-31
10-K
Tuesday, 4/12/2005
Annual Report for period ending 2004-12-31
NT 10-K
Friday, 4/1/2005
Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10-KT for period ending 2004-12-31
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News (233)

8-K
Thursday, 12/19/2019
Current report filing
8-K
Thursday, 12/12/2019
Current report filing
8-K
Wednesday, 11/13/2019
Current report filing
8-K
Wednesday, 11/6/2019
Current report filing
8-K
Wednesday, 9/11/2019
Current report filing
8-K
Tuesday, 8/13/2019
Current report filing
8-K
Tuesday, 8/6/2019
Current report filing
8-K
Friday, 8/2/2019
Current report filing
8-K
Wednesday, 6/5/2019
Current report filing
8-K
Tuesday, 5/14/2019
Current report filing
8-K
Tuesday, 5/7/2019
Current report filing
8-K
Thursday, 4/25/2019
Current report filing
8-K
Thursday, 3/21/2019
Current report filing
8-K
Wednesday, 3/13/2019
Current report filing
8-K
Monday, 3/4/2019
Current report filing
8-K
Wednesday, 12/12/2018
Current report filing
8-K
Thursday, 11/15/2018
Current report filing
8-K
Wednesday, 10/24/2018
Current report filing
8-K
Friday, 9/14/2018
Current report filing
8-K
Friday, 9/7/2018
Current report filing
8-K
Tuesday, 8/14/2018
Current report filing
8-K
Wednesday, 8/1/2018
Current report filing
8-K
Tuesday, 6/5/2018
Current report filing
8-K
Monday, 5/14/2018
Current report filing
8-K
Tuesday, 5/8/2018
Current report filing
8-K
Friday, 4/27/2018
Current report filing
8-K
Wednesday, 4/11/2018
Current report filing
8-K
Monday, 3/26/2018
Current report filing
8-K
Wednesday, 3/14/2018
Current report filing
8-K
Monday, 12/18/2017
Current report filing
8-K
Tuesday, 12/12/2017
Current report filing
8-K
Monday, 11/13/2017
Current report filing
8-K
Tuesday, 10/31/2017
Current report filing
8-K
Thursday, 10/19/2017
Current report filing
8-K
Monday, 9/18/2017
Current report filing
8-K
Thursday, 8/10/2017
Current report filing
8-K
Thursday, 7/27/2017
Current report filing
8-K
Wednesday, 7/26/2017
Current report filing
8-K
Friday, 6/16/2017
Current report filing
8-K
Monday, 5/15/2017
Current report filing
8-K
Wednesday, 4/26/2017
Current report filing
8-K
Tuesday, 3/14/2017
Current report filing
8-K
Friday, 2/24/2017
Current report filing
8-K
Thursday, 12/8/2016
Current report filing
8-K
Tuesday, 12/6/2016
Current report filing
8-K
Monday, 11/14/2016
Current report filing
8-K
Wednesday, 11/9/2016
Current report filing
8-K
Thursday, 10/20/2016
Current report filing
8-K
Thursday, 9/15/2016
Current report filing
8-K
Monday, 9/12/2016
Current report filing
8-K
Friday, 8/5/2016
Current report filing
8-K
Thursday, 7/28/2016
Current report filing
8-K
Wednesday, 6/8/2016
Current report filing
8-K
Tuesday, 6/7/2016
Current report filing
8-K
Tuesday, 5/10/2016
Current report filing
8-K
Tuesday, 3/15/2016
Current report filing
8-K
Tuesday, 1/19/2016
Current report filing
8-K
Friday, 12/11/2015
Current report filing
8-K
Tuesday, 11/10/2015
Current report filing
8-K
Wednesday, 10/14/2015
Current report filing
8-K
Thursday, 9/17/2015
Current report filing
8-K
Thursday, 8/6/2015
Current report filing
8-K
Friday, 6/12/2015
Current report filing
8-K
Friday, 5/8/2015
Current report filing
8-K
Thursday, 3/12/2015
Current report filing
8-K
Wednesday, 12/17/2014
Current report filing
8-K
Thursday, 11/6/2014
Current report filing
8-K
Thursday, 10/2/2014
Current report filing
8-K
Tuesday, 9/30/2014
Current report filing
8-K
Tuesday, 9/16/2014
Current report filing
8-K
Wednesday, 8/6/2014
Current report filing
8-K
Monday, 7/21/2014
Current report filing
8-K
Monday, 6/16/2014
Current report filing
8-K
Wednesday, 5/7/2014
Current report filing
8-K
Tuesday, 4/22/2014
Current report filing
8-K
Wednesday, 3/19/2014
Current report filing
8-K
Thursday, 3/6/2014
Current report filing
8-K
Friday, 12/6/2013
Current report filing
8-K
Thursday, 11/7/2013
Current report filing
8-K
Monday, 11/4/2013
Current report filing
8-K
Thursday, 10/3/2013
Current report filing
8-K
Thursday, 9/26/2013
Current report filing
8-K
Friday, 9/13/2013
Current report filing
8-K
Tuesday, 9/10/2013
Current report filing
8-K
Wednesday, 8/14/2013
Current report filing
8-K
Thursday, 8/8/2013
Current report filing
8-K
Wednesday, 6/12/2013
Current report filing
8-K
Wednesday, 5/29/2013
Current report filing
8-K
Thursday, 5/16/2013
Current report filing
8-K
Tuesday, 5/7/2013
Current report filing
8-K
Monday, 5/6/2013
Current report filing
8-K
Wednesday, 3/20/2013
Current report filing
8-K
Thursday, 3/7/2013
Current report filing
8-K
Wednesday, 2/27/2013
Current report filing
8-K
Friday, 2/22/2013
Current report filing
8-K
Wednesday, 2/20/2013
Current report filing
8-K/A
Thursday, 12/27/2012
Current report filing
8-K
Friday, 12/14/2012
Current report filing
8-K
Tuesday, 12/4/2012
Current report filing
8-K
Tuesday, 11/6/2012
Current report filing
Show More

Other (110)

15-12G
Wednesday, 1/15/2020
Notice of termination of registration of a class of securities under Section 12(g)
N-54C
Thursday, 12/19/2019
Notification of withdrawal by business development companies filed on Form N-54C
25-NSE
Wednesday, 12/18/2019
Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities
40-17F2
Friday, 8/2/2019
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2
Tuesday, 4/2/2019
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17G
Wednesday, 2/20/2019
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
40-17F2
Friday, 1/18/2019
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2
Tuesday, 10/30/2018
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2
Monday, 4/16/2018
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17G
Wednesday, 2/21/2018
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
40-17F2
Thursday, 11/30/2017
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2
Thursday, 11/30/2017
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2
Friday, 4/7/2017
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17G
Wednesday, 2/8/2017
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
40-17F2
Thursday, 12/29/2016
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
CORRESP
Wednesday, 12/7/2016
A correspondence can be sent as a document with another submission type or can be sent as a separate submission.
40-17F2
Friday, 10/28/2016
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
CORRESP
Thursday, 10/13/2016
A correspondence can be sent as a document with another submission type or can be sent as a separate submission.
APP NTC
Friday, 4/29/2016
None
APP ORDR
Friday, 4/29/2016
None
40-17F2
Tuesday, 3/29/2016
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-APP/A
Friday, 3/18/2016
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-17F2
Monday, 2/1/2016
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-APP/A
Friday, 12/18/2015
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-17G
Friday, 11/20/2015
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
40-17F2
Tuesday, 11/17/2015
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-APP/A
Monday, 10/19/2015
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-APP
Friday, 6/5/2015
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-17F2
Wednesday, 4/29/2015
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2
Monday, 4/6/2015
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2
Wednesday, 2/4/2015
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17G
Friday, 11/7/2014
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
CORRESP
Tuesday, 9/23/2014
A correspondence can be sent as a document with another submission type or can be sent as a separate submission.
ARS
Wednesday, 8/27/2014
Annual report to security holders
CORRESP
Monday, 8/25/2014
A correspondence can be sent as a document with another submission type or can be sent as a separate submission.
40-17F2
Tuesday, 4/22/2014
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2
Wednesday, 3/5/2014
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2
Thursday, 12/5/2013
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17G
Tuesday, 11/12/2013
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
EFFECT
Monday, 5/6/2013
Notice of Effectiveness
CORRESP
Friday, 5/3/2013
A correspondence can be sent as a document with another submission type or can be sent as a separate submission.
CORRESP
Friday, 5/3/2013
A correspondence can be sent as a document with another submission type or can be sent as a separate submission.
N-2/A
Monday, 4/22/2013
Initial filing of a registration statement on Form N-2 for closed-end investment companies
40-17F2
Monday, 3/25/2013
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2
Monday, 3/25/2013
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2
Monday, 3/25/2013
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
N-2/A
Wednesday, 1/16/2013
Initial filing of a registration statement on Form N-2 for closed-end investment companies
CORRESP
Wednesday, 1/16/2013
A correspondence can be sent as a document with another submission type or can be sent as a separate submission.
40-17G
Monday, 11/19/2012
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
N-2/A
Monday, 8/6/2012
Initial filing of a registration statement on Form N-2 for closed-end investment companies
CORRESP
Monday, 8/6/2012
A correspondence can be sent as a document with another submission type or can be sent as a separate submission.
ARS
Thursday, 4/19/2012
Annual report to security holders
40-17F2
Thursday, 3/22/2012
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2
Thursday, 3/22/2012
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2
Thursday, 3/22/2012
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17G
Monday, 11/21/2011
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
40-APP/A
Thursday, 10/6/2011
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-APP/A
Thursday, 8/25/2011
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
N-2/A
Friday, 4/29/2011
Initial filing of a registration statement on Form N-2 for closed-end investment companies
CORRESP
Thursday, 4/28/2011
A correspondence can be sent as a document with another submission type or can be sent as a separate submission.
40-17F2
Wednesday, 4/6/2011
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2
Wednesday, 4/6/2011
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-APP/A
Wednesday, 1/5/2011
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-17G
Friday, 11/19/2010
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
40-17F2
Tuesday, 9/21/2010
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2
Monday, 3/1/2010
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-APP/A
Thursday, 12/17/2009
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-17F2
Friday, 11/20/2009
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17G
Friday, 11/20/2009
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
40-17F2
Friday, 10/23/2009
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-APP
Tuesday, 9/8/2009
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-APP
Tuesday, 9/8/2009
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
CORRESP
Monday, 8/17/2009
A correspondence can be sent as a document with another submission type or can be sent as a separate submission.
N-2
Friday, 7/31/2009
Initial filing of a registration statement on Form N-2 for closed-end investment companies
40-17F2
Monday, 4/6/2009
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2
Monday, 4/6/2009
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2
Monday, 4/6/2009
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17G
Friday, 1/23/2009
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
40-17F2
Tuesday, 4/29/2008
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
497AD
Friday, 4/25/2008
Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497
497AD
Wednesday, 4/16/2008
Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497
497
Thursday, 4/10/2008
Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497
497AD
Thursday, 4/10/2008
Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497
40-17G
Wednesday, 4/9/2008
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
497
Monday, 4/7/2008
Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497
EFFECT
Wednesday, 2/6/2008
Notice of Effectiveness
CORRESP
Monday, 2/4/2008
A correspondence can be sent as a document with another submission type or can be sent as a separate submission.
N-2/A
Tuesday, 1/8/2008
Initial filing of a registration statement on Form N-2 for closed-end investment companies
NO ACT
Friday, 12/28/2007
None
NO ACT
Friday, 12/28/2007
None
N-2/A
Friday, 12/14/2007
Initial filing of a registration statement on Form N-2 for closed-end investment companies
CORRESP
Friday, 12/14/2007
A correspondence can be sent as a document with another submission type or can be sent as a separate submission.
N-2
Monday, 10/15/2007
Initial filing of a registration statement on Form N-2 for closed-end investment companies
40-17G
Thursday, 6/14/2007
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
40-17G
Thursday, 4/20/2006
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
40-17F1
Thursday, 5/19/2005
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-1 of the Investment Company Act of 1940 filed on Form N-17F-1
ARS
Wednesday, 4/27/2005
Annual report to security holders
497AD
Tuesday, 12/14/2004
Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497
497AD
Monday, 11/29/2004
Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497
497
Wednesday, 11/10/2004
Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497
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Ownership (287)

SC 13G/A
Thursday, 2/13/2020
RIVERNORTH CAPITAL MANAGEMENT, LLC: Major Shareholders
4
Friday, 12/20/2019
STERN JAMES A: Statement of changes in beneficial ownership of securities
4
Friday, 12/20/2019
Gilbert Cory: Statement of changes in beneficial ownership of securities
4
Friday, 12/20/2019
TANNURA FRANK V: Statement of changes in beneficial ownership of securities
4
Friday, 12/20/2019
ORAN STUART I: Statement of changes in beneficial ownership of securities
4
Friday, 12/20/2019
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
SC 13G
Thursday, 2/21/2019
Callodine Capital Management, LP: Major Shareholders
SC 13G/A
Thursday, 2/14/2019
RIVERNORTH CAPITAL MANAGEMENT, LLC: Major Shareholders
SC 13G/A
Monday, 2/4/2019
TCW GROUP INC: Major Shareholders
SC 13D/A
Friday, 4/13/2018
Etude Capital, LLC.: Major Shareholders
SC 13D/A
Wednesday, 4/4/2018
Etude Capital, LLC.: Major Shareholders
SC 13D/A
Wednesday, 2/14/2018
Etude Capital, LLC.: Major Shareholders
SC 13G/A
Wednesday, 2/14/2018
RIVERNORTH CAPITAL MANAGEMENT, LLC: Major Shareholders
SC 13G/A
Monday, 2/12/2018
TCW GROUP INC: Major Shareholders
SC 13D/A
Tuesday, 12/19/2017
Etude Capital, LLC.: Major Shareholders
SC 13D/A
Wednesday, 10/18/2017
Etude Capital, LLC.: Major Shareholders
SC 13D
Friday, 9/29/2017
Etude Capital, LLC.: Major Shareholders
SC 13G/A
Monday, 9/11/2017
WELLS FARGO & COMPANY/MN: Major Shareholders
SC 13G
Tuesday, 2/14/2017
TCW GROUP INC: Major Shareholders
SC 13G/A
Tuesday, 2/14/2017
RIVERNORTH CAPITAL MANAGEMENT, LLC: Major Shareholders
SC 13G/A
Tuesday, 2/14/2017
CREDIT SUISSE AG/: Major Shareholders
SC 13G
Friday, 1/27/2017
WELLS FARGO & COMPANY/MN: Major Shareholders
SC 13G
Tuesday, 2/16/2016
RIVERNORTH CAPITAL MANAGEMENT, LLC: Major Shareholders
SC 13G
Tuesday, 2/16/2016
CREDIT SUISSE AG/: Major Shareholders
SC 13G
Friday, 2/12/2016
Wedbush Opportunity Capital, LLC: Major Shareholders
3
Friday, 1/22/2016
Wayne Steven: Initial statement of beneficial ownership of securities
4
Wednesday, 12/30/2015
Long Robert W.: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/30/2015
TANNURA FRANK V: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/30/2015
ORAN STUART I: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/30/2015
STERN JAMES A: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/30/2015
Gilbert Cory: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/29/2015
STERN JAMES A: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/29/2015
Gilbert Cory: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/29/2015
ORAN STUART I: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/29/2015
Long Robert W.: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/29/2015
TANNURA FRANK V: Statement of changes in beneficial ownership of securities
4
Monday, 12/28/2015
Gilbert Cory: Statement of changes in beneficial ownership of securities
4
Monday, 12/28/2015
TANNURA FRANK V: Statement of changes in beneficial ownership of securities
4
Monday, 12/28/2015
Long Robert W.: Statement of changes in beneficial ownership of securities
4
Monday, 12/28/2015
ORAN STUART I: Statement of changes in beneficial ownership of securities
4
Monday, 12/28/2015
STERN JAMES A: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/22/2015
ORAN STUART I: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/22/2015
TANNURA FRANK V: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/22/2015
Long Robert W.: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/22/2015
STERN JAMES A: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/22/2015
Gilbert Cory: Statement of changes in beneficial ownership of securities
4
Friday, 12/18/2015
STERN JAMES A: Statement of changes in beneficial ownership of securities
4
Friday, 12/18/2015
TANNURA FRANK V: Statement of changes in beneficial ownership of securities
4
Friday, 12/18/2015
ORAN STUART I: Statement of changes in beneficial ownership of securities
4
Friday, 12/18/2015
Gilbert Cory: Statement of changes in beneficial ownership of securities
4
Friday, 12/18/2015
Long Robert W.: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/16/2015
TANNURA FRANK V: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/16/2015
ORAN STUART I: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/16/2015
Long Robert W.: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/16/2015
Gilbert Cory: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/16/2015
STERN JAMES A: Statement of changes in beneficial ownership of securities
4
Monday, 12/14/2015
ORAN STUART I: Statement of changes in beneficial ownership of securities
4
Monday, 12/14/2015
Gilbert Cory: Statement of changes in beneficial ownership of securities
4
Monday, 12/14/2015
Long Robert W.: Statement of changes in beneficial ownership of securities
4
Monday, 12/14/2015
STERN JAMES A: Statement of changes in beneficial ownership of securities
4
Monday, 12/14/2015
TANNURA FRANK V: Statement of changes in beneficial ownership of securities
4
Thursday, 12/10/2015
STERN JAMES A: Statement of changes in beneficial ownership of securities
4
Thursday, 12/10/2015
Long Robert W.: Statement of changes in beneficial ownership of securities
4
Thursday, 12/10/2015
TANNURA FRANK V: Statement of changes in beneficial ownership of securities
4
Thursday, 12/10/2015
Gilbert Cory: Statement of changes in beneficial ownership of securities
4
Thursday, 12/10/2015
ORAN STUART I: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/9/2015
STERN JAMES A: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/9/2015
TANNURA FRANK V: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/9/2015
Gilbert Cory: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/9/2015
Long Robert W.: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/9/2015
ORAN STUART I: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/8/2015
Long Robert W.: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/8/2015
STERN JAMES A: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/8/2015
TANNURA FRANK V: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/8/2015
Gilbert Cory: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/8/2015
ORAN STUART I: Statement of changes in beneficial ownership of securities
3
Monday, 6/15/2015
Schrager Alan: Initial statement of beneficial ownership of securities
3
Monday, 6/15/2015
Gilbert Cory: Initial statement of beneficial ownership of securities
4
Tuesday, 12/30/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Monday, 12/29/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/24/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/23/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Monday, 12/22/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Friday, 12/19/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Thursday, 12/18/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/17/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/16/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Monday, 12/15/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Friday, 12/12/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Thursday, 12/11/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/10/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Tuesday, 12/9/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Monday, 12/8/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Friday, 12/5/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Thursday, 12/4/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Wednesday, 12/3/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Monday, 12/1/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Wednesday, 11/26/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Tuesday, 11/25/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
4
Monday, 11/24/2014
AUGUST GLENN R: Statement of changes in beneficial ownership of securities
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Prospectus (6)

425
Friday, 11/15/2019
Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions
425
Thursday, 11/7/2019
Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions
425
Wednesday, 8/7/2019
Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions
425
Wednesday, 8/7/2019
Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions
425
Thursday, 8/1/2019
Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions
425
Thursday, 8/1/2019
Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions
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Proxies (29)

DEFA14A
Wednesday, 11/13/2019
Definitive additional proxy soliciting materials including Rule 14(a)(12) material. Note: Submission type DEFA14A can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8-K combined form type as the easiest method for fulfilling your filing requirement for both forms.
DEFM14A
Tuesday, 11/5/2019
Definitive proxy statement relating to a merger, acquisition, or disposition
PRER14A
Wednesday, 10/16/2019
Preliminary revised proxy soliciting materials
PREM14A
Friday, 9/13/2019
Preliminary proxy statement relating to a merger, acquisition, or disposition
DEFA14A
Tuesday, 8/13/2019
Definitive additional proxy soliciting materials including Rule 14(a)(12) material. Note: Submission type DEFA14A can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8-K combined form type as the easiest method for fulfilling your filing requirement for both forms.
DEFA14A
Monday, 8/5/2019
Definitive additional proxy soliciting materials including Rule 14(a)(12) material. Note: Submission type DEFA14A can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8-K combined form type as the easiest method for fulfilling your filing requirement for both forms.
DEFA14A
Friday, 8/2/2019
Definitive additional proxy soliciting materials including Rule 14(a)(12) material. Note: Submission type DEFA14A can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8-K combined form type as the easiest method for fulfilling your filing requirement for both forms.
DEFA14A
Friday, 8/2/2019
Definitive additional proxy soliciting materials including Rule 14(a)(12) material. Note: Submission type DEFA14A can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8-K combined form type as the easiest method for fulfilling your filing requirement for both forms.
DEF 14A
Monday, 4/22/2019
Definitive proxy statements
DEF 14A
Monday, 4/23/2018
Definitive proxy statements
DEF 14A
Friday, 4/28/2017
Definitive proxy statements
DEF 14A
Friday, 4/29/2016
Definitive proxy statements
DEF 14A
Tuesday, 5/26/2015
Definitive proxy statements
DEFA14A
Monday, 9/29/2014
Definitive additional proxy soliciting materials including Rule 14(a)(12) material. Note: Submission type DEFA14A can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8-K combined form type as the easiest method for fulfilling your filing requirement for both forms.
DEFA14A
Tuesday, 9/23/2014
Definitive additional proxy soliciting materials including Rule 14(a)(12) material. Note: Submission type DEFA14A can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8-K combined form type as the easiest method for fulfilling your filing requirement for both forms.
DEFA14A
Monday, 9/15/2014
Definitive additional proxy soliciting materials including Rule 14(a)(12) material. Note: Submission type DEFA14A can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8-K combined form type as the easiest method for fulfilling your filing requirement for both forms.
DEF 14A
Monday, 8/25/2014
Definitive proxy statements
DEFA14A
Thursday, 8/21/2014
Definitive additional proxy soliciting materials including Rule 14(a)(12) material. Note: Submission type DEFA14A can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8-K combined form type as the easiest method for fulfilling your filing requirement for both forms.
PRE 14A
Monday, 7/21/2014
Preliminary proxy statement not related to a contested matter or merger/acquisition
DEF 14A
Friday, 4/5/2013
Definitive proxy statements
DEF 14A
Friday, 4/13/2012
Definitive proxy statements
DEF 14A
Tuesday, 4/5/2011
Definitive proxy statements
DEF 14A
Tuesday, 4/13/2010
Definitive proxy statements
DEF 14A
Wednesday, 4/8/2009
Definitive proxy statements
PRE 14A
Friday, 3/27/2009
Preliminary proxy statement not related to a contested matter or merger/acquisition
DEF 14A
Wednesday, 4/16/2008
Definitive proxy statements
DEF 14A
Friday, 4/13/2007
Definitive proxy statements
DEF 14A
Friday, 4/14/2006
Definitive proxy statements
DEF 14A
Tuesday, 4/26/2005
Definitive proxy statements
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