B. Riley Financial’s OHA Investment Corporation OHAI Stock Holding History

B. Riley Financial’s Portfolio OHAI Stock Details OHAI Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q3	–	Sell	-46,800	Closed	-$71K	–	343
2018 Q2	$71K	Sell	46,800 -43,200	-48%	-$64.3K	0.02%	300
2018 Q1	$126K	Sell	90,000 -60,000	-40%	-$74.2K	0.04%	275
2017 Q4	$173K	Buy	+150,000	New	+$177K	0.05%	284

Other funds holding OHAI

Rivernorth Capital Management West Palm Beach, Florida $2B AUM 0.66% 1-Year Est. Return

TCW Group Los Angeles, California $13.3B AUM 34.44% 1-Year Est. Return

Fondren Management Houston, Texas $16.9M AUM 5.82% 1-Year Est. Return

Truvvo Partners New York $5.22M AUM 13.74% 1-Year Est. Return

Kennedy Capital Management St Louis, Missouri $4.72B AUM 36.69% 1-Year Est. Return

Deltec Asset Management New York $545M AUM 33.4% 1-Year Est. Return

Ladenburg Thalmann Financial Services Miami, Florida $15.9B AUM 25.16% 1-Year Est. Return

Susquehanna International Group

Susquehanna International Group Bala Cynwyd, Pennsylvania $77.3B AUM 36.07% 1-Year Est. Return

JP Morgan Chase

JP Morgan Chase New York $1.47T AUM 27.86% 1-Year Est. Return

Holt Capital Partners Fort Worth, Texas $742M AUM 18.42% 1-Year Est. Return