Principal Securities’s OFS Credit Co OCCI Stock Holding History

Principal Securities’s Portfolio OCCI Stock Details OCCI Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2025 Q3	–	Sell	-93	Closed	-$579	–	3813
2025 Q2	$579	Hold	93	–	–	﹤0.01%	3454
2025 Q1	$661	Hold	93	–	–	﹤0.01%	3301
2024 Q4	$661	Hold	93	–	–	﹤0.01%	3294
2024 Q3	$689	Sell	93 -194,118	-100%	-$1.43M	﹤0.01%	3213
2024 Q2	$1.4M	Buy	194,211 +24,286	+14%	+$177K	0.04%	394
2024 Q1	$1.22M	Buy	169,925 +16,440	+11%	+$114K	0.04%	402
2023 Q4	$992K	Buy	+153,485	New	+$990K	0.04%	414

Other funds holding OCCI

VIA

Virtus Investment Advisers Hartford, Connecticut $363M AUM 34.89% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

LPL Financial San Diego, California $377B AUM 19.32% 1-Year Est. Return

KAS

Kestra Advisory Services Austin, Texas $26.4B AUM 21.05% 1-Year Est. Return

Jane Street New York $777B AUM 61.18% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

AWA

Arkadios Wealth Advisors Atlanta, Georgia $6.13B AUM 23.41% 1-Year Est. Return

MWM

MinichMacGregor Wealth Management Saratoga Springs, New York $659M AUM 41.82% 1-Year Est. Return

PFS

Prospera Financial Services Dallas, Texas $6.89B AUM 37.41% 1-Year Est. Return

Virtu Financial New York $2.41B AUM 48.35% 1-Year Est. Return

Principal Securities's OCCI Position: Q3 2025 in Review

Principal Securities sold out of OFS Credit Co (OCCI) in Q3 2025, closing a stake of 93 shares — an estimated $579 sold.

Principal Securities first reported a position in OCCI in Q4 2023 and held it in 7 quarters. The position peaked at $1.4M in Q2 2024. 26 funds tracked by Wall St. Rank hold OCCI as of Q3 2025.

Principal Securities reported no remaining OFS Credit Co position as of Q3 2025 after selling out during the quarter.
Principal Securities sold 93 OFS Credit Co shares in Q3 2025, an estimated $579.
Principal Securities first reported a position in OFS Credit Co in Q4 2023 and held it in 7 quarters.
Principal Securities's OFS Credit Co position peaked at $1.4M in Q2 2024.
26 funds tracked by Wall St. Rank held OFS Credit Co as of Q3 2025.

Based on Principal Securities's 13F filing for Q3 2025, filed 12 Nov 2025.