Filing Details
- Accession Number:
- 0001567619-20-002511
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-02-10 12:47:55
- Reporting Period:
- 2020-02-06
- Accepted Time:
- 2020-02-10 12:47:55
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1495222 | Oxford Lane Capital Corp. | OXLC | () | 272859071 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1619007 | Scott Leroy Frantz | Haebler Capital 8 Sound Shore Drive Greenwich CT 06830 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| 6.25% Series 2027 Preferred Stock | Acquisiton | 2020-02-06 | 400,000 | $25.00 | 400,000 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| 6.75 Series 2024 Term Preferred Stock | 200,000 | Direct | |
| 6.75 Series 2024 Term Preferred Stock | 11,750 | Indirect | By Trust |
| 7.50 Series 2023 Term Preferred Stock | 437,622 | Direct | |
| Common Stock | 1,012 | Direct |
Footnotes
- Reflects shares held by the Trust under agreement dated 7/10/58 for the benefit of L. Scott Frantz. Mr. Frantz disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission for purposes of Section 16 or for any other purpose.
Billionaire Hedge Funds
