Home > Insider Trading > Filing (0001104659-21-086378)

Filing Details

Accession Number:: 0001104659-21-086378
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-06-28 20:16:28
Reporting Period:: 2021-06-24

Accepted Time:: 2021-06-28 20:16:28
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	Director	Officer	Large Shareholder	Other
1607203	Eagle Point Credit Management Llc	600 Steamboat Road, Suite 202 Greenwich, CT 06830	No	No	Yes	No
1607205	Eagle Point Credit Gp I Lp	600 Steamboat Rd Suite 202 Greenwich CT 06830	No	No	Yes	No
1617694	P. Thomas Majewski	600 Steamboat Road, Suite 202 Greenwich, CT 06830	No	No	Yes	No
1836609	Eagle Point Dif Gp I Llc	600 Steamboat Road, Suite 202 Greenwich, CT 06830	No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
6.75% Series 2024 Term Preferred Stock (Oxlcm)	Disposition	2021-06-24	9,635	$25.17	253,384	No	4	S	Indirect	See footnote
6.75% Series 2024 Term Preferred Stock (Oxlcm)	Disposition	2021-06-25	16,931	$25.15	236,453	No	4	S	Indirect	See footnote
6.75% Series 2024 Term Preferred Stock (Oxlcm)	Disposition	2021-06-28	9,917	$25.14	226,536	No	4	S	Indirect	See footnote
6.25% Series 2027 Term Preferred Stock (Oxlcp)	Disposition	2021-06-24	47,834	$25.02	430,204	No	4	S	Indirect	See footnote
6.25% Series 2027 Term Preferred Stock (Oxlcp)	Disposition	2021-06-25	13,624	$25.01	416,580	No	4	S	Indirect	See footnote
6.25% Series 2027 Term Preferred Stock (Oxlcp)	Disposition	2021-06-28	14,657	$24.94	401,923	No	4	S	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
6.75% Notes Due 2031, $25.00 Denominations (Oxlcl)	0	Indirect	See footnote
6.75% Series 2024 Term Preferred Stock (Oxlcm)	9,450	Direct
6.25% Series 2027 Term Preferred Stock (Oxlcp)	11,000	Direct

Footnotes

The amount reported reflects the aggregate principal amount (based on face value), with respect to the notes, and the aggregate number of shares, with respect to the preferred stock.
The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $25.12 to $25.25 per share, inclusive. Upon request by the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, the reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote and each of the other applicable footnotes contained in this Form 4.
The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $25.12 to $25.15 per share, inclusive.
The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $25.12 to $25.20 per share, inclusive.
The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $25.00 to $25.06 per share, inclusive.
The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $25.00 to $25.05 per share, inclusive.
The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $24.88 to $25.00 per share, inclusive.
The securities are directly owned by certain private investment funds (the "Funds") managed by Eagle Point Credit Management ("EPCM"). Eagle Point Credit GP I LP and Eagle Point DIF GP I LLC (the "General Partners") serve as general partner to one or more of the Funds. Accordingly, EPCM and the General Partners could be deemed to have an indirect pecuniary interest in the securities held by the applicable Fund(s).
Eagle Point Holdings LP ("EP Holdings") is the parent company of EPCM and each of the General Partners, and Thomas P. Majewski has certain economic rights with respect to EP Holdings (and EPCM) that could be deemed to give rise to an indirect pecuniary interest in the securities held by the Funds and the Accounts. Among the Reporting Persons, each of Eagle Point Credit GP I LP and Mr. Majewski could be deemed to have an indirect pecuniary interest in the securities sold that are reported herein.
The securities are directly owned by the Funds and certain separately-managed client accounts (the "Accounts"). EPCM serves as investment manager to the Accounts and, due to the nature of the advisory relationship, could be deemed to have an indirect pecuniary interest in the securities held by each of the Accounts (as well as the securities held by the Funds).
Each of the Reporting Persons hereby disclaims beneficial ownership of the securities described in this report pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934 (except, with respect to Mr. Majewski, to the extent of his direct pecuniary interest therein) and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of any of the reported securities for purposes of Section 16 or for any other purpose.
Thomas P. Majewski directly owns the securities in his personal capacity. None of the other Reporting Persons has a pecuniary interest in these securities.