OXLC

SEC source: 0001213900-24-109776 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,474,887

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director of the issuer, has a 50% pecuniary interest in such account.

SEC source: 0001213900-24-109774 · ownership.xml · nonDerivative · entry 1

COHEN JONATHAN H · CIK 0001268530 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,824,728

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and a director of the issuer, has a 50% pecuniary interest in such account.

SEC source: 0001213900-24-047259 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · Director · President

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Saul Rosenthal 2012 Family Trust

Disclosed balance after: 2,315,000

SEC source: 0001213900-24-047259 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,514,887

SEC source: 0001213900-24-047258 · ownership.xml · nonDerivative · entry 1

COHEN JONATHAN H · CIK 0001268530 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,864,728

SEC source: 0001213900-23-019521 · ownership.xml · nonDerivative · entry 1

Ashenfelter Mark Jeffrey · CIK 0001507793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

SEC source: 0001209191-21-047900 · doc4.xml · nonDerivative · entry 3

Wilton Reassurance Co · CIK 0001854509 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

F1 · shares: The amount reported reflects the aggregate principal amount (based on face value), with respect to the notes.

F2 · price: The price reported reflects the sales price per note.

F1 · valueOwnedAfter: The amount reported reflects the aggregate principal amount (based on face value), with respect to the notes.

F3 · ownership.direct: The Notes were sold on the Reporting Person's behalf by a third-party discretionary investment manager.

SEC source: 0001209191-21-047900 · doc4.xml · nonDerivative · entry 2

Wilton Reassurance Co · CIK 0001854509 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

F1 · shares: The amount reported reflects the aggregate principal amount (based on face value), with respect to the notes.

F2 · price: The price reported reflects the sales price per note.

F1 · valueOwnedAfter: The amount reported reflects the aggregate principal amount (based on face value), with respect to the notes.

F3 · ownership.direct: The Notes were sold on the Reporting Person's behalf by a third-party discretionary investment manager.

SEC source: 0001209191-21-047900 · doc4.xml · nonDerivative · entry 1

Wilton Reassurance Co · CIK 0001854509 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

F1 · shares: The amount reported reflects the aggregate principal amount (based on face value), with respect to the notes.

F2 · price: The price reported reflects the sales price per note.

F1 · valueOwnedAfter: The amount reported reflects the aggregate principal amount (based on face value), with respect to the notes.

F3 · ownership.direct: The Notes were sold on the Reporting Person's behalf by a third-party discretionary investment manager.

SEC source: 0001104659-21-087035 · tm2121043-1_4seq1.xml · nonDerivative · entry 2

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 380,145

F1 · shares: 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.

F3 · price: The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $24.90 to $24.94 per share, inclusive.

F1 · balance_after: 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.

F4 · ownership.nature: 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).

F5 · ownership.nature: 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. Accordingly, each of the Reporting Persons could be deemed to have an indirect pecuniary interest in all or a portion of the securities sold that are reported herein.

F7 · ownership.nature: 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.

SEC source: 0001104659-21-087035 · tm2121043-1_4seq1.xml · nonDerivative · entry 1

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 213,543

F1 · shares: 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.

F2 · price: The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $25.14 to $25.23 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.

F1 · balance_after: 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.

F4 · ownership.nature: 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).

F5 · ownership.nature: 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. Accordingly, each of the Reporting Persons could be deemed to have an indirect pecuniary interest in all or a portion of the securities sold that are reported herein.

F7 · ownership.nature: 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.

SEC source: 0001104659-21-086378 · tm2120913-1_4seq1.xml · nonDerivative · entry 6

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 401,923

F1 · shares: 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.

F7 · price: 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.

F1 · balance_after: 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.

F8 · ownership.nature: 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).

F9 · ownership.nature: 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.

F11 · ownership.nature: 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.

SEC source: 0001104659-21-086378 · tm2120913-1_4seq1.xml · nonDerivative · entry 3

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 226,536

F1 · shares: 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.

F4 · price: 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.

F1 · balance_after: 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.

F8 · ownership.nature: 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).

F9 · ownership.nature: 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.

F11 · ownership.nature: 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.

SEC source: 0001104659-21-086378 · tm2120913-1_4seq1.xml · nonDerivative · entry 5

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 416,580

F1 · shares: 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.

F6 · price: 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.

F1 · balance_after: 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.

F8 · ownership.nature: 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).

F9 · ownership.nature: 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.

F11 · ownership.nature: 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.

SEC source: 0001104659-21-086378 · tm2120913-1_4seq1.xml · nonDerivative · entry 2

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 236,453

F1 · shares: 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.

F3 · price: 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.

F1 · balance_after: 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.

F8 · ownership.nature: 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).

F9 · ownership.nature: 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.

F11 · ownership.nature: 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.

SEC source: 0001104659-21-086378 · tm2120913-1_4seq1.xml · nonDerivative · entry 4

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 430,204

F1 · shares: 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.

F5 · price: 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.

F1 · balance_after: 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.

F8 · ownership.nature: 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).

F9 · ownership.nature: 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.

F11 · ownership.nature: 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.

SEC source: 0001104659-21-086378 · tm2120913-1_4seq1.xml · nonDerivative · entry 1

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 253,384

F1 · shares: 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.

F2 · price: 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.

F1 · balance_after: 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.

F8 · ownership.nature: 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).

F9 · ownership.nature: 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.

F11 · ownership.nature: 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.

SEC source: 0001104659-21-082841 · tm2120115-1_4seq1.xml · nonDerivative · entry 9

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See foonotes

Disclosed balance after: 602,765

F1 · shares: 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.

F10 · price: The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $24.94 to $25.00 per share, inclusive.

F1 · balance_after: 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.

F14 · ownership.nature: The securities are directly owned by the Funds. Accordingly, for the reasons described above in footnotes 6 and 7, the General Partners, EPCM, and Mr. Majewski could be deemed to have an indirect pecuniary interest in the applicable securities.

F15 · ownership.nature: 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.

SEC source: 0001104659-21-082841 · tm2120115-1_4seq1.xml · nonDerivative · entry 6

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See foonotes

Disclosed balance after: 332,759

F1 · shares: 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.

F7 · price: The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $24.99 to $25.10 per share, inclusive.

F1 · balance_after: 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.

F14 · ownership.nature: The securities are directly owned by the Funds. Accordingly, for the reasons described above in footnotes 6 and 7, the General Partners, EPCM, and Mr. Majewski could be deemed to have an indirect pecuniary interest in the applicable securities.

F15 · ownership.nature: 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.

SEC source: 0001104659-21-082841 · tm2120115-1_4seq1.xml · nonDerivative · entry 3

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See foonotes

Disclosed balance after: Not disclosed

F1 · shares: 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.

F4 · price: The price reported reflects the aggregate sales price. These securities were sold in multiple transactions at prices ranging from $25.37 to $25.42 per note, inclusive, at a weighted average price of $25.39 per note.

F1 · valueOwnedAfter: 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.

F11 · ownership.nature: The securities are directly owned by certain private investment funds (the "Funds") and certain separately-managed client accounts (the "Accounts"). Eagle Point Credit GP I LP and Eagle Point DIF GP I LLC (together, the "General Partners") serve as general partner to one or more of the Funds. Accordingly, the General Partners could be deemed to have an indirect pecuniary interest in the securities held by the Fund(s) for which they serve as general partner. Eagle Point Credit Management LLC ("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.

F12 · ownership.nature: Eagle Point Holdings LP ("EP Holdings") is the parent company of each of the General Partners and EPCM. 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.

F15 · ownership.nature: 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.

SEC source: 0001104659-21-082841 · tm2120115-1_4seq1.xml · nonDerivative · entry 8

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See foonotes

Disclosed balance after: 616,565

F1 · shares: 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.

F9 · price: The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $24.95 to $25.21 per share, inclusive.

F1 · balance_after: 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.

F14 · ownership.nature: The securities are directly owned by the Funds. Accordingly, for the reasons described above in footnotes 6 and 7, the General Partners, EPCM, and Mr. Majewski could be deemed to have an indirect pecuniary interest in the applicable securities.

F15 · ownership.nature: 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.

SEC source: 0001104659-21-082841 · tm2120115-1_4seq1.xml · nonDerivative · entry 5

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See foonotes

Disclosed balance after: 354,753

F1 · shares: 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.

F6 · price: The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $25.08 to $25.18 per share, inclusive.

F1 · balance_after: 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.

F14 · ownership.nature: The securities are directly owned by the Funds. Accordingly, for the reasons described above in footnotes 6 and 7, the General Partners, EPCM, and Mr. Majewski could be deemed to have an indirect pecuniary interest in the applicable securities.

F15 · ownership.nature: 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.

SEC source: 0001104659-21-082841 · tm2120115-1_4seq1.xml · nonDerivative · entry 2

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See foonotes

Disclosed balance after: Not disclosed

F1 · shares: 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.

F3 · price: The price reported reflects the aggregate sales price. These securities were sold in multiple transactions at prices ranging from $25.40 to $25.50 per note, inclusive, at a weighted average price of $25.42 per note.

F1 · valueOwnedAfter: 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.

F11 · ownership.nature: The securities are directly owned by certain private investment funds (the "Funds") and certain separately-managed client accounts (the "Accounts"). Eagle Point Credit GP I LP and Eagle Point DIF GP I LLC (together, the "General Partners") serve as general partner to one or more of the Funds. Accordingly, the General Partners could be deemed to have an indirect pecuniary interest in the securities held by the Fund(s) for which they serve as general partner. Eagle Point Credit Management LLC ("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.

F12 · ownership.nature: Eagle Point Holdings LP ("EP Holdings") is the parent company of each of the General Partners and EPCM. 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.

F15 · ownership.nature: 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.

SEC source: 0001104659-21-082841 · tm2120115-1_4seq1.xml · nonDerivative · entry 7

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See foonotes

Disclosed balance after: 630,006

F1 · shares: 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.

F8 · price: The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $25.10 to $25.15 per share, inclusive.

F1 · balance_after: 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.

F14 · ownership.nature: The securities are directly owned by the Funds. Accordingly, for the reasons described above in footnotes 6 and 7, the General Partners, EPCM, and Mr. Majewski could be deemed to have an indirect pecuniary interest in the applicable securities.

F15 · ownership.nature: 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.

SEC source: 0001104659-21-082841 · tm2120115-1_4seq1.xml · nonDerivative · entry 4

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See foonotes

Disclosed balance after: 362,145

F1 · shares: 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.

F5 · price: The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $25.20 to $25.30 per share, inclusive.

F1 · balance_after: 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.

F14 · ownership.nature: The securities are directly owned by the Funds. Accordingly, for the reasons described above in footnotes 6 and 7, the General Partners, EPCM, and Mr. Majewski could be deemed to have an indirect pecuniary interest in the applicable securities.

F15 · ownership.nature: 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.

SEC source: 0001104659-21-082841 · tm2120115-1_4seq1.xml · nonDerivative · entry 1

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See foonotes

Disclosed balance after: Not disclosed

F1 · shares: 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.

F2 · price: The price reported reflects the aggregate sales price of the notes. These securities were sold in multiple transactions at prices ranging from $25.44 to $25.47 per note, inclusive, at a weighted average price of $25.45 per note. 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 notes/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.

F1 · valueOwnedAfter: 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.

F11 · ownership.nature: The securities are directly owned by certain private investment funds (the "Funds") and certain separately-managed client accounts (the "Accounts"). Eagle Point Credit GP I LP and Eagle Point DIF GP I LLC (together, the "General Partners") serve as general partner to one or more of the Funds. Accordingly, the General Partners could be deemed to have an indirect pecuniary interest in the securities held by the Fund(s) for which they serve as general partner. Eagle Point Credit Management LLC ("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.

F12 · ownership.nature: Eagle Point Holdings LP ("EP Holdings") is the parent company of each of the General Partners and EPCM. 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.

F15 · ownership.nature: 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.

SEC source: 0001104659-21-052121 · tm2113441-1_4seq1.xml · nonDerivative · entry 4

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 21,250,800

F2 · shares: The amount reported reflects the aggregate principal amount of the securities.

F5 · price: The price reported reflects the aggregate purchase price. These securities were sold in multiple transactions at prices ranging from $25.10 to $25.25 per Note, inclusive, at a weighted average price of $25.15 per Note.

F2 · balance_after: The amount reported reflects the aggregate principal amount of the securities.

F6 · ownership.nature: The securities are directly owned by certain private investment funds (the "Funds") and certain separately-managed client accounts (the "Accounts"). Eagle Point Credit GP I LP and Eagle Point DIF GP I LLC (together, the "General Partners") serve as general partner to one or more of the Funds. Accordingly, the General Partners could be deemed to have an indirect pecuniary interest in the securities held by the Fund(s) for which they serve as general partner. Eagle Point Credit Management LLC ("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.

F7 · ownership.nature: Eagle Point Holdings LP ("EP Holdings") is the parent company of each of the General Partners and EPCM. 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 Notes sold on April 15, 16, and 19, as reported herein.

F10 · ownership.nature: 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.

SEC source: 0001104659-21-052121 · tm2113441-1_4seq1.xml · nonDerivative · entry 3

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 21,551,200

F2 · shares: The amount reported reflects the aggregate principal amount of the securities.

F4 · price: The price reported reflects the aggregate purchase price. These securities were sold in multiple transactions at prices ranging from $25.10 to $25.20 per Note, inclusive, at a weighted average price of $25.12 per Note.

F2 · balance_after: The amount reported reflects the aggregate principal amount of the securities.

F6 · ownership.nature: The securities are directly owned by certain private investment funds (the "Funds") and certain separately-managed client accounts (the "Accounts"). Eagle Point Credit GP I LP and Eagle Point DIF GP I LLC (together, the "General Partners") serve as general partner to one or more of the Funds. Accordingly, the General Partners could be deemed to have an indirect pecuniary interest in the securities held by the Fund(s) for which they serve as general partner. Eagle Point Credit Management LLC ("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.

F7 · ownership.nature: Eagle Point Holdings LP ("EP Holdings") is the parent company of each of the General Partners and EPCM. 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 Notes sold on April 15, 16, and 19, as reported herein.

F10 · ownership.nature: 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.

SEC source: 0001104659-21-052121 · tm2113441-1_4seq1.xml · nonDerivative · entry 2

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 22,698,700

F2 · shares: The amount reported reflects the aggregate principal amount of the securities.

F3 · price: The price reported reflects the aggregate purchase price. These securities were sold in multiple transactions at prices ranging from $25.23 to $25.34 per Note, inclusive, at a weighted average price of $25.25 per Note. 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 purchased at each separate price within the ranges set forth in footnotes (3), (4), and (5) to this Form 4.

F2 · balance_after: The amount reported reflects the aggregate principal amount of the securities.

F6 · ownership.nature: The securities are directly owned by certain private investment funds (the "Funds") and certain separately-managed client accounts (the "Accounts"). Eagle Point Credit GP I LP and Eagle Point DIF GP I LLC (together, the "General Partners") serve as general partner to one or more of the Funds. Accordingly, the General Partners could be deemed to have an indirect pecuniary interest in the securities held by the Fund(s) for which they serve as general partner. Eagle Point Credit Management LLC ("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.

F7 · ownership.nature: Eagle Point Holdings LP ("EP Holdings") is the parent company of each of the General Partners and EPCM. 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 Notes sold on April 15, 16, and 19, as reported herein.

F10 · ownership.nature: 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.

SEC source: 0001104659-21-052121 · tm2113441-1_4seq1.xml · nonDerivative · entry 1

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The securities were called for redemption by the Issuer at a price equal to their liquidation preference price (plus accrued but unpaid dividends). Thomas P. Majewski directly owned the securities in his personal capacity. None of the other Reporting Persons had a pecuniary interest in these securities.

SEC source: 0001213900-21-022059 · ownership.xml · nonDerivative · entry 1

Frantz Leroy Scott · CIK 0001619007 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On April 15, 2021 (the "Redemption Date"), Oxford Lane Capital Corp. (the "Issuer") redeemed all 2,281,395 issued and outstanding shares of the Issuer's 7.50% Series 2023 Term Preferred Stock (the "Shares"), which was traded on the NASDAQ Global Select Market under the ticker OXLCO, for a redemption price of $25.07291667, which represents the liquidation preference price of $25 per Share plus accrued but unpaid dividends of $0.07291667 per Share. As a result of the foregoing, all 292,404 Shares beneficially owned by Mr. Frantz were redeemed as part of this redemption by the Issuer.

SEC source: 0001104659-21-049821 · tm2112881-1_4.xml · nonDerivative · entry 2

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 23,442,500

F1 · shares: The amount reported reflects the aggregate principal amount of the 6.75% Notes due 2031 ("Notes").

F3 · price: The price reported in Column 4 reflects the aggregate purchase price. These securities were sold in multiple transactions at prices ranging from $25.27 to $25.39 per Note, inclusive, at a weighted average price of $25.31 per Note.

F1 · balance_after: The amount reported reflects the aggregate principal amount of the 6.75% Notes due 2031 ("Notes").

F4 · ownership.nature: The Notes are directly owned by certain private investment funds (the "Funds") and certain separately-managed client accounts (the "Accounts"). Eagle Point Credit GP I LP and Eagle Point DIF GP I LLC (together, the "General Partners") serve as general partner to one or more of the Funds. Accordingly, the General Partners could be deemed to have an indirect pecuniary interest in the securities held by the Fund(s) for which they serve as general partner. Eagle Point Credit Management LLC ("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.

F5 · ownership.nature: Eagle Point Holdings LP ("EP Holdings") is the parent company of each of the General Partners and EPCM. 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 Notes reported in Column 4.

F8 · ownership.nature: 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.

SEC source: 0001104659-21-049821 · tm2112881-1_4.xml · nonDerivative · entry 1

Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner

Majewski Thomas P. · CIK 0001617694 · 10% owner

Eagle Point Credit GP I LP · CIK 0001607205 · 10% owner

Eagle Point DIF GP I LLC · CIK 0001836609 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 23,617,500

F1 · shares: The amount reported reflects the aggregate principal amount of the 6.75% Notes due 2031 ("Notes").

F2 · price: The price reported in Column 4 reflects the aggregate purchase price. These securities were sold in multiple transactions at prices ranging from $25.29 to $25.35 per Note, inclusive, at a weighted average price of $25.31 per Note. 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 purchased at each separate price within the range set forth in in footnotes (1) and (2) to this Form 4.

F1 · balance_after: The amount reported reflects the aggregate principal amount of the 6.75% Notes due 2031 ("Notes").

F4 · ownership.nature: The Notes are directly owned by certain private investment funds (the "Funds") and certain separately-managed client accounts (the "Accounts"). Eagle Point Credit GP I LP and Eagle Point DIF GP I LLC (together, the "General Partners") serve as general partner to one or more of the Funds. Accordingly, the General Partners could be deemed to have an indirect pecuniary interest in the securities held by the Fund(s) for which they serve as general partner. Eagle Point Credit Management LLC ("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.

F5 · ownership.nature: Eagle Point Holdings LP ("EP Holdings") is the parent company of each of the General Partners and EPCM. 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 Notes reported in Column 4.

F8 · ownership.nature: 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.

SEC source: 0001567619-20-006718 · doc1.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,887

F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions ranging from $2.19 to $2.56, inclusive. the reporting person undertakes to provide the isuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001567619-20-006725 · doc1.xml · nonDerivative · entry 1

COHEN JONATHAN H · CIK 0001268530 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,728

F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions ranging from $2.17 to $2.30, inclusive. the reporting person undertakes to provide the isuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001567619-20-006380 · doc1.xml · nonDerivative · entry 3

ROSENTHAL SAUL B · CIK 0001268529 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,700

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.04 to $5.05, inclusive. the reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Excange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001567619-20-006380 · doc1.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,211

F2 · kind: On March 12, 2020 (the "Redemption Date"), Oxford Lane Capital Corp. (the "Issuer") redeemed 1,200,000 of the outstanding shares of the Issuer's 7.50% Series 2023 Term Preferred Stock (the "Shares"), which is traded on the NASDAQ Global Select Market under the ticker OXLCO, for a redemption price of $25.05729167, which represents the liquidation preference price of $25 per Share plus accrued but unpaid dividends of $0.05729167 per Share. 14,011 Shares beneficially owned by Mr. Rosenthal were redeemed as part of this redemption by the Issuer.

SEC source: 0001567619-20-006380 · doc1.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,000

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.89 to $5.05, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001567619-20-006386 · doc1.xml · nonDerivative · entry 1

COHEN JONATHAN H · CIK 0001268530 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,970

F1 · kind: On March 12, 2020 (the "Redemption Date"), Oxford Lane Capital Corp. (the "Issuer") redeemed 1,200,000 of the outstanding shares of the Issuer's 7.50% Series 2023 Term Preferred Stock (the "Shares"), which is traded on the NASDAQ Global Select Market under the ticker OXLCO, for a redempiton price of $25.05729167, which represents the liquidation preference price of $25 per Share plus accrued but unpaid dividends of $0.05729167 per Share. 21,474 Shares beneficially owned by Mr. Cohen were redeemed as part of this redemption by the Issuer.

SEC source: 0001567619-20-006382 · doc1.xml · nonDerivative · entry 1

Frantz Leroy Scott · CIK 0001619007 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 292,404

F1 · kind: On March 12, 2020 (the "Redemption Date"), Oxford Lane Capital Corp. (the "Issuer") redeemed 1,200,000 of the outstanding shares of the Issuer's 7.50% Series 2023 Term Preferred Stock (the "Shares"), which is traded on the NASDAQ Global Select Market under the ticker OXLCO, for a redemption price of $25.05729167, which represents the liquidation preference price of $25 per Share plus accrued but unpaid dividends of $0.05729167 per Share. 145,218 Shares beneficially owned by Mr. Frantz were redeemed as part of this redemption by the Issuer.

SEC source: 0001567619-20-006381 · doc1.xml · nonDerivative · entry 1

Rubin Bruce L. · CIK 0001457589 · CFO, SEC, TREAS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,005

F1 · kind: On March 12, 2020 (the "Redemption Date"), Oxford Lane Capital Corp. (the "Issuer") redeemed 1,200,000 of the outstanding shares of the Issuer's 7.50% Series 2023 Term Preferred Stock (the "Shares"), which is traded on the NASDAQ Global Select Market under the ticker OXLCO, for a redemption price of $25.05729167, which represents the liquidation preference price of $25 per Share plus accrued but unpaid dividends of $0.05729167 per Share. 1,495 Shares beneficially owned by Mr. Rubin were redeemed as part of this redemption by the Issuer.

SEC source: 0001567619-20-005108 · doc1.xml · nonDerivative · entry 1

Ashenfelter Mark Jeffrey · CIK 0001507793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

SEC source: 0001567619-20-004220 · doc1.xml · nonDerivative · entry 1

Reardon John Stuart · CIK 0001507712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

SEC source: 0001567619-20-002596 · doc1.xml · nonDerivative · entry 1

Shin David S. · CIK 0001507975 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,728

F1 · balance_after: Includes 728 shares acquired under the issuer's dividend reinvestment plan since the filing of Mr. Shin's previous beneficial ownership report on Form 4 on February 28, 2018.

SEC source: 0001567619-20-002511 · doc1.xml · nonDerivative · entry 1

Frantz Leroy Scott · CIK 0001619007 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

SEC source: 0001615774-19-014779 · ownership.xml · nonDerivative · entry 2

COHEN JONATHAN H · CIK 0001268530 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,444

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and a director of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $25.40 to $25.50, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001615774-19-014778 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,222

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $25.40 to $25.50, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001615774-19-011906 · s120176_form4.xml · nonDerivative · entry 1

Reardon John Stuart · CIK 0001507712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

SEC source: 0001567619-18-008477 · doc1.xml · nonDerivative · entry 1

Ashenfelter Mark Jeffrey · CIK 0001507793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

F1 · price: These shares were purchased in multiple transactions, each at a price of $7.60. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased as set forth in this footnote.

SEC source: 0001140361-18-010813 · doc1.xml · nonDerivative · entry 1

Shin David S. · CIK 0001507975 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000