OXSQ

SEC source: 0001213900-26-099533 · ownership.xml · nonDerivative · entry 1

NOVAK STEVEN P · CIK 0001064150 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · As executor of estate of spouse

Disclosed balance after: 15,000.7586

SEC source: 0001213900-26-059844 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,201,479

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 $1.06 to $1.17, 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: 0001213900-26-059843 · 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: 2,417,193

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 COO 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 $1.06 to $1.17, 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: 0001213900-23-055174 · ownership.xml · derivative · entry 3

NOVAK STEVEN P · CIK 0001064150 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by spouse

Disclosed balance after: 0

Underlying: Common Stock · 5,803 shares

Expires 2023-06-14

F1 · security: On May 10, 2023, Oxford Square Capital Corp. (the "Company") announced the commencement of a pro rata offering (the "Rights Offering") of transferable rights (the "Rights") to holders of the Company's common shares, as of the record date of May 23, 2023 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 16,633,723 of the Company's common shares. Record Date Shareholders received one Right for every three common shares held on the record date. The Rights entitle their holders to purchase one new common share for every one Right held. The subscription price per common share is $2.66. The subscription rights expired if they were not exercised by 5:00 p.m. Eastern time on June 14, 2023.

SEC source: 0001213900-23-055174 · ownership.xml · nonDerivative · entry 1

NOVAK STEVEN P · CIK 0001064150 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by spouse

Disclosed balance after: 20,000.7586

SEC source: 0001213900-23-055130 · ownership.xml · derivative · entry 2

Rubin Bruce L. · CIK 0001457589 · CFO, CS and Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 2,737 shares

Expires 2023-06-14

F1 · security: On May 10, 2023, Oxford Square Capital Corp. (the "Company") announced the commencement of a pro rata offering (the "Rights Offering") of transferable rights (the "Rights") to holders of the Company's common shares, as of the record date of May 23, 2023 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 16,633,723 of the Company's common shares. Record Date Shareholders received one Right for every three common shares held on the record date. The Rights entitle their holders to purchase one new common share for every one Right held. The subscription price per common share is $2.66. The subscription rights expired if they were not exercised by 5:00 p.m. Eastern time on June 14, 2023.

SEC source: 0001213900-23-055130 · ownership.xml · nonDerivative · entry 1

Rubin Bruce L. · CIK 0001457589 · CFO, CS and Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,949

SEC source: 0001213900-23-055128 · ownership.xml · derivative · entry 3

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 514,194 shares

Expires 2023-06-14

F2 · security: On May 10, 2023, Oxford Square Capital Corp. (the "Company") announced the commencement of a pro rata offering (the "Rights Offering") of transferable rights (the "Rights") to holders of the Company's common shares, as of the record date of May 23, 2023 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 16,633,723 of the Company's common shares. Record Date Shareholders received one Right for every three common shares held on the record date. The Rights entitle their holders to purchase one new common share for every one Right held. The subscription price per common share is $2.66. The subscription rights expired if they were not exercised by 5:00 p.m. Eastern time on June 14, 2023.

SEC source: 0001213900-23-055128 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,056,776

SEC source: 0001213900-23-055126 · ownership.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 568,122 shares

Expires 2023-06-14

F2 · security: On May 10, 2023, Oxford Square Capital Corp. (the "Company") announced the commencement of a pro rata offering (the "Rights Offering") of transferable rights (the "Rights") to holders of the Company's common shares, as of the record date of May 23, 2023 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 16,633,723 of the Company's common shares. Record Date Shareholders received one Right for every three common shares held on the record date. The Rights entitle their holders to purchase one new common share for every one Right held. The subscription price per common share is $2.66. The subscription rights expired if they were not exercised by 5:00 p.m. Eastern time on June 14, 2023.

SEC source: 0001213900-23-055126 · 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: 2,272,489

SEC source: 0001213900-23-055412 · ownership.xml · derivative · entry 4

ROYCE CHARLES M · CIK 0001009121 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Royce Family Fund, Inc.

Disclosed balance after: 0

Underlying: Common Stock · 98,071 shares

Expires 2023-06-14

F1 · security: On May 10, 2023, Oxford Square Capital Corp. (the "Company") announced the commencement of a pro rata offering (the "Rights Offering") of transferable rights (the "Rights") to holders of the Company's common shares, as of the record date of May 23, 2023 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 16,633,723 of the Company's common shares. Record Date Shareholders received one Right for every three common shares held on the record date. The Rights entitle their holders to purchase one new common share for every one Right held. The subscription price per common share is $2.66 (the "basic subscription privilege"). The subscription rights expired if they were not exercised by 5:00 p.m. Eastern time on June 14, 2023.

SEC source: 0001213900-23-055412 · ownership.xml · derivative · entry 3

ROYCE CHARLES M · CIK 0001009121 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Royce Family Investments, LLC

Disclosed balance after: 0

Underlying: Common stock · 497,208 shares

Expires 2023-06-14

F1 · security: On May 10, 2023, Oxford Square Capital Corp. (the "Company") announced the commencement of a pro rata offering (the "Rights Offering") of transferable rights (the "Rights") to holders of the Company's common shares, as of the record date of May 23, 2023 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 16,633,723 of the Company's common shares. Record Date Shareholders received one Right for every three common shares held on the record date. The Rights entitle their holders to purchase one new common share for every one Right held. The subscription price per common share is $2.66 (the "basic subscription privilege"). The subscription rights expired if they were not exercised by 5:00 p.m. Eastern time on June 14, 2023.

F2 · shares: The Rights Offering also included an oversubscription privilege, which entitled holders who fully exercised their basic subscription privilege the right to purchase at a price of $2.66 per common share additional common shares of the Company, subject to availability and pro rata allocation of shares among Record Date Shareholders exercising such oversubscription privilege. Includes approximately 87,108 shares issued pursuant to the over-subscription privilege in connection with the Rights Offering. The amount of shares issued pursuant to such over-subscription privilege to each exercising rights holder was determined on June 22, 2023.

F2 · derivative.underlying_shares: The Rights Offering also included an oversubscription privilege, which entitled holders who fully exercised their basic subscription privilege the right to purchase at a price of $2.66 per common share additional common shares of the Company, subject to availability and pro rata allocation of shares among Record Date Shareholders exercising such oversubscription privilege. Includes approximately 87,108 shares issued pursuant to the over-subscription privilege in connection with the Rights Offering. The amount of shares issued pursuant to such over-subscription privilege to each exercising rights holder was determined on June 22, 2023.

SEC source: 0001213900-23-055412 · ownership.xml · nonDerivative · entry 2

ROYCE CHARLES M · CIK 0001009121 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Royce Family Fund, Inc.

Disclosed balance after: 392,285

SEC source: 0001213900-23-055412 · ownership.xml · nonDerivative · entry 1

ROYCE CHARLES M · CIK 0001009121 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Royce Family Investments, LLC

Disclosed balance after: 1,727,510

SEC source: 0001213900-22-030355 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,542,582

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 $4.02 to $4.05, 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: 0001213900-22-030357 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,704,368

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 COO 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 $4.02 to $4.05, 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: 0001213900-22-029657 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,540,809

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.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at $4.00 each.

SEC source: 0001213900-22-029659 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,702,595

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 COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at $4.00 each.

SEC source: 0001213900-22-029657 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,539,977

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 $3.97 to $4.00, 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: 0001213900-22-029659 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,701,763

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 COO 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 $3.97 to $4.00, 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: 0001213900-22-029069 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,535,771

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.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.98 to $4.00, 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: 0001213900-22-029070 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,697,557

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 COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.98 to $4.00, 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: 0001213900-22-029069 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,535,022

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 $3.965 to $4.00, 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: 0001213900-22-029070 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,696,808

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 COO 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 $3.965 to $4.00, 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: 0001213900-22-028393 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,530,648

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 $4.06 to $4.10, 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: 0001213900-22-028394 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,692,434

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 COO 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 $4.06 to $4.10, 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: 0001213900-22-027761 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,520,621

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.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.05 to $4.10, 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: 0001213900-22-027762 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,682,407

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 COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.05 to $4.10, 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: 0001213900-22-027761 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,516,220

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 $3.96 to $4.08, 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: 0001213900-22-027762 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,678,006

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 COO 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 $3.96 to $4.08, 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: 0001213900-22-026729 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,502,419

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.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.92 to $4.02, 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: 0001213900-22-026731 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,664,205

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 COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.92 to $4.02, 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: 0001213900-22-026729 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,493,137

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 $3.86 to $3.94, 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: 0001213900-22-026731 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,654,923

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 COO 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 $3.86 to $3.94, 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: 0001213900-22-025790 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,465,845

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.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.96 to $4.01, 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: 0001213900-22-025792 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,627,631

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 COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.96 to $4.01, 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: 0001213900-22-025790 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,461,589

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 $3.95 to $4.05, 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: 0001213900-22-025792 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,623,375

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 COO 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 $3.95 to $4.05, 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: 0001213900-22-024975 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,452,470

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.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.91 to $4.01, 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: 0001213900-22-024976 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,614,256

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 COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.91 to $4.01, 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: 0001213900-22-024975 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,435,223

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 $4.06 to $4.10, 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: 0001213900-22-024976 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,597,009

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 COO 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 $4.06 to $4.10, 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: 0001213900-22-024388 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,422,516

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.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.08 to $4.10, 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: 0001213900-22-024389 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,584,302

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 COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.08 to $4.10, 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: 0001213900-22-024388 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,419,767

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 $4.04 to $4.10, 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: 0001213900-22-024389 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,581,553

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 COO 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 $4.04 to $4.10, 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: 0001213900-22-023820 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,406,321

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.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.975 to $4.10, 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: 0001213900-22-023821 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,568,107

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 COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple `transactions ranging from $3.975 to $4.10, 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: 0001213900-22-023820 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,393,486

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 $3.96 to $4.03, 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.