Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Oxford Lane Capital Corp.OXLC · Entity 5003 | CFO, SEC, TREAS | March 12, 2020 | March 16, 2020 |
| Oxford Park Income Fund, Inc.NONE · Entity 49930 | CFO, Treasurer and Corp Sec. | April 03, 2023 | April 03, 2023 |
| Oxford Square Capital Corp.OXSQ · Entity 6547 | CFO, CS and Treasurer | June 14, 2023 | July 06, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Oxford Lane Capital Corp.
Report date March 12, 2020 · Filed March 16, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 7.50% Series 2023 Term Preferred StockSEC Table I · non-derivative | Direct | 3,005 |
Reported balance
After 2020-03-12 transaction · row 1
1 source rowRow 1 · 2020-03-12 · Other · Disposed 1,495 · Balance 3,005 F1: 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. |
| Common StockSEC Table I · non-derivative | Direct | 3,978 |
Reported balance
Holding disclosure · report date 2020-03-12 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,978 |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Oxford Park Income Fund, Inc.
Report date April 03, 2023 · Filed April 03, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2023-04-03 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
Oxford Square Capital Corp.
Report date June 14, 2023 · Filed July 06, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 10,949 |
Reported balance
After 2023-06-14 transaction · row 1
1 source rowRow 1 · 2023-06-14 · Other · Acquired 2,737 · Balance 10,949 |
| Transferable Subscription Rights (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.66 · Expires 2023-06-14 | Direct | 0 |
Reported balance
After 2023-06-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-06-14 · Other · Disposed 2,737 · Balance 0 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 14, 2023 Filed Jul 6, 2023 15:22 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | OtherTransferable Subscription Rights (right to buy) · Derivative | 2,737 | $0.00 Strike: $2.66 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 14, 2023 Filed Jul 6, 2023 15:22 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | OtherCommon Stock, par value $0.01 per share | 2,737 | $2.66 | $7,280.42 |
DisclosureSEC 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 Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 16:46 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Other7.50% Series 2023 Term Preferred Stock | 1,495 | $25.06 | $37,460.51 |
DisclosureSEC 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.