organization · Reporting owner
Eagle Point Credit GP I LP
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Oxford Lane Capital Corp.
Report date June 29, 2021 · Filed June 30, 2021
Jointly reported with Eagle Point Credit Management LLC, Majewski Thomas P., Eagle Point DIF GP I LLC
Section 16 reporting ended · disclosed 2021-06-30. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 6.75% Series 2024 Term Preferred Stock (OXLCM)SEC Table I · non-derivative | IndirectSee footnote | 213,543 |
Reported balance
After 2021-06-29 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-06-29 · Sale · Disposed 3,543 · Balance 213,543 F1: 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: 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. F4: 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: 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: 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. |
| 6.25% Series 2027 Term Preferred Stock (OXLCP)SEC Table I · non-derivative | IndirectSee footnote | 380,145 |
Reported balance
After 2021-06-29 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-06-29 · Sale · Disposed 10,778 · Balance 380,145 F1: 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: 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. F4: 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: 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: 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. |
| 6.75% Notes due 2031, $25.00 denominations (OXLCL)SEC Table I · non-derivative | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2021-06-29 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance Not disclosed F1: 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: 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. F6: The securities are directly owned by the Funds and certain separately-managed client accounts (the "Accounts"). EPCM serves as investment manager to the Accounts and, due to the nature of the advisory relationship, could be deemed to have an indirect pecuniary interest in the securities held by each of the Accounts (as well as the securities held by the Funds). F7: 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. |
| 6.75% Series 2024 Term Preferred Stock (OXLCM)SEC Table I · non-derivative | Direct | 9,450 |
Reported balance
Holding disclosure · report date 2021-06-29 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 9,450 F1: 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: Thomas P. Majewski directly owns the securities in his personal capacity. None of the other Reporting Persons has a pecuniary interest in these securities. |
| 6.25% Series 2027 Term Preferred Stock (OXLCP)SEC Table I · non-derivative | Direct | 11,000 |
Reported balance
Holding disclosure · report date 2021-06-29 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 11,000 F1: 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: Thomas P. Majewski directly owns the securities in his personal capacity. None of the other Reporting Persons has a pecuniary interest in these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: 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.
F3: 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.
F4: 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: 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.
F6: The securities are directly owned by the Funds and certain separately-managed client accounts (the "Accounts"). EPCM serves as investment manager to the Accounts and, due to the nature of the advisory relationship, could be deemed to have an indirect pecuniary interest in the securities held by each of the Accounts (as well as the securities held by the Funds).
F7: 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.
F8: Thomas P. Majewski directly owns the securities in his personal capacity. None of the other Reporting Persons has a pecuniary interest in these securities.
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 29, 2021 Filed Jun 30, 2021 00:48 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.25% Series 2027 Term Preferred Stock (OXLCP) | 10,778 | $24.91 | $268,479.98 |
DisclosureSEC 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. Read SEC document |
| June 29, 2021 Filed Jun 30, 2021 00:48 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.75% Series 2024 Term Preferred Stock (OXLCM) | 3,543 | $25.15 | $89,106.45 |
DisclosureSEC 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. Read SEC document |
| June 28, 2021 Filed Jun 29, 2021 00:16 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.25% Series 2027 Term Preferred Stock (OXLCP) | 14,657 | $24.94 | $365,545.58 |
DisclosureSEC 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. Read SEC document |
| June 28, 2021 Filed Jun 29, 2021 00:16 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.75% Series 2024 Term Preferred Stock (OXLCM) | 9,917 | $25.14 | $249,313.38 |
DisclosureSEC 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. Read SEC document |
| June 25, 2021 Filed Jun 29, 2021 00:16 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.25% Series 2027 Term Preferred Stock (OXLCP) | 13,624 | $25.01 | $340,736.24 |
DisclosureSEC 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. Read SEC document |
| June 25, 2021 Filed Jun 29, 2021 00:16 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.75% Series 2024 Term Preferred Stock (OXLCM) | 16,931 | $25.15 | $425,814.65 |
DisclosureSEC 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. Read SEC document |
| June 24, 2021 Filed Jun 29, 2021 00:16 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.25% Series 2027 Term Preferred Stock (OXLCP) | 47,834 | $25.02 | $1,196,806.68 |
DisclosureSEC 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. Read SEC document |
| June 24, 2021 Filed Jun 29, 2021 00:16 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.75% Series 2024 Term Preferred Stock (OXLCM) | 9,635 | $25.17 | $242,512.95 |
DisclosureSEC 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. Read SEC document |
| June 17, 2021 Filed Jun 18, 2021 00:38 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.25% Series 2027 Term Preferred Stock (OXLCP) | 13,800 | $24.95 | $344,310.00 |
DisclosureSEC 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. Read SEC document |
| June 17, 2021 Filed Jun 18, 2021 00:38 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.75% Series 2024 Term Preferred Stock (OXLCM) | 21,994 | $25.04 | $550,729.76 |
DisclosureSEC 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. Read SEC document |
| June 17, 2021 Filed Jun 18, 2021 00:38 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.75% Notes due 2031, $25.00 denominations (OXLCL) | 273,300 | $277,578.00 | $75,862,067,400.00 |
DisclosureSEC 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. Read SEC document |
| June 16, 2021 Filed Jun 18, 2021 00:38 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.25% Series 2027 Term Preferred Stock (OXLCP) | 13,441 | $25.00 | $336,025.00 |
DisclosureSEC 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. Read SEC document |
| June 16, 2021 Filed Jun 18, 2021 00:38 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.75% Series 2024 Term Preferred Stock (OXLCM) | 7,392 | $25.12 | $185,687.04 |
DisclosureSEC 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. Read SEC document |
| June 16, 2021 Filed Jun 18, 2021 00:38 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.75% Notes due 2031, $25.00 denominations (OXLCL) | 432,600 | $439,814.00 | $190,263,536,400.00 |
DisclosureSEC 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. Read SEC document |
| June 15, 2021 Filed Jun 18, 2021 00:38 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.25% Series 2027 Term Preferred Stock (OXLCP) | 2,800 | $25.11 | $70,308.00 |
DisclosureSEC 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. Read SEC document |
| June 15, 2021 Filed Jun 18, 2021 00:38 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.75% Series 2024 Term Preferred Stock (OXLCM) | 4,521 | $25.21 | $113,974.41 |
DisclosureSEC 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. Read SEC document |
| June 15, 2021 Filed Jun 18, 2021 00:38 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.75% Notes due 2031, $25.00 denominations (OXLCL) | 1,251,075 | $1,273,649.00 | $1,593,430,422,675.00 |
DisclosureSEC 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. Read SEC document |
| April 19, 2021 Filed Apr 20, 2021 01:20 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.75% Notes due 2031 (OXLCL) | 300,400 | $302,192.79 | $90,778,714,116.00 |
DisclosureSEC 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. Read SEC document |
| April 16, 2021 Filed Apr 20, 2021 01:20 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.75% Notes due 2031 (OXLCL) | 1,147,500 | $1,153,118.16 | $1,323,203,088,600.00 |
DisclosureSEC 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. Read SEC document |
| April 15, 2021 Filed Apr 20, 2021 01:20 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.75% Notes due 2031 (OXLCL) | 743,800 | $751,310.38 | $558,824,660,644.00 |
DisclosureSEC 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. Read SEC document |
| April 15, 2021 Filed Apr 20, 2021 01:20 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Other7.50% Series 2023 Term Preferred Stock (OXLCO) | 1,544 | $25.00 | $38,600.00 |
DisclosureSEC 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. Read SEC document |
| April 12, 2021 Filed Apr 13, 2021 21:17 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.75% Notes due 2031, issued in denominations of $25.00 | 175,000 | $177,146.90 | $31,000,707,500.00 |
DisclosureSEC 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. Read SEC document |
| April 09, 2021 Filed Apr 13, 2021 21:17 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Sale6.75% Notes due 2031, issued in denominations of $25.00 | 168,375 | $170,447.52 | $28,699,101,180.00 |
DisclosureSEC 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. 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.