Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Oxford Lane Capital Corp.OXLC · Entity 5003 | 10% owner | April 15, 2021 | April 19, 2021 |
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 April 15, 2021 · Filed April 19, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 7.50% Series 2023 Term Preferred StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-04-15 transaction · row 1
1 source rowRow 1 · 2021-04-15 · Other · Disposed 292,404 · Balance 0 F1: On April 15, 2021 (the "Redemption Date"), Oxford Lane Capital Corp. (the "Issuer") redeemed all 2,281,395 issued and outstanding shares of the Issuer's 7.50% Series 2023 Term Preferred Stock (the "Shares"), which was traded on the NASDAQ Global Select Market under the ticker OXLCO, for a redemption price of $25.07291667, which represents the liquidation preference price of $25 per Share plus accrued but unpaid dividends of $0.07291667 per Share. As a result of the foregoing, all 292,404 Shares beneficially owned by Mr. Frantz were redeemed as part of this redemption by the Issuer. |
| 6.25% Series 2027 Term Preferred StockSEC Table I · non-derivative | Direct | 400,000 |
Reported balance
Holding disclosure · report date 2021-04-15 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 400,000 |
| 6.75% Series 2024 Term Preferred StockSEC Table I · non-derivative | Direct | 200,000 |
Reported balance
Holding disclosure · report date 2021-04-15 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 200,000 |
| 6.75% Series 2024 Term Preferred StockSEC Table I · non-derivative | IndirectBy Trust | 11,750 |
Reported balance
Holding disclosure · report date 2021-04-15 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 11,750 F2: Reflects shares held by the Trust under agreement dated 7/10/58 for the benefit of L. Scott Frantz. Mr. Frantz disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | Direct | 1,012 |
Reported balance
Holding disclosure · report date 2021-04-15 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 1,012 |
Filing footnotes · ownership attribution and instrument terms
F1: On April 15, 2021 (the "Redemption Date"), Oxford Lane Capital Corp. (the "Issuer") redeemed all 2,281,395 issued and outstanding shares of the Issuer's 7.50% Series 2023 Term Preferred Stock (the "Shares"), which was traded on the NASDAQ Global Select Market under the ticker OXLCO, for a redemption price of $25.07291667, which represents the liquidation preference price of $25 per Share plus accrued but unpaid dividends of $0.07291667 per Share. As a result of the foregoing, all 292,404 Shares beneficially owned by Mr. Frantz were redeemed as part of this redemption by the Issuer.
F2: Reflects shares held by the Trust under agreement dated 7/10/58 for the benefit of L. Scott Frantz. Mr. Frantz disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission for purposes of Section 16 or for any other purpose.
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 |
|---|---|---|---|---|---|---|
| April 15, 2021 Filed Apr 19, 2021 18:03 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Other7.50% Series 2023 Term Preferred Stock | 292,404 | $25.07 | $7,330,568.28 |
DisclosureSEC source: 0001213900-21-022059 · ownership.xml · nonDerivative · entry 1 Frantz Leroy Scott · CIK 0001619007 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: On April 15, 2021 (the "Redemption Date"), Oxford Lane Capital Corp. (the "Issuer") redeemed all 2,281,395 issued and outstanding shares of the Issuer's 7.50% Series 2023 Term Preferred Stock (the "Shares"), which was traded on the NASDAQ Global Select Market under the ticker OXLCO, for a redemption price of $25.07291667, which represents the liquidation preference price of $25 per Share plus accrued but unpaid dividends of $0.07291667 per Share. As a result of the foregoing, all 292,404 Shares beneficially owned by Mr. Frantz were redeemed as part of this redemption by the Issuer. Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 16:57 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Other7.50% Series 2023 Term Preferred Stock | 145,218 | $25.06 | $3,638,756.47 |
DisclosureSEC source: 0001567619-20-006382 · doc1.xml · nonDerivative · entry 1 Frantz Leroy Scott · CIK 0001619007 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 292,404 F1 · kind: On March 12, 2020 (the "Redemption Date"), Oxford Lane Capital Corp. (the "Issuer") redeemed 1,200,000 of the outstanding shares of the Issuer's 7.50% Series 2023 Term Preferred Stock (the "Shares"), which is traded on the NASDAQ Global Select Market under the ticker OXLCO, for a redemption price of $25.05729167, which represents the liquidation preference price of $25 per Share plus accrued but unpaid dividends of $0.05729167 per Share. 145,218 Shares beneficially owned by Mr. Frantz were redeemed as part of this redemption by the Issuer. Read SEC document |
| February 06, 2020 Filed Feb 10, 2020 17:47 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Purchase6.25% Series 2027 Preferred Stock | 400,000 | $25.00 | $10,000,000.00 |
DisclosureSEC source: 0001567619-20-002511 · doc1.xml · nonDerivative · entry 1 Frantz Leroy Scott · CIK 0001619007 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Read SEC document |
| August 07, 2017 Filed Aug 8, 2017 21:06 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Purchase6.75% Series 2024 Term Preferred Stock | 11,750 | $25.20 | $296,125.85 |
DisclosureSEC source: 0001144204-17-041262 · v472735_form4.xml · nonDerivative · entry 1 Frantz Leroy Scott · CIK 0001619007 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 11,750 F1 · balance_after: Reflects shares held by the Trust under agreement dated 7/10/58 for the benefit of L. Scott Frantz. Mr. Frantz disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission for purposes of Section 16 or for any other purpose. Read SEC document |
| July 14, 2017 Filed Jul 14, 2017 20:16 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Other8.125% Series 2024 Term Preferred Stock | 200,000 | $25.07 | $5,014,000.00 |
DisclosureSEC source: 0001144204-17-036832 · v470863_form4.xml · nonDerivative · entry 1 Frantz Leroy Scott · CIK 0001619007 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: On July 14, 2017 (the "Redemption Date"), Oxford Lane Capital Corp. (the "Issuer") redeemed all of the issued and outstanding shares of the Issuer's 8.125% Series 2024 Term Preferred Stock (the "Shares"), which was traded on the NASDAQ Global Select Market under the ticker OXLCN, for a redemption price of $25 per Share plus $0.07336 in accrued but unpaid dividends per Share to the Redemption Date, for an aggregate redemption price of $25.07336 per Share. The 200,000 Shares beneficially owned by Mr. Frantz were redeemed as part of this redemption by the Issuer. Read SEC document |
| June 14, 2017 Filed Jun 14, 2017 20:28 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Purchase6.75% Series 2024 Term Preferred Stock | 200,000 | $25.00 | $5,000,000.00 |
DisclosureSEC source: 0001144204-17-032533 · v468788_4.xml · nonDerivative · entry 1 Frantz Leroy Scott · CIK 0001619007 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 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.