organization · Reporting owner
Eagle Point DIF GP I LLC
Disclosed activity across 4 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ACRES Commercial Realty Corp.ACR · Entity 6763 | 10% owner | August 04, 2026 | August 07, 2026 |
| XAI Floating Rate & Alternative Income TrustXFLT · Entity 5990 | 10% owner | September 09, 2021 | September 20, 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.
ACRES Commercial Realty Corp.
Report date August 04, 2026 · Filed August 07, 2026
Jointly reported with Eagle Point Credit Management LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 7.875% Series D Preferred StockSEC Table I · non-derivative | IndirectSee footnotes | 715,589 |
Reported balance
After 2026-08-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-08-04 · Sale · Disposed 98 · Balance 715,589 F1: The securities are directly held by certain private investment funds and/or certain accounts (the "Applicable Accounts") managed by Eagle Point Credit Management LLC ("EPCM"). Eagle Point DIF GP I LLC ("DIF GP") serves as general partner to certain Applicable Accounts. F2: EPCM and DIF GP could be deemed to have an "indirect pecuniary interest" (within the meaning of Rule 16a-1(a)(2)(ii) under the Securities Exchange Act of 1934) in securities reported herein. F3: 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 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. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | IndirectSee footnotes | 1,177,060 |
Reported balance
Holding disclosure · report date 2026-08-04 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,177,060 F1: The securities are directly held by certain private investment funds and/or certain accounts (the "Applicable Accounts") managed by Eagle Point Credit Management LLC ("EPCM"). Eagle Point DIF GP I LLC ("DIF GP") serves as general partner to certain Applicable Accounts. F2: EPCM and DIF GP could be deemed to have an "indirect pecuniary interest" (within the meaning of Rule 16a-1(a)(2)(ii) under the Securities Exchange Act of 1934) in securities reported herein. F3: 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 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. |
| 8.625% Series C Preferred StockSEC Table I · non-derivative | IndirectSee footnotes | 339,325 |
Reported balance
Holding disclosure · report date 2026-08-04 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 339,325 F1: The securities are directly held by certain private investment funds and/or certain accounts (the "Applicable Accounts") managed by Eagle Point Credit Management LLC ("EPCM"). Eagle Point DIF GP I LLC ("DIF GP") serves as general partner to certain Applicable Accounts. F2: EPCM and DIF GP could be deemed to have an "indirect pecuniary interest" (within the meaning of Rule 16a-1(a)(2)(ii) under the Securities Exchange Act of 1934) in securities reported herein. F3: 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 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by certain private investment funds and/or certain accounts (the "Applicable Accounts") managed by Eagle Point Credit Management LLC ("EPCM"). Eagle Point DIF GP I LLC ("DIF GP") serves as general partner to certain Applicable Accounts.
F2: EPCM and DIF GP could be deemed to have an "indirect pecuniary interest" (within the meaning of Rule 16a-1(a)(2)(ii) under the Securities Exchange Act of 1934) in securities reported herein.
F3: 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 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.
XAI Floating Rate & Alternative Income Trust
Report date September 09, 2021 · Filed September 20, 2021
Jointly reported with Eagle Point Credit Management LLC, EP DIF Cayman I LP, Eagle Point Core Income Fund LP, Eagle Point CIF GP I LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 6.50% Series 2026 Term Preferred SharesSEC Table I · non-derivative | IndirectSee footnotes | 348,303 |
Reported balance
Holding disclosure · report date 2021-09-09 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 348,303 F1: Eagle Point Defensive Income Fund US LP ("DIF US") directly holds 165,317 shares; EP DIF Cayman I LP ("DIF Cayman") directly holds 62,986 shares; and Eagle Point Core Income Fund LP directly holds 120,000 shares. F2: The 6.50% Series 2026 Term Preferred Shares Liquidation Preference $25.00 described herein are directly held by DIF US, DIF Cayman and Core LP (collectively, the "Funds"), each of which is a private investment fund that is managed by Eagle Point Credit Management ("EPCM") pursuant to an investment advisory agreement between such Fund and EPCM. Eagle Point DIF GP I LLC ("DIF GP") serves as general partner to DIF US and DIF Cayman and Eagle Point CIF GP I LLC ("Core GP") serves as general partner to Core LP (DIF GP and Core GP are collectively referred to as the "General Partners"). F3: Each Fund could be deemed to have a direct pecuniary interest in the securities that it holds. EPCM and each of the General Partners could be deemed to have an indirect pecuniary interest in the securities held by the relevant Funds. |
Filing footnotes · ownership attribution and instrument terms
F1: Eagle Point Defensive Income Fund US LP ("DIF US") directly holds 165,317 shares; EP DIF Cayman I LP ("DIF Cayman") directly holds 62,986 shares; and Eagle Point Core Income Fund LP directly holds 120,000 shares.
F2: The 6.50% Series 2026 Term Preferred Shares Liquidation Preference $25.00 described herein are directly held by DIF US, DIF Cayman and Core LP (collectively, the "Funds"), each of which is a private investment fund that is managed by Eagle Point Credit Management ("EPCM") pursuant to an investment advisory agreement between such Fund and EPCM. Eagle Point DIF GP I LLC ("DIF GP") serves as general partner to DIF US and DIF Cayman and Eagle Point CIF GP I LLC ("Core GP") serves as general partner to Core LP (DIF GP and Core GP are collectively referred to as the "General Partners").
F3: Each Fund could be deemed to have a direct pecuniary interest in the securities that it holds. EPCM and each of the General Partners could be deemed to have an indirect pecuniary interest in the securities held by the relevant Funds.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
OFS Credit Company, Inc.
Report date October 31, 2024 · Filed December 13, 2024
Jointly reported with Eagle Point Credit Management LLC
Section 16 reporting ended · disclosed 2024-12-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 5.25% Series E Term Preferred Stock due 2026SEC Table I · non-derivative | IndirectSee footnotes | 26,715 |
Reported balance
After 2024-03-06 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-03-06 · Purchase · Disposed 100 · Balance 26,715 F1: The securities are directly held by certain private investment funds and/or certain accounts (the "Applicable Accounts") managed by Eagle Point Credit Management LLC ("EPCM"). Eagle Point DIF GP I LLC ("DIF GP") serves as general partner to certain Applicable Accounts. F2: EPCM and DIF GP could be deemed to have an "indirect pecuniary interest" (within the meaning of Rule 16a-1(a)(2)(ii) under the Securities Exchange Act of 1934) in securities reported herein. F3: 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 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. |
| 7.875% Series F Term Preferred Stock Due 2029SEC Table I · non-derivative | IndirectSee footnotes | 18,232 |
Reported balance
Holding disclosure · report date 2024-10-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 18,232 F1: The securities are directly held by certain private investment funds and/or certain accounts (the "Applicable Accounts") managed by Eagle Point Credit Management LLC ("EPCM"). Eagle Point DIF GP I LLC ("DIF GP") serves as general partner to certain Applicable Accounts. F2: EPCM and DIF GP could be deemed to have an "indirect pecuniary interest" (within the meaning of Rule 16a-1(a)(2)(ii) under the Securities Exchange Act of 1934) in securities reported herein. F3: 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 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by certain private investment funds and/or certain accounts (the "Applicable Accounts") managed by Eagle Point Credit Management LLC ("EPCM"). Eagle Point DIF GP I LLC ("DIF GP") serves as general partner to certain Applicable Accounts.
F2: EPCM and DIF GP could be deemed to have an "indirect pecuniary interest" (within the meaning of Rule 16a-1(a)(2)(ii) under the Securities Exchange Act of 1934) in securities reported herein.
F3: 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 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.
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 Credit GP I LP
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 |
|---|---|---|---|---|---|---|
| August 05, 2022 Filed Aug 9, 2022 23:34 UTC | ACRES Commercial Realty Corp. ACR · Entity 6763 | PurchaseCommon Stock, $0.001 par value | 77,570 | $9.24 | $716,746.80 |
DisclosureSEC source: 0001104659-22-088148 · tm2223028-1_4.xml · nonDerivative · entry 1 Eagle Point Credit Management LLC · CIK 0001607203 · 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: 1,016,852 F1 · ownership.nature: The securities are directly held by certain private investment funds and/or certain accounts (the "Applicable Accounts") managed by Eagle Point Credit Management LLC ("EPCM"). Eagle Point DIF GP I LLC ("DIF GP") serves as general partner to certain Applicable Accounts. F2 · ownership.nature: EPCM and DIF GP could be deemed to have an "indirect pecuniary interest" (within the meaning of Rule 16a-1(a)(2)(ii) under the Securities Exchange Act of 1934) in securities reported herein. F3 · 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 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 |
| December 15, 2021 Filed Dec 16, 2021 16:56 UTC | OFS Credit Company, Inc. OCCI · Entity 6964 | Sale6.125% Series C Term Preferred Stock due 2026 | 219 | $25.60 | $5,606.40 |
DisclosureSEC source: 0001104659-21-150565 · tm2135344-3_4.xml · nonDerivative · entry 2 Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner Eagle Point CIF GP I LLC · CIK 0001883957 · 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: 42,716 F1 · ownership.nature: The shares are directly held by certain private investment funds (the "Funds") managed by Eagle Point Credit Management ("EPCM"). Eagle Point CIF GP I LLC and Eagle Point DIF GP I LLC (the "General Partners") each serve as general partner to one 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 Funds. F2 · 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 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 |
| December 14, 2021 Filed Dec 16, 2021 16:56 UTC | OFS Credit Company, Inc. OCCI · Entity 6964 | Sale6.125% Series C Term Preferred Stock due 2026 | 9 | $25.60 | $230.40 |
DisclosureSEC source: 0001104659-21-150565 · tm2135344-3_4.xml · nonDerivative · entry 1 Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner Eagle Point CIF GP I LLC · CIK 0001883957 · 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: 42,935 F1 · ownership.nature: The shares are directly held by certain private investment funds (the "Funds") managed by Eagle Point Credit Management ("EPCM"). Eagle Point CIF GP I LLC and Eagle Point DIF GP I LLC (the "General Partners") each serve as general partner to one 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 Funds. F2 · 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 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 |
| December 10, 2021 Filed Dec 13, 2021 20:37 UTC | OFS Credit Company, Inc. OCCI · Entity 6964 | Other6.875% Series A Term Preferred Stock due 2024 | 1,378 | $25.00 | $34,450.00 |
DisclosureSEC source: 0001104659-21-149271 · tm2135344-2_4.xml · nonDerivative · entry 3 Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner Eagle Point CIF GP I LLC · CIK 0001883957 · 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: 0 F1 · price: The shares were called for redemption by the Issuer at a price equal to their liquidation preference price (plus any accrued but unpaid dividends). F2 · ownership.nature: The shares are directly held by certain private investment funds (the "Funds") managed by Eagle Point Credit Management ("EPCM"). Eagle Point CIF GP I LLC and Eagle Point DIF GP I LLC (the "General Partners") each serve as general partner to one 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 Funds. F3 · 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 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 |
| December 10, 2021 Filed Dec 13, 2021 20:37 UTC | OFS Credit Company, Inc. OCCI · Entity 6964 | Sale6.125% Series C Term Preferred Stock due 2026 | 419 | $25.60 | $10,726.40 |
DisclosureSEC source: 0001104659-21-149271 · tm2135344-2_4.xml · nonDerivative · entry 2 Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner Eagle Point CIF GP I LLC · CIK 0001883957 · 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: 42,944 F2 · ownership.nature: The shares are directly held by certain private investment funds (the "Funds") managed by Eagle Point Credit Management ("EPCM"). Eagle Point CIF GP I LLC and Eagle Point DIF GP I LLC (the "General Partners") each serve as general partner to one 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 Funds. F3 · 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 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 |
| December 09, 2021 Filed Dec 13, 2021 20:37 UTC | OFS Credit Company, Inc. OCCI · Entity 6964 | Sale6.125% Series C Term Preferred Stock due 2026 | 214 | $25.60 | $5,478.40 |
DisclosureSEC source: 0001104659-21-149271 · tm2135344-2_4.xml · nonDerivative · entry 1 Eagle Point Credit Management LLC · CIK 0001607203 · 10% owner Eagle Point CIF GP I LLC · CIK 0001883957 · 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: 43,363 F2 · ownership.nature: The shares are directly held by certain private investment funds (the "Funds") managed by Eagle Point Credit Management ("EPCM"). Eagle Point CIF GP I LLC and Eagle Point DIF GP I LLC (the "General Partners") each serve as general partner to one 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 Funds. F3 · 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 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 | Sale6.25% 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.