COHEN JONATHAN H

SEC source: 0001213900-26-059843 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,417,193

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $1.06 to $1.17, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-26-051803 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 521,058.17

F1 · shares: Shares held by Oxford Gate Management, LLC, which may be deemed to be beneficially owned by Mr. Cohen by virtue of his ownership therein.

F2 · ownership.nature: Of the 521,058.17 shares owned, 40,000 are held by Oxford Funds, LLC and 481,058.17 are held by Oxford Gate Management, LLC, which may be deemed to be b eneficially owned by Mr. Cohen by virtue of his ownership therein.

SEC source: 0001213900-24-109774 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,824,728

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and a director of the issuer, has a 50% pecuniary interest in such account.

SEC source: 0000945621-24-000770 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 237,128.58

F1 · shares: Shares held by Oxford Gate Management, LLC, which may be deemed to be beneficially owned by Mr. Cohen by virtue of his ownership therein.

F3 · ownership.nature: Of the 237,128.58 shares owned, 40,000 are held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Cohen by virtue of his ownership therein.

SEC source: 0001213900-24-047258 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,864,728

SEC source: 0000945621-24-000770 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 124,360.3

F1 · shares: Shares held by Oxford Gate Management, LLC, which may be deemed to be beneficially owned by Mr. Cohen by virtue of his ownership therein.

F2 · ownership.nature: Of the 124,360.30 shares owned, 40,000 are held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Cohen by virtue of his ownership therein.

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

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 568,122 shares

Expires 2023-06-14

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

SEC source: 0001213900-23-055126 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,272,489

SEC source: 0001213900-22-030357 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,704,368

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.02 to $4.05, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,702,595

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

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

SEC source: 0001213900-22-029659 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,701,763

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.97 to $4.00, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-029070 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,697,557

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.98 to $4.00, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-029070 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,696,808

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.965 to $4.00, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-028394 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,692,434

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.06 to $4.10, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-027762 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,682,407

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.05 to $4.10, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-027762 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,678,006

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.96 to $4.08, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-026731 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,664,205

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.92 to $4.02, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-026731 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,654,923

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.86 to $3.94, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-025792 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,627,631

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.96 to $4.01, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-025792 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,623,375

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.95 to $4.05, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-024976 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,614,256

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.91 to $4.01, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-024976 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,597,009

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.06 to $4.10, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-024389 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,584,302

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.08 to $4.10, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-024389 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,581,553

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.04 to $4.10, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-023821 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,568,107

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple `transactions ranging from $3.975 to $4.10, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-023821 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,555,272

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.96 to $4.03, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-015033 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,533,637

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.085 to $4.10, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-015033 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,528,870

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.065 to $4.10, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-014231 · ownership.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,520,217

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.09 to $4.10, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-014231 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,518,574

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.09 to $4.10, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-014231 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,518,474

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.01 to $4.10, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-013327 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,508,851

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.98 to $4.03, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-013327 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,506,245

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.94 to $4.03, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-012246 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,496,518

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.95 to $3.97, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-012246 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,489,768

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.92 to $4.01, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-011727 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,483,168

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.90 to $3.96, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-22-011727 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,474,043

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.96 to $4.03, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-21-067225 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,468,299

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.87 to $4.00, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-21-067225 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,460,464

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.83 to $3.92, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-21-066678 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,450,127

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.80 to $3.87, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-21-066678 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,437,448

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.90 to $3.935, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-21-049791 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,432,132

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and CCO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.06 to $4.10, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-21-049791 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,419,632

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and CCO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.075 to $4.09, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-21-049341 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,418,932

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and CCO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.02 to $4.10, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-21-049341 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,414,981

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and CCO of the issuer, has a 50% pecuniary interest in such account.

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.00 to $4.07, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001213900-21-044336 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,413,866

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and CCO of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.19 to $4.20, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001567619-20-006725 · doc1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,728

F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions ranging from $2.17 to $2.30, inclusive. the reporting person undertakes to provide the isuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001567619-20-006543 · doc1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,412,068

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $2.62 to $2.70, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001567619-20-006386 · doc1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,970

F1 · kind: On March 12, 2020 (the "Redemption Date"), Oxford Lane Capital Corp. (the "Issuer") redeemed 1,200,000 of the outstanding shares of the Issuer's 7.50% Series 2023 Term Preferred Stock (the "Shares"), which is traded on the NASDAQ Global Select Market under the ticker OXLCO, for a redempiton price of $25.05729167, which represents the liquidation preference price of $25 per Share plus accrued but unpaid dividends of $0.05729167 per Share. 21,474 Shares beneficially owned by Mr. Cohen were redeemed as part of this redemption by the Issuer.

SEC source: 0001615774-19-014779 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,444

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and a director of the issuer, has a 50% pecuniary interest in such account.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $25.40 to $25.50, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.