ROSENTHAL SAUL B

SEC source: 0001213900-26-059844 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,201,479

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-26-051797 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · Director · President

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. Rosenthal 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 beneficially owned by Mr. Rosenthal by virtue of his ownership therein.

SEC source: 0001213900-24-109776 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,474,887

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

SEC source: 0000945621-24-000768 · form4.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · Director · President

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. Rosenthal 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. Rosenthal by virtue of his ownership therein.

SEC source: 0001213900-24-047259 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · Director · President

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Saul Rosenthal 2012 Family Trust

Disclosed balance after: 2,315,000

SEC source: 0001213900-24-047259 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,514,887

SEC source: 0000945621-24-000768 · form4.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · Director · President

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. Rosenthal 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. Rosenthal by virtue of his ownership therein.

SEC source: 0001213900-23-055128 · ownership.xml · derivative · entry 3

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 514,194 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: 0001213900-23-055128 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,056,776

SEC source: 0001213900-22-030355 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,542,582

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-22-029657 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,540,809

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-22-029657 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,539,977

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-22-029069 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,535,771

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-22-029069 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,535,022

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-22-028393 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,530,648

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-22-027761 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,520,621

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-22-027761 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,516,220

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-22-026729 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,502,419

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-22-026729 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,493,137

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-22-025790 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,465,845

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-22-025790 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,461,589

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-22-024975 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,452,470

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-22-024975 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,435,223

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-22-024388 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,422,516

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-22-024388 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,419,767

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-22-023820 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,406,321

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-22-023820 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,393,486

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-22-015034 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,371,851

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-22-015034 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,367,084

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-22-014229 · ownership.xml · nonDerivative · entry 3

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,358,431

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-22-014229 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,356,788

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-22-014229 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,356,688

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-22-013326 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,347,065

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-22-013326 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,344,459

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-22-012247 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,334,732

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-22-012247 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,327,982

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-22-011730 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,321,382

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-22-011730 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,312,257

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-21-067226 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,306,515

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-21-067226 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,298,680

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-21-066676 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,288,343

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-21-066676 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,275,664

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-21-049790 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,270,348

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-21-049790 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,257,848

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-21-049340 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,257,148

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001213900-21-049340 · ownership.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,253,197

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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: 0001213900-21-044338 · ownership.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,252,082

F1 · shares: The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO 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 $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: 0001567619-20-006718 · doc1.xml · nonDerivative · entry 1

ROSENTHAL SAUL B · CIK 0001268529 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,887

F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions ranging from $2.19 to $2.56, 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: 0001567619-20-006380 · doc1.xml · nonDerivative · entry 3

ROSENTHAL SAUL B · CIK 0001268529 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,700

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.04 to $5.05, inclusive. the reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Excange 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: 0001567619-20-006380 · doc1.xml · nonDerivative · entry 2

ROSENTHAL SAUL B · CIK 0001268529 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,211

F2 · kind: On March 12, 2020 (the "Redemption Date"), Oxford Lane Capital Corp. (the "Issuer") redeemed 1,200,000 of the outstanding shares of the Issuer's 7.50% Series 2023 Term Preferred Stock (the "Shares"), which is traded on the NASDAQ Global Select Market under the ticker OXLCO, for a redemption price of $25.05729167, which represents the liquidation preference price of $25 per Share plus accrued but unpaid dividends of $0.05729167 per Share. 14,011 Shares beneficially owned by Mr. Rosenthal were redeemed as part of this redemption by the Issuer.