Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Oxford Lane Capital Corp.OXLC · Entity 5003 | Director · President | December 17, 2024 | December 17, 2024 |
| Oxford Park Income Fund, Inc.NONE · Entity 49930 | Director · President | April 01, 2026 | May 04, 2026 |
| Oxford Square Capital Corp.OXSQ · Entity 6547 | President and COO | May 20, 2026 | May 21, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Oxford Lane Capital Corp.
Report date December 17, 2024 · Filed December 17, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,474,887 |
Reported balance
After 2024-12-17 transaction · row 1
1 source rowRow 1 · 2024-12-17 · Purchase · Acquired 2,960,000 · Balance 5,474,887 F1: 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. |
| Common StockSEC Table I · non-derivative | IndirectHeld by Saul Rosenthal 2012 Family Trust | 2,315,000 |
Reported balance
Holding disclosure · report date 2024-12-17 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,315,000 |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Oxford Park Income Fund, Inc.
Report date April 01, 2026 · Filed May 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 521,058.17 |
Reported balance
After 2026-04-01 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-04-01 · Purchase · Acquired 283,929.59 · Balance 521,058.17 F1: 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: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: 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.
Oxford Square Capital Corp.
Report date May 20, 2026 · Filed May 21, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 2,201,479 |
Reported balance
After 2026-05-20 transaction · row 1
1 source rowRow 1 · 2026-05-20 · Purchase · Acquired 144,703 · Balance 2,201,479 F1: 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: 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. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnote | 1,898 |
Reported balance
Holding disclosure · report date 2026-05-20 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,898 F3: Shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal by virtue of his ownership interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: 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.
F3: Shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal by virtue of his ownership interest therein.
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 |
|---|---|---|---|---|---|---|
| March 12, 2020 Filed Mar 16, 2020 16:42 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | PurchaseCommon Stock | 31,000 | $5.00 | $154,938.00 |
DisclosureSEC source: 0001567619-20-006380 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,000 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.89 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 Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| December 04, 2019 Filed Dec 4, 2019 23:47 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon Stock | 3,699 | $5.30 | $19,586.57 |
DisclosureSEC source: 0001615774-19-015393 · ownership.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,250,432 F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.28 to $5.30, 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. Read SEC document |
| December 03, 2019 Filed Dec 4, 2019 23:47 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon Stock | 21,645 | $5.26 | $113,937.12 |
DisclosureSEC source: 0001615774-19-015393 · ownership.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,246,733 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.22 to $5.30, 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. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 23:47 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon Stock | 10,400 | $5.28 | $54,913.04 |
DisclosureSEC source: 0001615774-19-015393 · ownership.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,225,088 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.27 to $5.29, 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. Read SEC document |
| November 29, 2019 Filed Dec 2, 2019 12:08 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon Stock | 7,797 | $5.23 | $40,797.80 |
DisclosureSEC source: 0001615774-19-015216 · ownership.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,214,688 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.22 to $5.24, 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. Read SEC document |
| November 27, 2019 Filed Dec 2, 2019 12:08 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon Stock | 5,200 | $5.17 | $26,891.80 |
DisclosureSEC source: 0001615774-19-015216 · ownership.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,206,891 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.16 to $5.18, 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. Read SEC document |
| November 25, 2019 Filed Nov 26, 2019 21:55 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | Purchase7.50% Series 2023 Term Preferred Stock | 20,000 | $25.48 | $509,604.00 |
DisclosureSEC source: 0001615774-19-014778 · ownership.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,222 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 $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. Read SEC document |
| April 17, 2018 Filed Apr 18, 2018 15:18 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon stock, $0.01 par value | 109.5 | $6.13 | $671.24 |
DisclosureSEC source: 0001140361-18-018892 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,202,236 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 · balance_after: Includes 545 shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 15:18 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon stock, $0.01 par value | 1,203.5 | $6.14 | $7,384.19 |
DisclosureSEC source: 0001140361-18-018892 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,202,109.5 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 $6.12 to $6.14, 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. F3 · balance_after: Includes 545 shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| April 13, 2018 Filed Apr 13, 2018 20:14 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon stock, $0.01 par value | 778 | $6.12 | $4,763.85 |
DisclosureSEC source: 0001140361-18-018533 · doc1.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200,906 F2 · shares: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $6.09 to $6.13, 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. F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $6.11 to $6.13, 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. F5 · balance_after: Includes 528 shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| April 12, 2018 Filed Apr 13, 2018 20:14 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon stock, $0.01 par value | 230 | $6.13 | $1,409.90 |
DisclosureSEC source: 0001140361-18-018533 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200,128 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: These shares were purchased in multiple transactions, each at a price of $6.13. 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 as set forth in this footnote. F5 · balance_after: Includes 528 shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| April 11, 2018 Filed Apr 13, 2018 20:14 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon stock, $0.01 par value | 180.5 | $6.11 | $1,102.48 |
DisclosureSEC source: 0001140361-18-018533 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,199,898 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 $6.09 to $6.13, 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. F5 · balance_after: Includes 528 shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| April 06, 2018 Filed Apr 10, 2018 21:07 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon stock, $0.01 par value | 322.5 | $6.20 | $1,999.27 |
DisclosureSEC source: 0001140361-18-018059 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,199,717.5 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 $6.18 to $6.20, 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. F3 · balance_after: Includes 528 shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| April 03, 2018 Filed Apr 4, 2018 20:08 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon stock, $0.01 par value | 1,816.5 | $6.19 | $11,239.41 |
DisclosureSEC source: 0001140361-18-017064 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,199,395 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 $6.15 to $6.20, 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. F4 · balance_after: Includes 528 shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 20:08 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon stock, $0.01 par value | 2,187.5 | $6.12 | $13,393.84 |
DisclosureSEC source: 0001140361-18-017064 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,197,578.5 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 $6.03 to $6.16, 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. F4 · balance_after: Includes 528 shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 29, 2018 Filed Mar 29, 2018 20:12 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon stock, $0.01 par value | 3,308.5 | $6.14 | $20,315.18 |
DisclosureSEC source: 0001140361-18-015884 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,195,391 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 $6.06 to $6.17, 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. F4 · balance_after: Includes 528 shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 28, 2018 Filed Mar 29, 2018 20:12 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon stock, $0.01 par value | 3,930 | $6.03 | $23,706.94 |
DisclosureSEC source: 0001140361-18-015884 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,192,082.5 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 $5.97 to $6.10, 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. F4 · balance_after: Includes 528 shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 27, 2018 Filed Mar 27, 2018 20:17 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon stock, $0.01 par value | 5,054 | $5.99 | $30,279.02 |
DisclosureSEC source: 0001140361-18-015220 · doc1.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,188,152.5 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. F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.94 to $6.05, 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. F5 · balance_after: Includes 528 shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 26, 2018 Filed Mar 27, 2018 20:17 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon stock, $0.01 par value | 4,099.5 | $6.15 | $25,204.55 |
DisclosureSEC source: 0001140361-18-015220 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,183,098.5 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 $6.10 to $6.17, 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. F5 · balance_after: Includes 528 shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 23, 2018 Filed Mar 27, 2018 20:17 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | PurchaseCommon stock, $0.01 par value | 1,966 | $6.21 | $12,204.34 |
DisclosureSEC source: 0001140361-18-015220 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,178,999 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 $6.07 to $6.23, 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. F5 · balance_after: Includes 528 shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 22, 2018 Filed Mar 22, 2018 20:56 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 3,017 | $6.15 | $18,569.03 |
DisclosureSEC source: 0001140361-18-014676 · doc1.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,177,033 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. F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $6.0650 to $6.20, 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. F5 · balance_after: Includes 528 shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 21, 2018 Filed Mar 22, 2018 20:56 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 2,569 | $6.08 | $15,624.91 |
DisclosureSEC source: 0001140361-18-014676 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,174,016 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 $6.05 to $6.10, 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. F5 · balance_after: Includes 528 shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 20, 2018 Filed Mar 22, 2018 20:56 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 3,723 | $6.13 | $22,832.41 |
DisclosureSEC source: 0001140361-18-014676 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,171,447 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 $6.03 to $6.17, 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. F5 · balance_after: Includes 528 shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 19, 2018 Filed Mar 19, 2018 20:14 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 6,329 | $6.05 | $38,282.86 |
DisclosureSEC source: 0001140361-18-014027 · doc1.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,167,724 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. F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $6.00 to $6.13, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 16, 2018 Filed Mar 19, 2018 20:14 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 5,906.5 | $6.12 | $36,161.96 |
DisclosureSEC source: 0001140361-18-014027 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,161,395 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 $6.00 to $6.14, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 20:14 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 5,261.5 | $6.08 | $32,004.65 |
DisclosureSEC source: 0001140361-18-014027 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,155,488.5 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 $6.00 to $6.14, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 14, 2018 Filed Mar 14, 2018 20:10 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 5,469 | $6.24 | $34,099.76 |
DisclosureSEC source: 0001140361-18-013437 · doc1.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,150,227 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. F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $6.19 to $6.28, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 13, 2018 Filed Mar 14, 2018 20:10 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 5,359.5 | $6.25 | $33,479.19 |
DisclosureSEC source: 0001140361-18-013437 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,144,758 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 $6.20 to $6.30, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 12, 2018 Filed Mar 14, 2018 20:10 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 4,234 | $6.36 | $26,936.71 |
DisclosureSEC source: 0001140361-18-013437 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,139,398.5 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 $6.23 to $6.42, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 09, 2018 Filed Mar 9, 2018 21:20 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 4,337.5 | $6.38 | $27,659.37 |
DisclosureSEC source: 0001140361-18-012823 · doc1.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,135,164.5 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. F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $6.30 to $6.40, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 08, 2018 Filed Mar 9, 2018 21:20 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 3,281.5 | $6.31 | $20,694.45 |
DisclosureSEC source: 0001140361-18-012823 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,130,827 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 $6.28 to $6.32, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 07, 2018 Filed Mar 9, 2018 21:20 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 2,855 | $6.27 | $17,901.71 |
DisclosureSEC source: 0001140361-18-012823 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,127,545.5 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 $6.23 to $6.29, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 06, 2018 Filed Mar 6, 2018 21:13 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 3,577.5 | $6.26 | $22,378.69 |
DisclosureSEC source: 0001140361-18-012244 · doc1.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,124,690.5 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. F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $6.18 to $6.29, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 05, 2018 Filed Mar 6, 2018 21:13 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 4,038.5 | $6.20 | $25,028.60 |
DisclosureSEC source: 0001140361-18-012244 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,121,113 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 $6.11 to $6.24, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 02, 2018 Filed Mar 6, 2018 21:13 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 4,402 | $6.07 | $26,709.14 |
DisclosureSEC source: 0001140361-18-012244 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,117,074.5 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 $5.98 to $6.09, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| March 01, 2018 Filed Mar 1, 2018 21:28 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 3,899.5 | $6.08 | $23,690.63 |
DisclosureSEC source: 0001140361-18-011244 · doc1.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,113,032.5 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. F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $6.00 to $6.14, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| February 28, 2018 Filed Mar 1, 2018 21:28 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 5,850 | $6.06 | $35,429.36 |
DisclosureSEC source: 0001140361-18-011244 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,109,133 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 $6.02 to $6.10, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| February 27, 2018 Filed Mar 1, 2018 21:28 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 6,604 | $6.03 | $39,810.89 |
DisclosureSEC source: 0001140361-18-011244 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,103,283 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 $5.95 to $6.10, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| February 26, 2018 Filed Feb 26, 2018 21:18 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 3,688 | $5.88 | $21,685.07 |
DisclosureSEC source: 0001140361-18-010151 · doc1.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,096,679 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. F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.82 to $5.91, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| February 23, 2018 Filed Feb 26, 2018 21:18 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 2,967 | $5.76 | $17,086.66 |
DisclosureSEC source: 0001140361-18-010151 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,092,991 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 $5.6190 to $5.68, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| February 22, 2018 Filed Feb 26, 2018 21:18 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 1,619 | $5.71 | $9,250.97 |
DisclosureSEC source: 0001140361-18-010151 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,090,024 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 $5.73 to $5.78, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| February 21, 2018 Filed Feb 21, 2018 22:57 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 3,319.5 | $5.70 | $18,917.17 |
DisclosureSEC source: 0001140361-18-009454 · doc1.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,088,405 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. F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.66 to $5.72, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| February 20, 2018 Filed Feb 21, 2018 22:57 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 5,486.5 | $5.64 | $30,963.06 |
DisclosureSEC source: 0001140361-18-009454 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,085,085.5 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 $5.6190 to $5.68, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| February 16, 2018 Filed Feb 21, 2018 22:57 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 3,687.5 | $5.68 | $20,939.10 |
DisclosureSEC source: 0001140361-18-009454 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,079,599 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 $5.65 to $5.72, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| February 15, 2018 Filed Feb 15, 2018 21:37 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 3,373.5 | $5.70 | $19,223.89 |
DisclosureSEC source: 0001140361-18-008690 · doc1.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,075,911.5 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. F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.68 to $5.71, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| February 14, 2018 Filed Feb 15, 2018 21:37 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 2,744 | $5.65 | $15,495.92 |
DisclosureSEC source: 0001140361-18-008690 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,072,538 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 $5.62 to $5.66, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 21:37 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 3,739 | $5.60 | $20,928.30 |
DisclosureSEC source: 0001140361-18-008690 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,069,794 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 $5.49 to $5.67, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| February 12, 2018 Filed Feb 12, 2018 21:53 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 7,359.5 | $5.51 | $40,539.07 |
DisclosureSEC source: 0001140361-18-006622 · doc1.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,066,055 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. F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.45 to $5.54, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| February 09, 2018 Filed Feb 12, 2018 21:53 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 4,301 | $5.50 | $23,662.38 |
DisclosureSEC source: 0001140361-18-006622 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,058,695.5 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 $5.45 to $5.53, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| February 08, 2018 Filed Feb 12, 2018 21:53 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 4,889 | $5.54 | $27,063.06 |
DisclosureSEC source: 0001140361-18-006622 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,054,394.5 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 $5.48 to $5.56, 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. F5 · balance_after: Includes 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein. 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.