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 |
|---|---|---|---|---|---|---|
| December 21, 2017 Filed Dec 21, 2017 21:40 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 6,736.5 | $5.84 | $39,335.10 |
DisclosureSEC source: 0001140361-17-047009 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,049,487.5 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 $5.82 to $5.85, 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 510 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 |
| December 20, 2017 Filed Dec 21, 2017 21:40 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 8,086 | $5.83 | $47,151.89 |
DisclosureSEC source: 0001140361-17-047009 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,042,751 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 $5.79 to $5.85, 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 510 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 |
| December 19, 2017 Filed Dec 19, 2017 21:43 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 600.5 | $5.75 | $3,451.61 |
DisclosureSEC source: 0001140361-17-046748 · doc1.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,034,665 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 $5.7450 to $5.75, 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 510 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 |
| December 18, 2017 Filed Dec 19, 2017 21:43 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 31,161 | $5.81 | $181,082.80 |
DisclosureSEC source: 0001140361-17-046748 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,034,064.5 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 $5.77 to $5.85, 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 510 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 |
| December 15, 2017 Filed Dec 19, 2017 21:43 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 8,498 | $5.84 | $49,664.01 |
DisclosureSEC source: 0001140361-17-046748 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,002,903.5 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 $5.82 to $5.85, 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 510 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 |
| December 13, 2017 Filed Dec 13, 2017 22:11 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 4,445 | $5.94 | $26,421.97 |
DisclosureSEC source: 0001140361-17-046070 · doc1.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 994,405.5 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 $5.9150 to $5.95, 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 510 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 |
| December 12, 2017 Filed Dec 13, 2017 22:11 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 22,737 | $6.08 | $138,147.74 |
DisclosureSEC source: 0001140361-17-046070 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 989,960.5 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 $6.05 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 510 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 |
| December 11, 2017 Filed Dec 13, 2017 22:11 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 450 | $6.10 | $2,745.00 |
DisclosureSEC source: 0001140361-17-046070 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 967,223.5 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: These shares were purchased in multiple transactions, each at a price of $6.10. 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 510 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 |
| November 22, 2017 Filed Nov 24, 2017 20:44 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 20 | $6.10 | $122.00 |
DisclosureSEC source: 0001140361-17-043760 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 966,773.5 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: These shares were purchased in multiple transactions, each at a price of $6.10. 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. F4 · balance_after: Includes 510 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 |
| November 21, 2017 Filed Nov 24, 2017 20:44 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 1,050 | $6.09 | $6,393.45 |
DisclosureSEC source: 0001140361-17-043760 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 966,753.5 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 $6.07 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 510 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 |
| November 20, 2017 Filed Nov 20, 2017 21:44 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 1,869 | $6.08 | $11,369.50 |
DisclosureSEC source: 0001140361-17-043381 · doc1.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 965,703.5 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 $6.05 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 510 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 |
| November 17, 2017 Filed Nov 20, 2017 21:44 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 2,242.5 | $6.06 | $13,583.72 |
DisclosureSEC source: 0001140361-17-043381 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 963,834.5 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 $6.03 to $6.07, 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. F5 · balance_after: Includes 510 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 |
| November 16, 2017 Filed Nov 20, 2017 21:44 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 2,956 | $6.07 | $17,938.19 |
DisclosureSEC source: 0001140361-17-043381 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 961,592 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 $6.02 to $6.07, 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. F5 · balance_after: Includes 510 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 |
| November 15, 2017 Filed Nov 15, 2017 21:47 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 8,484.5 | $6.03 | $51,120.81 |
DisclosureSEC source: 0001140361-17-042997 · doc1.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 958,636 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 $6.05, 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 510 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 |
| November 14, 2017 Filed Nov 15, 2017 21:47 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 4,128.5 | $6.04 | $24,916.74 |
DisclosureSEC source: 0001140361-17-042997 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 950,151.5 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 $5.98 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 510 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 |
| November 13, 2017 Filed Nov 15, 2017 21:47 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 12,915.5 | $6.02 | $77,770.68 |
DisclosureSEC source: 0001140361-17-042997 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 946,023 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 510 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 |
| November 08, 2017 Filed Nov 8, 2017 22:47 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 5,835 | $5.99 | $34,927.14 |
DisclosureSEC source: 0001140361-17-041628 · doc1.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 933,107.5 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 $5.95 to $6.00, 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. F5 · balance_after: Includes 510 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 |
| November 07, 2017 Filed Nov 8, 2017 22:47 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 21,050 | $5.99 | $126,047.40 |
DisclosureSEC source: 0001140361-17-041628 · doc1.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 927,272.5 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 $5.87 to $6.00, 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. F5 · balance_after: Includes 510 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 |
| November 06, 2017 Filed Nov 8, 2017 22:47 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon stock, $0.01 par value | 26,431 | $5.85 | $154,560.56 |
DisclosureSEC source: 0001140361-17-041628 · doc1.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 906,222.5 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 $5.65 to $6.00, 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. F5 · balance_after: Includes 510 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 |
| September 01, 2017 Filed Sep 5, 2017 21:09 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon Stock, $0.01 par value | 732 | $6.68 | $4,890.57 |
DisclosureSEC source: 0001144204-17-046631 · v474670_4.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 879,763.5 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 $6.66 to $6.70, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F4 · balance_after: Includes 482 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 21:09 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon Stock, $0.01 par value | 800 | $6.70 | $5,356.96 |
DisclosureSEC source: 0001144204-17-046631 · v474670_4.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 879,031.5 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 $6.68 to $6.70, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F4 · balance_after: Includes 482 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| August 30, 2017 Filed Aug 30, 2017 21:57 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon Stock, $0.01 par value | 5,076.5 | $6.67 | $33,872.95 |
DisclosureSEC source: 0001144204-17-045991 · v474411_form4.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 878,231.5 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 $6.65 to $6.70, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F5 · balance_after: Includes 482 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| August 29, 2017 Filed Aug 30, 2017 21:57 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon Stock, $0.01 par value | 960.5 | $6.70 | $6,433.04 |
DisclosureSEC source: 0001144204-17-045991 · v474411_form4.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 873,155 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 $6.68 to $6.70, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F5 · balance_after: Includes 482 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| August 28, 2017 Filed Aug 30, 2017 21:57 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon Stock, $0.01 par value | 3,645 | $6.69 | $24,390.52 |
DisclosureSEC source: 0001144204-17-045991 · v474411_form4.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 872,194.5 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 $6.68 to $6.70, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F5 · balance_after: Includes 482 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| August 25, 2017 Filed Aug 25, 2017 22:22 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon Stock, $0.01 par value | 3,091 | $6.69 | $20,668.28 |
DisclosureSEC source: 0001144204-17-045245 · v474117_4.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 868,549.5 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 $6.66 to $6.70, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F5 · balance_after: Includes 482 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| August 24, 2017 Filed Aug 25, 2017 22:22 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon Stock, $0.01 par value | 3,438 | $6.69 | $23,005.03 |
DisclosureSEC source: 0001144204-17-045245 · v474117_4.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 865,458.5 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 $6.67 to $6.70, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F5 · balance_after: Includes 482 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| August 23, 2017 Filed Aug 25, 2017 22:22 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon Stock, $0.01 par value | 1,120.5 | $6.69 | $7,493.34 |
DisclosureSEC source: 0001144204-17-045245 · v474117_4.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 862,020.5 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 $6.67 to $6.70, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F5 · balance_after: Includes 482 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| August 22, 2017 Filed Aug 22, 2017 21:51 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon Stock, $0.01 par value | 4,422.5 | $6.68 | $29,548.49 |
DisclosureSEC source: 0001144204-17-044644 · v473874_form4.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 860,900 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 $6.65 to $6.70, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F4 · balance_after: Includes 482 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| August 21, 2017 Filed Aug 22, 2017 21:51 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon Stock, $0.01 par value | 5,150 | $6.65 | $34,236.69 |
DisclosureSEC source: 0001144204-17-044644 · v473874_form4.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 856,477.5 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 $6.60 to $6.69, 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 482 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| August 18, 2017 Filed Aug 22, 2017 21:51 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon Stock, $0.01 par value | 448.5 | $6.65 | $2,982.53 |
DisclosureSEC source: 0001144204-17-044644 · v473874_form4.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 851,327.5 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 · balance_after: Includes 482 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| August 14, 2017 Filed Aug 14, 2017 21:53 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon Stock, $0.01 par value | 2,621.5 | $6.62 | $17,366.39 |
DisclosureSEC source: 0001144204-17-043287 · v473326_form4.xml · nonDerivative · entry 3 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 850,879 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 $6.585 to $6.65, 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 482 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| August 11, 2017 Filed Aug 14, 2017 21:53 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon Stock, $0.01 par value | 9,489 | $6.58 | $62,450.90 |
DisclosureSEC source: 0001144204-17-043287 · v473326_form4.xml · nonDerivative · entry 2 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 848,257.5 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 $6.53 to $6.65, 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 482 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| August 10, 2017 Filed Aug 14, 2017 21:53 UTC | Oxford Square Capital Corp. TICC · Entity 6547 | PurchaseCommon Stock, $0.01 par value | 5,042.5 | $6.64 | $33,497.83 |
DisclosureSEC source: 0001144204-17-043287 · v473326_form4.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · President and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 838,768.5 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 $6.63 to $6.65, 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 482 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Jonathan H. Cohen by virtue of their ownership interests therein. Read SEC document |
| June 22, 2017 Filed Jun 23, 2017 21:00 UTC | Oxford Lane Capital Corp. OXLC · Entity 5003 | PurchaseCommon Stock | 20,000 | $9.79 | $195,800.00 |
DisclosureSEC source: 0001144204-17-033868 · v469506_4.xml · nonDerivative · entry 1 ROSENTHAL SAUL B · CIK 0001268529 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,000 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $9.61 to $9.84, 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.