Filing Details

Accession Number:
0001144204-13-068216
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-12-19 17:04:05
Reporting Period:
2013-12-18
Filing Date:
2013-12-19
Accepted Time:
2013-12-19 17:04:05
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1495222 Oxford Lane Capital Corp. OXLC () 272859071
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1272733 Patrick Conroy C/o Oxford Lane Capital Corp.
8 Sound Shore Drive Suite 255
Greenwich CT 06830
Cfo, Cco And Corp Secretary No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-12-18 2,000 $16.95 23,000 No 4 P Direct
Common Stock Acquisiton 2013-12-18 1,000 $16.99 24,000 No 4 P Direct
Common Stock Acquisiton 2013-12-19 1,000 $17.00 25,000 No 4 P Direct
Common Stock Acquisiton 2013-12-19 4,000 $17.02 29,000 No 4 P Direct
Common Stock Acquisiton 2013-12-19 400 $17.03 29,400 No 4 P Direct
Common Stock Acquisiton 2013-12-19 600 $17.05 30,000 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
7.50% Series 2023 Term Preferred Stock 10,000 Direct