Home > Insider Trading > Filing (0001615774-19-014778)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1495222	Oxford Lane Capital Corp.	OXLC	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1268529	B Saul Rosenthal	C/O Oxford Lane Capital Corp. 8 Sound Shore Drive, Suite 255 Greenwich CT 06830	President	Yes	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
7.50% Series 2023 Term Preferred Stock	Acquisiton	2019-11-25	20,000	$25.48	42,222	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	130,000	Direct

Footnotes

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.
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.