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Home > Insider Trading > Filing (0001567619-20-002511)

Filing Details

Accession Number:: 0001567619-20-002511
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-02-10 12:47:55
Reporting Period:: 2020-02-06

Accepted Time:: 2020-02-10 12:47:55
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
1619007	Scott Leroy Frantz	Haebler Capital 8 Sound Shore Drive Greenwich CT 06830		No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
6.25% Series 2027 Preferred Stock	Acquisiton	2020-02-06	400,000	$25.00	400,000	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
6.75 Series 2024 Term Preferred Stock	200,000	Direct
6.75 Series 2024 Term Preferred Stock	11,750	Indirect	By Trust
7.50 Series 2023 Term Preferred Stock	437,622	Direct
Common Stock	1,012	Direct

Footnotes

Reflects shares held by the Trust under agreement dated 7/10/58 for the benefit of L. Scott Frantz. Mr. Frantz disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission for purposes of Section 16 or for any other purpose.