Filing Details

Accession Number:
0001104659-21-082841
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-06-17 20:38:27
Reporting Period:
2021-06-15
Accepted Time:
2021-06-17 20:38:27
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
1607203 Eagle Point Credit Management Llc 600 Steamboat Road,
Suite 202
Greenwich, CT 06830
No No Yes No
1607205 Eagle Point Credit Gp I Lp 600 Steamboat Rd
Suite 202
Greenwich CT 06830
No No Yes No
1617694 P. Thomas Majewski 600 Steamboat Road,
Suite 202
Greenwich, CT 06830
No No Yes No
1836609 Eagle Point Dif Gp I Llc 600 Steamboat Road,
Suite 202
Greenwich, CT 06830
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
6.75% Notes Due 2031, $25.00 Denominations (Oxlcl) Disposition 2021-06-15 1,251,075 $1,273,649.00 0 No 4 S Indirect See foonotes
6.75% Notes Due 2031, $25.00 Denominations (Oxlcl) Disposition 2021-06-16 432,600 $439,814.00 0 No 4 S Indirect See foonotes
6.75% Notes Due 2031, $25.00 Denominations (Oxlcl) Disposition 2021-06-17 273,300 $277,578.00 0 No 4 S Indirect See foonotes
6.75% Series 2024 Term Preferred Stock (Oxlcm) Disposition 2021-06-15 4,521 $25.21 362,145 No 4 S Indirect See foonotes
6.75% Series 2024 Term Preferred Stock (Oxlcm) Disposition 2021-06-16 7,392 $25.12 354,753 No 4 S Indirect See foonotes
6.75% Series 2024 Term Preferred Stock (Oxlcm) Disposition 2021-06-17 21,994 $25.04 332,759 No 4 S Indirect See foonotes
6.25% Series 2027 Term Preferred Stock (Oxlcp) Disposition 2021-06-15 2,800 $25.11 630,006 No 4 S Indirect See foonotes
6.25% Series 2027 Term Preferred Stock (Oxlcp) Disposition 2021-06-16 13,441 $25.00 616,565 No 4 S Indirect See foonotes
6.25% Series 2027 Term Preferred Stock (Oxlcp) Disposition 2021-06-17 13,800 $24.95 602,765 No 4 S Indirect See foonotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See foonotes
No 4 S Indirect See foonotes
No 4 S Indirect See foonotes
No 4 S Indirect See foonotes
No 4 S Indirect See foonotes
No 4 S Indirect See foonotes
No 4 S Indirect See foonotes
No 4 S Indirect See foonotes
No 4 S Indirect See foonotes
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
6.75% Series 2024 Term Preferred Stock (Oxlcm) 9,450 Direct
6.25% Series 2027 Term Preferred Stock (Oxlcp) 11,000 Direct
Footnotes
  1. The amount reported reflects the aggregate principal amount (based on face value), with respect to the notes, and the aggregate number of shares, with respect to the preferred stock.
  2. The price reported reflects the aggregate sales price of the notes. These securities were sold in multiple transactions at prices ranging from $25.44 to $25.47 per note, inclusive, at a weighted average price of $25.45 per note. Upon request by the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, the reporting person undertakes to provide full information regarding the number of notes/shares sold at each separate price within the ranges set forth in this footnote and each of the other applicable footnotes contained in this Form 4.
  3. The price reported reflects the aggregate sales price. These securities were sold in multiple transactions at prices ranging from $25.40 to $25.50 per note, inclusive, at a weighted average price of $25.42 per note.
  4. The price reported reflects the aggregate sales price. These securities were sold in multiple transactions at prices ranging from $25.37 to $25.42 per note, inclusive, at a weighted average price of $25.39 per note.
  5. The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $25.20 to $25.30 per share, inclusive.
  6. The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $25.08 to $25.18 per share, inclusive.
  7. The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $24.99 to $25.10 per share, inclusive.
  8. The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $25.10 to $25.15 per share, inclusive.
  9. The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $24.95 to $25.21 per share, inclusive.
  10. The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $24.94 to $25.00 per share, inclusive.
  11. The securities are directly owned by certain private investment funds (the "Funds") and certain separately-managed client accounts (the "Accounts"). Eagle Point Credit GP I LP and Eagle Point DIF GP I LLC (together, the "General Partners") serve as general partner to one or more of the Funds. Accordingly, the General Partners could be deemed to have an indirect pecuniary interest in the securities held by the Fund(s) for which they serve as general partner. Eagle Point Credit Management LLC ("EPCM") serves as investment manager to the Accounts and, due to the nature of the advisory relationship, could be deemed to have an indirect pecuniary interest in the securities held by each of the Accounts.
  12. Eagle Point Holdings LP ("EP Holdings") is the parent company of each of the General Partners and EPCM. Thomas P. Majewski has certain economic rights with respect to EP Holdings (and EPCM) that could be deemed to give rise to an indirect pecuniary interest in the securities held by the Funds and the Accounts. Among the Reporting Persons, each of Eagle Point Credit GP I LP and Mr. Majewski could be deemed to have an indirect pecuniary interest in the securities sold that are reported herein.
  13. Thomas P. Majewski directly owns the securities in his personal capacity. None of the other Reporting Persons has a pecuniary interest in these securities.
  14. The securities are directly owned by the Funds. Accordingly, for the reasons described above in footnotes 6 and 7, the General Partners, EPCM, and Mr. Majewski could be deemed to have an indirect pecuniary interest in the applicable securities.
  15. Each of the Reporting Persons hereby disclaims beneficial ownership of the securities described in this report pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934 (except, with respect to Mr. Majewski, to the extent of his direct pecuniary interest therein) and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of any of the reported securities for purposes of Section 16 or for any other purpose.