Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2021-08-23 16:02:26
Reporting Period:
Accepted Time:
2021-08-23 16:02:26
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
1259429 Oxford Square Capital Corp. OXSQ () 200118736
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1268530 H Jonathan Cohen C/o Oxford Square Capital Corp.
8 Sound Shore Drive, Suite 255
Greenwich CT 06830
Chief Executive Officer 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
Common Stock Acquisiton 2021-08-19 1,650 $4.20 1,413,866 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 870 Indirect See footnote
  1. The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and CCO of the issuer, has a 50% pecuniary interest in such account.
  2. The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.19 to $4.20, 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.
  3. Shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Cohen by virtue of his ownership interest therein. Includes 177 shares acquired under the Company's dividend reinvestment plan since the filing of Mr. Cohen's previous beneficial ownership report on Form 4 on March 17, 2020.