SEC Form 4 · accession 0001140361-16-065613
Oxford Square Capital Corp. · OXSQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven P Novak
Director
Period of report
May 12, 2016
Accepted (ET)
May 16, 2016 · 3:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001259429
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock, $0.01 par value | May 12, 2016 | P | 1,000 | $5.289 | A | 15,474 | I | Held by spouse |
| Common stock, $0.01 par value | May 12, 2016 | P | 1,000 | $5.269 | A | 16,474 | I | Held by spouse |
| Common stock, $0.01 par valueF1 | May 13, 2016 | P | 500 | $5.325 | A | 16,974 | I | Held by spouse |
| Common stock, $0.01 par valueF1,F2 | May 13, 2016 | P | 500 | $5.32 | A | 17,474 | I | Held by spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported is the weighted average price. The shares were purchased in multiple transactions. The reporting person undertakes to provide to the SEC, the issuer and any security holder of the issuer, upon request, full information regarding the number of shares and the prices at which the shares were purchased.
- F2Includes 4,474.1706 shares acquired under the TICC Capital Corp. dividend reinvestment plan since the filing of Mr. Novak's previous beneficial ownership report on Form 4 on November 13, 2008.