SEC Form 4 · accession 0001140361-16-066009
Oxford Square Capital Corp. · OXSQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan H Cohen
Officer — Chief Executive Officer · Director
Period of report
May 13, 2016
Accepted (ET)
May 17, 2016 · 5:15 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 valueF1,F2,F3 | May 13, 2016 | P | 13,571 | $5.343 | A | 416,298 | D | |
| Common stock, $0.01 par valueF1,F2,F3 | May 16, 2016 | P | 20,160 | $5.436 | A | 436,458 | D | |
| Common stock, $0.01 par valueF1,F2,F3 | May 17, 2016 | P | 20,160 | $5.426 | A | 456,618 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 40% pecuniary interest. The number of shares reported represents only Mr. Cohen's 40% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, and Charles M. Royce, a director of the issuer, have a 40% pecuniary interest and a 20% pecuniary interest, respectively, in such account.
- F2The price reported is the average weighted 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.
- F3Includes 407 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Cohen and Saul B. Rosenthal by virtue of their ownership interests therein.