SEC Form 4 · accession 0001140361-16-068396
Oxford Square Capital Corp. · OXSQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles M Royce
Director
Period of report
Jun 1, 2016
Accepted (ET)
Jun 3, 2016 · 12:21 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 | Jun 1, 2016 | P | 13,660 | $5.648 | A | 305,926 | D | |
| Common stock, $0.01 par valueF1,F2 | Jun 2, 2016 | P | 13,660 | $5.608 | A | 319,586 | D | |
| Common stock, $0.01 par valueF1,F2 | Jun 3, 2016 | P | 60,000 | $5.64 | A | 379,586 | D | |
| Common stock, $0.01 par value | holding | — | — | — | 432,821 | I | Held by Royce Family Investments, LLC | |
| Common stock, $0.01 par valueF3 | holding | — | — | — | 62,001 | I | Held by Royce Family Fund, Inc. |
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. Royce has a 20% pecuniary interest. The number of shares reported on this Form 4 represents only Mr. Royce's 20% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director of the issuer, and Saul B. Rosenthal, President and COO of the issuer, each have a 40% pecuniary interest 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.
- F3Mr. Royce disclaims beneficial ownership of the 62,001 shares held by Royce Family Fund, Inc., except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Royce is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or any other purpose.