SEC Form 4 · accession 0001140361-16-070122
Oxford Square Capital Corp. · OXSQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Saul B Rosenthal
Officer — President and COO
Period of report
Jun 14, 2016
Accepted (ET)
Jun 16, 2016 · 5:51 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 | Jun 14, 2016 | P | 40,360 | $5.429 | A | 690,355 | D | |
| Common stock, $0.01 par valueF1,F2,F3 | Jun 15, 2016 | P | 40,360 | $5.386 | A | 730,715 | D | |
| Common stock, $0.01 par valueF1,F2,F3 | Jun 16, 2016 | P | 34,136 | $5.352 | A | 764,851 | 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. Rosenthal has a 40% pecuniary interest. The number of shares reported on this Form 4 represents only Mr. Rosenthal's 40% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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 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.
- F3Includes 407 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein.