SEC Form 4 · accession 0001140361-16-070473

Oxford Square Capital Corp. · OXSQ

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Jun 17, 2016

Accepted (ET)

Jun 21, 2016 · 4:43 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^F1,F2	Jun 17, 2016	P	20,100	$5.438	A	464,314	D
Common stock, $0.01 par value^F1,F2	Jun 20, 2016	P	14,300	$5.456	A	478,614	D
Common stock, $0.01 par value	holding	—	—		—	432,821	I	Held by Royce Family Investments, LLC
Common stock, $0.01 par value^F3	holding	—	—		—	62,001	I	Held by Royce Family Fund, Inc.

No Table II lines on this filing.

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.