SEC Form 4 · accession 0001140361-18-009466

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

Feb 16, 2018

Accepted (ET)

Feb 21, 2018 · 6:43 pm EST

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
Common stock, $0.01 par value^F1,F2,F5	Feb 16, 2018	P	3,688	$5.6784	A	1,282,462	D
Common stock, $0.01 par value^F1,F3,F5	Feb 20, 2018	P	5,487	$5.6435	A	1,287,949	D
Common stock, $0.01 par value^F1,F4,F5	Feb 21, 2018	P	3,320	$5.6988	A	1,291,268	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 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO of the issuer, has a 50% pecuniary interest in such account.
F2The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.65 to $5.72, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
F3The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.6190 to $5.68, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
F4The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.66 to $5.72, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
F5Includes 528 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.