SEC Form 4 · accession 0001140361-18-018533
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
Apr 11, 2018
Accepted (ET)
Apr 13, 2018 · 4:14 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,F5 | Apr 11, 2018 | P | 181 | $6.1079 | A | 1,199,898 | D | |
| Common stock, $0.01 par valueF1,F3,F5 | Apr 12, 2018 | P | 230 | $6.13 | A | 1,200,128 | D | |
| Common stock, $0.01 par valueF2,F4,F5 | Apr 13, 2018 | P | 778 | $6.1232 | A | 1,200,906 | 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 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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 $6.09 to $6.13, 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.
- F3These shares were purchased in multiple transactions, each at a price of $6.13. 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 as set forth in this footnote.
- F4The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $6.11 to $6.13, 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 Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein.