SEC Form 3/A · accession 0001144204-16-093275
Oxford Square Capital Corp. · OXSQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 3/A). It replaces an earlier filing for the same period.
Reporting owner
Bruce L. Rubin
Officer — CFO, CAO, Secy. and Treas.
Period of report
Aug 14, 2015
Accepted (ET)
Apr 7, 2016 · 4:47 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 StockF1,F2 | holding | — | — | — | 664 | I | By Children |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were inadvertently omitted from the reporting person's original Form 3. An additional 25.35412 shares of common stock of TICC Capital Corp. ("TICC") were acquired by the reporting person's children from August 14, 2015 to April 7, 2016 through participation in TICC's dividend reinvestment plan.
- F2The reporting person disclaims beneficial ownership of any of the shares directly held by his children, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person 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.