SEC Form 4 · accession 0001144204-16-139066
Oxford Square Capital Corp. · OXSQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard W Neu
Director
Period of report
Dec 8, 2016
Accepted (ET)
Dec 12, 2016 · 9:15 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 8, 2016 | P | 12,113 | $7.05 | A | 12,113 | D | |
| Common Stock | Dec 9, 2016 | P | 10,000 | $7.05 | A | 22,113 | D | |
| Common StockF2 | Dec 12, 2016 | P | 27,887 | $7.088 | A | 50,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $7.00 to $7.05, 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.
- F2The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $7.0799 to $7.10, 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.