SEC Form 4 · accession 0001144204-17-032533
Oxford Lane Capital Corp. · OXLC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leroy Scott Frantz
10% Owner
Period of report
Jun 14, 2017
Accepted (ET)
Jun 14, 2017 · 4:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001495222
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| 6.75% Series 2024 Term Preferred Stock | Jun 14, 2017 | P | 200,000 | $25.00 | A | 200,000 | D | |
| Common Stock | holding | — | — | — | 1,012 | D | ||
| 7.50% Series 2023 Term Preferred Stock | holding | — | — | — | 437,622 | D | ||
| 8.125% Series 2024 Term Preferred Stock | holding | — | — | — | 200,000 | D |
Table II — derivative securities
No Table II lines on this filing.