SEC Form 4 · accession 0001144204-17-033868
Oxford Lane Capital Corp. · OXLC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Saul B Rosenthal
Officer — President · Director
Period of report
Jun 22, 2017
Accepted (ET)
Jun 23, 2017 · 5:00 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 |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 22, 2017 | P | 20,000 | $9.79 | A | 130,000 | D | |
| 7.50% Series 2023 Term Preferred Stock | holding | — | — | — | 22,222 | 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 $9.61 to $9.84, 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.