SEC Form 4 · accession 0001144204-17-041262
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
Aug 7, 2017
Accepted (ET)
Aug 8, 2017 · 5:06 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 StockF1 | Aug 7, 2017 | P | 11,750 | $25.2022 | D | 11,750 | I | By Trust |
| Common Stock | holding | — | — | — | 1,012 | D | ||
| 7.50% Series 2023 Term Preferred Stock | holding | — | — | — | 437,622 | D | ||
| 6.75% Series 2024 Term Preferred Stock | holding | — | — | — | 200,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects shares held by the Trust under agreement dated 7/10/58 for the benefit of L. Scott Frantz. Mr. Frantz disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission for purposes of Section 16 or for any other purpose.