4//SEC Filing
Frantz Leroy Scott 4
Accession 0001213900-21-022059
CIK 0001495222other
Filed
Apr 18, 8:00 PM ET
Accepted
Apr 19, 2:03 PM ET
Size
8.0 KB
Accession
0001213900-21-022059
Insider Transaction Report
Form 4
Frantz Leroy Scott
10% Owner
Transactions
- Other
7.50% Series 2023 Term Preferred Stock
2021-04-15$25.07/sh−292,404$7,330,568→ 0 total
Holdings
- 11,750(indirect: By Trust)
6.75% Series 2024 Term Preferred Stock
- 200,000
6.75% Series 2024 Term Preferred Stock
- 1,012
Common Stock
- 400,000
6.25% Series 2027 Term Preferred Stock
Footnotes (2)
- [F1]On April 15, 2021 (the "Redemption Date"), Oxford Lane Capital Corp. (the "Issuer") redeemed all 2,281,395 issued and outstanding shares of the Issuer's 7.50% Series 2023 Term Preferred Stock (the "Shares"), which was traded on the NASDAQ Global Select Market under the ticker OXLCO, for a redemption price of $25.07291667, which represents the liquidation preference price of $25 per Share plus accrued but unpaid dividends of $0.07291667 per Share. As a result of the foregoing, all 292,404 Shares beneficially owned by Mr. Frantz were redeemed as part of this redemption by the Issuer.
- [F2]Reflects 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.
Documents
Issuer
Oxford Lane Capital Corp.
CIK 0001495222
Entity typeother
Related Parties
1- filerCIK 0001619007
Filing Metadata
- Form type
- 4
- Filed
- Apr 18, 8:00 PM ET
- Accepted
- Apr 19, 2:03 PM ET
- Size
- 8.0 KB