4//SEC Filing
Frantz Leroy Scott 4
Accession 0001567619-20-006382
CIK 0001495222other
Filed
Mar 15, 8:00 PM ET
Accepted
Mar 16, 12:57 PM ET
Size
7.9 KB
Accession
0001567619-20-006382
Insider Transaction Report
Form 4
Frantz Leroy Scott
10% Owner
Transactions
- Other
7.50% Series 2023 Term Preferred Stock
2020-03-12$25.06/sh−145,218$3,638,756→ 292,404 total
Holdings
- 400,000
6.25% Series 2027 Term Preferred Stock
- 200,000
6.75% Series 2024 Term Preferred Stock
- 1,012
Common Stock
- 11,750(indirect: By Trust)
6.75% Series 2024 Term Preferred Stock
Footnotes (2)
- [F1]On March 12, 2020 (the "Redemption Date"), Oxford Lane Capital Corp. (the "Issuer") redeemed 1,200,000 of the outstanding shares of the Issuer's 7.50% Series 2023 Term Preferred Stock (the "Shares"), which is traded on the NASDAQ Global Select Market under the ticker OXLCO, for a redemption price of $25.05729167, which represents the liquidation preference price of $25 per Share plus accrued but unpaid dividends of $0.05729167 per Share. 145,218 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
- Mar 15, 8:00 PM ET
- Accepted
- Mar 16, 12:57 PM ET
- Size
- 7.9 KB