0001213900-22-023820.txt : 20220504 0001213900-22-023820.hdr.sgml : 20220504 20220504090234 ACCESSION NUMBER: 0001213900-22-023820 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220502 FILED AS OF DATE: 20220504 DATE AS OF CHANGE: 20220504 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROSENTHAL SAUL B CENTRAL INDEX KEY: 0001268529 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00638 FILM NUMBER: 22889981 MAIL ADDRESS: STREET 1: 8 SOUND SHORE DR STE 215 CITY: GREENWICH STATE: CT ZIP: 06830 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Oxford Square Capital Corp. CENTRAL INDEX KEY: 0001259429 IRS NUMBER: 200118736 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 8 SOUND SHORE DR STREET 2: SUITE 255 CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2039835275 MAIL ADDRESS: STREET 1: 8 SOUND SHORE DRIVE STREET 2: SUITE 255 CITY: GREENWICH STATE: CT ZIP: 06830 FORMER COMPANY: FORMER CONFORMED NAME: Oxford Street Capital Corp. DATE OF NAME CHANGE: 20180319 FORMER COMPANY: FORMER CONFORMED NAME: TICC Capital Corp. DATE OF NAME CHANGE: 20071203 FORMER COMPANY: FORMER CONFORMED NAME: TECHNOLOGY INVESTMENT CAPITAL CORP DATE OF NAME CHANGE: 20030812 4 1 ownership.xml X0306 4 2022-05-02 0 0001259429 Oxford Square Capital Corp. OXSQ 0001268529 ROSENTHAL SAUL B C/O OXFORD SQUARE CAPITAL CORP. 8 SOUND SHORE DRIVE, SUITE 255 GREENWICH CT 06830 0 1 0 0 President and COO Common Stock 2022-05-02 4 P 0 21635 4.000 A 1393486 D Common Stock 2022-05-03 4 P 0 12835 4.046 A 1406321 D Common Stock 933 I See footnote The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director of the issuer, has a 50% pecuniary interest in such account. The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.96 to $4.03, 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. The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.975 to $4.10, 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. The number of shares includes shares acquired pursuant to the Oxford Square Capital Corp. dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11. Shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal by virtue of his ownership interest therein. /s/ Saul B. Rosenthal 2022-05-03