0001615774-19-014778.txt : 20191126 0001615774-19-014778.hdr.sgml : 20191126 20191126165506 ACCESSION NUMBER: 0001615774-19-014778 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191125 FILED AS OF DATE: 20191126 DATE AS OF CHANGE: 20191126 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: 811-22432 FILM NUMBER: 191251887 MAIL ADDRESS: STREET 1: 8 SOUND SHORE DR STE 215 CITY: GREENWICH STATE: CT ZIP: 06830 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Oxford Lane Capital Corp. CENTRAL INDEX KEY: 0001495222 IRS NUMBER: 272859071 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 8 SOUND SHORE DRIVE STREET 2: SUITE 255 CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: (203) 983-5275 MAIL ADDRESS: STREET 1: 8 SOUND SHORE DRIVE STREET 2: SUITE 255 CITY: GREENWICH STATE: CT ZIP: 06830 4 1 ownership.xml X0306 4 2019-11-25 0 0001495222 Oxford Lane Capital Corp. OXLC 0001268529 ROSENTHAL SAUL B C/O OXFORD LANE CAPITAL CORP. 8 SOUND SHORE DRIVE, SUITE 255 GREENWICH CT 06830 1 1 0 0 President Common Stock 130000 D 7.50% Series 2023 Term Preferred Stock 2019-11-25 4 P 0 20000 25.4802 A 42222 D 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 $25.40 to $25.50, 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. /s/ Saul B. Rosenthal 2019-11-26