0001213900-23-055412.txt : 20230707 0001213900-23-055412.hdr.sgml : 20230707 20230707124449 ACCESSION NUMBER: 0001213900-23-055412 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230614 FILED AS OF DATE: 20230707 DATE AS OF CHANGE: 20230707 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROYCE CHARLES M CENTRAL INDEX KEY: 0001009121 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00638 FILM NUMBER: 231076056 MAIL ADDRESS: STREET 1: C/O ROYCE & ASSOCIATES, LLC STREET 2: 745 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10151 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 X0407 4 2023-06-14 0 0001259429 Oxford Square Capital Corp. OXSQ 0001009121 ROYCE CHARLES M C/O OXFORD SQUARE CAPITAL CORP. 8 SOUND SHORE DRIVE, SUITE 255 GREENWICH CT 06830 1 0 0 0 0 Common Stock, par value $0.01 per share 2023-06-14 4 X 0 497208 2.66 A 1727510 I Held by Royce Family Investments, LLC Common Stock, par value $0.01 per share 2023-06-14 4 X 0 98071 2.66 A 392285 I Held by Royce Family Fund, Inc. Transferable Subscription Rights (right to buy) 2.66 2023-06-14 4 X 0 497208 0.00 D 2023-05-24 2023-06-14 Common stock 497208 0 I Held by Royce Family Investments, LLC Transferable Subscription Rights (right to buy) 2.66 2023-06-14 4 X 0 98071 0.00 D 2023-05-24 2023-06-14 Common Stock 98071 0 I Held by Royce Family Fund, Inc. On May 10, 2023, Oxford Square Capital Corp. (the "Company") announced the commencement of a pro rata offering (the "Rights Offering") of transferable rights (the "Rights") to holders of the Company's common shares, as of the record date of May 23, 2023 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 16,633,723 of the Company's common shares. Record Date Shareholders received one Right for every three common shares held on the record date. The Rights entitle their holders to purchase one new common share for every one Right held. The subscription price per common share is $2.66 (the "basic subscription privilege"). The subscription rights expired if they were not exercised by 5:00 p.m. Eastern time on June 14, 2023. The Rights Offering also included an oversubscription privilege, which entitled holders who fully exercised their basic subscription privilege the right to purchase at a price of $2.66 per common share additional common shares of the Company, subject to availability and pro rata allocation of shares among Record Date Shareholders exercising such oversubscription privilege. Includes approximately 87,108 shares issued pursuant to the over-subscription privilege in connection with the Rights Offering. The amount of shares issued pursuant to such over-subscription privilege to each exercising rights holder was determined on June 22, 2023. /s/ Charles M. Royce 2023-07-07