0001104659-21-082841.txt : 20210617 0001104659-21-082841.hdr.sgml : 20210617 20210617203827 ACCESSION NUMBER: 0001104659-21-082841 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210615 FILED AS OF DATE: 20210617 DATE AS OF CHANGE: 20210617 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Eagle Point Credit GP I LP CENTRAL INDEX KEY: 0001607205 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22432 FILM NUMBER: 211026757 BUSINESS ADDRESS: STREET 1: 89 NEXUS WAY, 2ND FLOOR STREET 2: P.O. BOX 31106 CITY: CAMANA BAY STATE: E9 ZIP: KY1-1205 BUSINESS PHONE: 203.862.3150 MAIL ADDRESS: STREET 1: 600 STEAMBOAT RD, SUITE 202 CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Eagle Point Credit Management LLC CENTRAL INDEX KEY: 0001607203 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22432 FILM NUMBER: 211026759 BUSINESS ADDRESS: STREET 1: 600 STEAMBOAT RD, SUITE 202 CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203.862.3150 MAIL ADDRESS: STREET 1: 600 STEAMBOAT RD, SUITE 202 CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Eagle Point DIF GP I LLC CENTRAL INDEX KEY: 0001836609 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22432 FILM NUMBER: 211026756 BUSINESS ADDRESS: STREET 1: 600 STEAMBOAT ROAD, SUITE 202 CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203.340.8500 MAIL ADDRESS: STREET 1: 600 STEAMBOAT ROAD, SUITE 202 CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Majewski Thomas P. CENTRAL INDEX KEY: 0001617694 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22432 FILM NUMBER: 211026758 MAIL ADDRESS: STREET 1: 600 STEAMBOAT RD, SUITE 202 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 tm2120115-1_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-06-15 0 0001495222 Oxford Lane Capital Corp. OXLC 0001607203 Eagle Point Credit Management LLC 600 STEAMBOAT ROAD, SUITE 202 GREENWICH, CT 06830 0 0 1 0 0001617694 Majewski Thomas P. 600 STEAMBOAT ROAD, SUITE 202 GREENWICH, CT 06830 0 0 1 0 0001607205 Eagle Point Credit GP I LP 600 STEAMBOAT RD SUITE 202 GREENWICH CT 06830 0 0 1 0 0001836609 Eagle Point DIF GP I LLC 600 STEAMBOAT ROAD, SUITE 202 GREENWICH, CT 06830 0 0 1 0 6.75% Notes due 2031, $25.00 denominations (OXLCL) 2021-06-15 4 S 0 1251075 1273649 D 21447625 I See foonotes 6.75% Notes due 2031, $25.00 denominations (OXLCL) 2021-06-16 4 S 0 432600 439814 D 21015025 I See foonotes 6.75% Notes due 2031, $25.00 denominations (OXLCL) 2021-06-17 4 S 0 273300 277578 D 20741725 I See foonotes 6.75% Series 2024 Term Preferred Stock (OXLCM) 2021-06-15 4 S 0 4521 25.21 D 362145 I See foonotes 6.75% Series 2024 Term Preferred Stock (OXLCM) 2021-06-16 4 S 0 7392 25.12 D 354753 I See foonotes 6.75% Series 2024 Term Preferred Stock (OXLCM) 2021-06-17 4 S 0 21994 25.04 D 332759 I See foonotes 6.25% Series 2027 Term Preferred Stock (OXLCP) 2021-06-15 4 S 0 2800 25.11 D 630006 I See foonotes 6.25% Series 2027 Term Preferred Stock (OXLCP) 2021-06-16 4 S 0 13441 25.00 D 616565 I See foonotes 6.25% Series 2027 Term Preferred Stock (OXLCP) 2021-06-17 4 S 0 13800 24.95 D 602765 I See foonotes 6.75% Series 2024 Term Preferred Stock (OXLCM) 9450 D 6.25% Series 2027 Term Preferred Stock (OXLCP) 11000 D The amount reported reflects the aggregate principal amount (based on face value), with respect to the notes, and the aggregate number of shares, with respect to the preferred stock. The price reported reflects the aggregate sales price of the notes. These securities were sold in multiple transactions at prices ranging from $25.44 to $25.47 per note, inclusive, at a weighted average price of $25.45 per note. Upon request by the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, the reporting person undertakes to provide full information regarding the number of notes/shares sold at each separate price within the ranges set forth in this footnote and each of the other applicable footnotes contained in this Form 4. The price reported reflects the aggregate sales price. These securities were sold in multiple transactions at prices ranging from $25.40 to $25.50 per note, inclusive, at a weighted average price of $25.42 per note. The price reported reflects the aggregate sales price. These securities were sold in multiple transactions at prices ranging from $25.37 to $25.42 per note, inclusive, at a weighted average price of $25.39 per note. The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $25.20 to $25.30 per share, inclusive. The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $25.08 to $25.18 per share, inclusive. The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $24.99 to $25.10 per share, inclusive. The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $25.10 to $25.15 per share, inclusive. The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $24.95 to $25.21 per share, inclusive. The price reported reflects the weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $24.94 to $25.00 per share, inclusive. The securities are directly owned by certain private investment funds (the "Funds") and certain separately-managed client accounts (the "Accounts"). Eagle Point Credit GP I LP and Eagle Point DIF GP I LLC (together, the "General Partners") serve as general partner to one or more of the Funds. Accordingly, the General Partners could be deemed to have an indirect pecuniary interest in the securities held by the Fund(s) for which they serve as general partner. Eagle Point Credit Management LLC ("EPCM") serves as investment manager to the Accounts and, due to the nature of the advisory relationship, could be deemed to have an indirect pecuniary interest in the securities held by each of the Accounts. Eagle Point Holdings LP ("EP Holdings") is the parent company of each of the General Partners and EPCM. Thomas P. Majewski has certain economic rights with respect to EP Holdings (and EPCM) that could be deemed to give rise to an indirect pecuniary interest in the securities held by the Funds and the Accounts. Among the Reporting Persons, each of Eagle Point Credit GP I LP and Mr. Majewski could be deemed to have an indirect pecuniary interest in the securities sold that are reported herein. Thomas P. Majewski directly owns the securities in his personal capacity. None of the other Reporting Persons has a pecuniary interest in these securities. The securities are directly owned by the Funds. Accordingly, for the reasons described above in footnotes 6 and 7, the General Partners, EPCM, and Mr. Majewski could be deemed to have an indirect pecuniary interest in the applicable securities. Each of the Reporting Persons hereby disclaims beneficial ownership of the securities described in this report pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934 (except, with respect to Mr. Majewski, to the extent of his direct pecuniary interest therein) and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of any of the reported securities for purposes of Section 16 or for any other purpose. /s/ Kenneth P. Onorio, Chief Financial Officer of Eagle Point Credit Management LLC 2021-06-17 /s/ Kenneth P. Onorio, Chief Financial Officer of Eagle Point DIF GP I LLC 2021-06-17 /s/ Kenneth P. Onorio, Chief Financial Officer of Eagle Point Credit GP I LP 2021-06-17 /s/ Thomas P. Majewski 2021-06-17