0001104659-21-087035.txt : 20210629
0001104659-21-087035.hdr.sgml : 20210629
20210629204826
ACCESSION NUMBER: 0001104659-21-087035
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210629
FILED AS OF DATE: 20210629
DATE AS OF CHANGE: 20210629
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: 211059993
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: 211059995
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: 211059992
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: 211059994
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
tm2121043-1_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2021-06-29
1
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% Series 2024 Term Preferred Stock (OXLCM)
2021-06-29
4
S
0
3543
25.15
D
213543
I
See footnote
6.25% Series 2027 Term Preferred Stock (OXLCP)
2021-06-29
4
S
0
10778
24.91
D
380145
I
See footnote
6.75% Notes due 2031, $25.00 denominations (OXLCL)
20741725
I
See footnote
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 weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $25.14 to $25.23 per share, inclusive. 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 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 weighted average sales price per share. These securities were sold in multiple transactions at prices ranging from $24.90 to $24.94 per share, inclusive.
The securities are directly owned by certain private investment funds (the "Funds") managed by Eagle Point Credit Management ("EPCM"). Eagle Point Credit GP I LP and Eagle Point DIF GP I LLC (the "General Partners") serve as general partner to one or more of the Funds. Accordingly, EPCM and the General Partners could be deemed to have an indirect pecuniary interest in the securities held by the applicable Fund(s).
Eagle Point Holdings LP ("EP Holdings") is the parent company of EPCM and each of the General Partners, and 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. Accordingly, each of the Reporting Persons could be deemed to have an indirect pecuniary interest in all or a portion of the securities sold that are reported herein.
The securities are directly owned by the Funds and certain separately-managed client accounts (the "Accounts"). 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 (as well as the securities held by the Funds).
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.
Thomas P. Majewski directly owns the securities in his personal capacity. None of the other Reporting Persons has a pecuniary interest in these securities.
/s/ Kenneth P. Onorio, Chief Financial Officer of Eagle Point Credit Management LLC
2021-06-29
/s/ Kenneth P. Onorio, Chief Financial Officer of Eagle Point DIF GP I LLC
2021-06-29
/s/ Kenneth P. Onorio, Chief Financial Officer of Eagle Point Credit GP I LP
2021-06-29
/s/ Thomas P. Majewski
2021-06-29