0001144204-17-041262.txt : 20170808
0001144204-17-041262.hdr.sgml : 20170808
20170808170613
ACCESSION NUMBER: 0001144204-17-041262
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170807
FILED AS OF DATE: 20170808
DATE AS OF CHANGE: 20170808
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Frantz Leroy Scott
CENTRAL INDEX KEY: 0001619007
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-22432
FILM NUMBER: 171015595
MAIL ADDRESS:
STREET 1: C/O HAEBLER CAPITAL
STREET 2: 8 SOUND SHORE DRIVE
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
v472735_form4.xml
OWNERSHIP DOCUMENT
X0306
4
2017-08-07
0
0001495222
Oxford Lane Capital Corp.
OXLC
0001619007
Frantz Leroy Scott
8 SOUND SHORE DRIVE
GREENWICH
CT
06830
0
0
1
0
6.75% Series 2024 Term Preferred Stock
2017-08-07
4
P
0
11750
25.2022
D
11750
I
By Trust
Common Stock
1012
D
7.50% Series 2023 Term Preferred Stock
437622
D
6.75% Series 2024 Term Preferred Stock
200000
D
Reflects shares held by the Trust under agreement dated 7/10/58 for the benefit of L. Scott Frantz. Mr. Frantz disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission for purposes of Section 16 or for any other purpose.
/s/ Leroy Scott Frantz
2017-08-08