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