0001213900-21-022059.txt : 20210419 0001213900-21-022059.hdr.sgml : 20210419 20210419140348 ACCESSION NUMBER: 0001213900-21-022059 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210415 FILED AS OF DATE: 20210419 DATE AS OF CHANGE: 20210419 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: 21834011 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 ownership.xml X0306 4 2021-04-15 0 0001495222 Oxford Lane Capital Corp. OXLC 0001619007 Frantz Leroy Scott C/O HAEBLER CAPITAL 8 SOUND SHORE DRIVE GREENWICH CT 06830 0 0 1 0 7.50% Series 2023 Term Preferred Stock 2021-04-15 4 J 0 292404 25.07 D 0 D 6.25% Series 2027 Term Preferred Stock 400000 D 6.75% Series 2024 Term Preferred Stock 200000 D 6.75% Series 2024 Term Preferred Stock 11750 I By Trust Common Stock 1012 D On April 15, 2021 (the "Redemption Date"), Oxford Lane Capital Corp. (the "Issuer") redeemed all 2,281,395 issued and outstanding shares of the Issuer's 7.50% Series 2023 Term Preferred Stock (the "Shares"), which was traded on the NASDAQ Global Select Market under the ticker OXLCO, for a redemption price of $25.07291667, which represents the liquidation preference price of $25 per Share plus accrued but unpaid dividends of $0.07291667 per Share. As a result of the foregoing, all 292,404 Shares beneficially owned by Mr. Frantz were redeemed as part of this redemption by the Issuer. 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 2021-04-19