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