Form Type: 4

SEC EDGAR Link
Accession Number:0001567619-20-006381
Date:2020-03-12
Issuer: OXFORD LANE CAPITAL CORP. (OXLC)
Original Submission Date:

Reporting Person:

RUBIN BRUCE L.
C/O OXFORD LANE CAPITAL CORP.
8 SOUND SHORE DRIVE, SUITE 255 GREENWICH, CT 06830

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
7.50% SERIES 2023 TERM PREFERRED STOCK 2020-03-12 J 1,495 d $25.06 3,005 direct
COMMON STOCK 2020-03-12 0 $0.00 3,978 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 on march 12, 2020 (the "redemption date"), oxford lane capital corp. (the "issuer") redeemed 1,200,000 of the outstanding shares of the issuer's 7.50% series 2023 term preferred stock (the "shares"), which is traded on the nasdaq global select market under the ticker oxlco, for a redemption price of $25.05729167, which represents the liquidation preference price of $25 per share plus accrued but unpaid dividends of $0.05729167 per share. 1,495 shares beneficially owned by mr. rubin were redeemed as part of this redemption by the issuer.
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