SC 13G/A: Oxford Lane Capital Corp.
Ticker: OXLCG · Form: SC 13G/A · Filed: Jul 2, 2024 · CIK: 1495222
| Field | Detail |
|---|---|
| Company | Oxford Lane Capital Corp. (OXLCG) |
| Form Type | SC 13G/A |
| Filed Date | Jul 2, 2024 |
| Risk Level | low |
| Pages | 3 |
| Reading Time | 4 min |
| Key Dollar Amounts | $0.01 |
| Sentiment | neutral |
Sentiment: neutral
Topics: sc-13g-a
AI Summary
SC 13G/A filing by Oxford Lane Capital Corp..
Risk Assessment
Risk Level: low
FAQ
What type of filing is this?
This is a SC 13G/A filing submitted by Oxford Lane Capital Corp. (ticker: OXLCG) to the SEC on Jul 2, 2024.
What is the risk level of this SC 13G/A filing?
This filing has been assessed as low risk.
What are the key financial figures in this filing?
Key dollar amounts include: $0.01 (f cumulative term preferred shares, par $0.01 per share (the “Preferred Stock&r).
How long is this filing?
Oxford Lane Capital Corp.'s SC 13G/A filing is 3 pages with approximately 926 words. Estimated reading time is 4 minutes.
Where can I view the full SC 13G/A filing?
The complete filing is available on SEC EDGAR. You can also read the AI-decoded analysis with risk assessment and key highlights on ReadTheFiling.
Filing Stats: 926 words · 4 min read · ~3 pages · Grade level 8 · Accepted 2024-07-02 17:20:16
Key Financial Figures
- $0.01 — f cumulative term preferred shares, par $0.01 per share (the “Preferred Stock&r
Filing Documents
- ea0208910-01_sc13ga.htm (SC 13G/A) — 39KB
- 0001213900-24-058692.txt ( ) — 40KB
(a)
Item 1(a). Name of Issuer: Oxford Lane Capital Corp.
(b)
Item 1(b). Address of Issuer’s Principal Executive Offices: 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830
(b)
Item 2(b). Name of Person Filing: Leroy Scott Frantz
(b)
Item 2(b). Address of Principal Business Office: Haebler Capital 8 Sound Shore Drive Greenwich, CT 06830
(c)
Item 2(c). Citizenship: United States of America
(d)
Item 2(d). Title of Class of Securities Cumulative Term Preferred Shares
(e)
Item 2(e). CUSIP Number: 691543 607 3
If this statement is filed pursuant to rule 240.13d-1(b)
Item 3. If this statement is filed pursuant to rule 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) Broker or dealer registered under Section 15 of the Act. (b) Bank as defined in Section 3(a)(6) of the Act. (c) Insurance company as defined in Section 3(a)(19) of the Act. (d) Investment company registered under Section 8 of the Investment Company Act of 1940. (e) An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E). (f) An employee benefit plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F). (g) A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G). (h) A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). (i) A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940. (j) Group, in accordance with Section 240.13d-1(b)(1)(ii)(J). Item 4. As of the date of this filing, Leroy Scott Frantz (the “Reporting Person”) is the beneficial owner of an aggregate of 400,000 shares of cumulative term preferred shares, par $0.01 per share (the “Preferred Stock”), of Oxford Lane Capital Corp. (“OXLC”). The Preferred Stock of OXLC is comprised of three series: (i) Cumulative Term Preferred Shares, 6.25% Series 2027 (the “Series 2027 Term Preferred Shares”); (ii) Cumulative Term Preferred Shares, 6.00% Series 2029; and (iii) Cumulative Term Preferred Shares, 7.125% Series 2029. The Reporting Person owns 400,000 shares of the Series 2027 Term Preferred Shares. The Reporting Person’s beneficial ownership of 400,000 shares of Preferred Stock constitutes approximately 4.57% of OXLC’s outstanding shares of Preferred Stock, based upon 8,761,706 shares of Preferred Stock outstanding as of July 1, 2024. The Reporting Person owns directly, and has sole power to vote and