| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | OXSQ | Common Stock | Purchase | $6.93K | +1.65K | +0.13% | $4.20 | 1.25M | Aug 19, 2021 | Direct | F1, F2 |
| holding | OXSQ | Common Stock | 870 | Aug 19, 2021 | See footnote | F3 |
| Id | Content |
|---|---|
| F1 | The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director of the issuer, has a 50% pecuniary interest in such account. |
| F2 | The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.19 to $4.20, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. |
| F3 | Shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal by virtue of his ownership interest therein. Includes 210 shares acquired under the Company's dividend reinvestment plan since the filing of Mr. Rosenthal's previous beneficial ownership report on Form 4 on December 4, 2019. |