Saul B. Rosenthal - Sep 20, 2021 Form 4 Insider Report for Oxford Square Capital Corp. (OXSQ)

Role
President and COO
Signature
/s/ Saul B. Rosenthal
Stock symbol
OXSQ
Transactions as of
Sep 20, 2021
Transactions value $
$20,566
Form type
4
Date filed
9/22/2021, 03:33 PM
Previous filing
Aug 23, 2021
Next filing
Sep 24, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction OXSQ Common Stock Purchase $16.1K +3.95K +0.32% $4.07 1.26M Sep 21, 2021 Direct F1, F2
transaction OXSQ Common Stock Purchase $4.49K +1.12K +0.09% $4.03 1.25M Sep 20, 2021 Direct F1, F3
holding OXSQ Common Stock 877 Sep 20, 2021 See footnote F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

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 $4.02 to $4.10, 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 The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.00 to $4.07, 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.
F4 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 seven shares acquired under the Company's dividend reinvestment plan since the filing of Mr. Rosenthal's previous beneficial ownership report on Form 4 on August 23, 2021.