| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | OXSQ | Common Stock | Purchase | $51.1K | +12.5K | +0.88% | $4.09 | 1.43M | Sep 23, 2021 | Direct | F1, F2 |
| transaction | OXSQ | Common Stock | Purchase | $2.86K | +700 | +0.05% | $4.08 | 1.42M | Sep 22, 2021 | Direct | F1, F3 |
| holding | OXSQ | Common Stock | 877 | Sep 22, 2021 | See footnote | F4 |
| Id | Content |
|---|---|
| F1 | The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and CCO 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 $4.06 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 $4.075 to $4.09, 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. Cohen by virtue of his ownership interest therein. |