Saul B. Rosenthal - Mar 9, 2022 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
Mar 9, 2022
Transactions value $
$58,759
Form type
4
Date filed
3/11/2022, 08:19 AM
Previous filing
Dec 23, 2021
Next filing
Mar 14, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction OXSQ Common Stock Purchase $22.9K +5.74K +0.44% $3.99 1.31M Mar 9, 2022 Direct F1, F2
transaction OXSQ Common Stock Purchase $35.8K +9.13K +0.7% $3.93 1.32M Mar 10, 2022 Direct F1, F3
holding OXSQ Common Stock 917 Mar 9, 2022 See footnote F4, F5
* 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 $3.96 to $4.03, 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 $3.90 to $3.96, 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.
F5 The number of shares includes shares acquired pursuant to the Oxford Square Capital Corp. dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11.