Saul B. Rosenthal - Jun 14, 2023 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: Jun 14, 2023
Transactions value $: $1,367,756
Form type: 4
Date filed: 7/6/2023, 03:21 PM
Previous filing: Apr 3, 2023
Next filing: Sep 24, 2024

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	OXSQ	Common Stock, par value $0.01 per share	Exercise of in-the-money or at-the-money derivative security	$1.37M	+514K	+33.33%	$2.66	2.06M	Jun 14, 2023	Direct
holding	OXSQ	Common Stock, par value $0.01 per share						1.1K	Jun 14, 2023	See Footnote	F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	OXSQ	Transferable Subscription Rights (right to buy)	Exercise of in-the-money or at-the-money derivative security	$0	-514K	-100%	$0.00^*	0	Jun 14, 2023	Common stock	514K	$2.66	Direct	F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal by virtue of his ownership interest therein.
F2	On May 10, 2023, Oxford Square Capital Corp. (the "Company") announced the commencement of a pro rata offering (the "Rights Offering") of transferable rights (the "Rights") to holders of the Company's common shares, as of the record date of May 23, 2023 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 16,633,723 of the Company's common shares. Record Date Shareholders received one Right for every three common shares held on the record date. The Rights entitle their holders to purchase one new common share for every one Right held. The subscription price per common share is $2.66. The subscription rights expired if they were not exercised by 5:00 p.m. Eastern time on June 14, 2023.

Content

Shares held by Oxford Funds, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal by virtue of his ownership interest therein.

On May 10, 2023, Oxford Square Capital Corp. (the "Company") announced the commencement of a pro rata offering (the "Rights Offering") of transferable rights (the "Rights") to holders of the Company's common shares, as of the record date of May 23, 2023 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 16,633,723 of the Company's common shares. Record Date Shareholders received one Right for every three common shares held on the record date. The Rights entitle their holders to purchase one new common share for every one Right held. The subscription price per common share is $2.66. The subscription rights expired if they were not exercised by 5:00 p.m. Eastern time on June 14, 2023.