Form 4 for OXSQ Oxford Square Capital Corp.
Accepted 2021-12-23 00:00:00 ET · period of report 2021-12-21 · accession 0001213900-21-067226 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| M | 2021-12-23 | 2021-12-21+ | OXSQ | ROSENTHAL SAUL B | Pres, COO | P - Purchase | $3.91 | +18.2K | 1.31M | +1% | +$71.1K |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-12-21 | P | A | 10,337 | $3.87 | 1,298,680 | D | — | — | (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. (F3) The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $3.83 to $3.92, 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. |
| 2 | Common | Common Stock | 2021-12-22 | P | A | 7,835 | $3.97 | 1,306,515 | D | — | — | (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 $3.87 to $4.00, 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. |