87244TAB5

Oxford Square Capital Corp.

Could not find a ticker for this position, may be a filing error

A specialty finance company that lends money to small and mid-sized U.S. businesses and invests in collateralized loan obligations (CLOs), which bundle corporate loans into packaged investments. It began in 2003 under a different name, TICC Capital Corp., before rebranding as Oxford Square in 2018 to match the broader "Oxford" family of funds run by the same adviser, which also includes a sibling fund named Oxford Lane. Its Nasdaq ticker OXSQ echoes that rebranding.

CONVERTIBLEUnderlying: OXSQCUSIP: 87244TAB5FinancialsUS1 derivative reporter

7.5% Convertible Senior Unsecured Notes due 2017

Ownership Activity Financials Filings

Insiders

Ranked by how much each holding moved in all recorded history

Insider

Cohen Jonathan HChief Executive Officer, Director · 165 transactions

2.42M—

Granted 10.0K · Bought 1.65M

Rosenthal Saul BPresident and COO · 173 transactions

2.20M—

Bought 1.68M

Royce Charles MDirector · 38 transactions

2.12M—

as of Jun 2023

Bought 478.6K

Neu Richard WDirector · 5 transactions

70.0K—

as of Mar 2020

Bought 70.0K

Obrien G PeterDirector · 12 transactions

66.5K—

as of Dec 2014

Bought 11.0K

Conroy PatrickCFO, CCO and Secretary · 19 transactions

55.0K—

as of Dec 2011

Granted 1.0K · Bought 44.9K

Stelljes George IIIDirector · 10 transactions

34.0K—

as of Mar 2020

Bought 32.0K

Novak Steven PDirector · 20 transactions

30.0K—

as of Jul 2023

Bought 36.5K · Sold 19.0K

Rubin Bruce L.CFO, CS and Treasurer · 1 transaction

10.9K—

as of Jun 2023

Pankopf Tonia LDirector · 1 transaction

5.6K—

as of Jun 2008

Insider	Stake change	Holds now	Granted / vested	Bought	Sold
Cohen Jonathan HChief Executive Officer, Director · 165 transactions	—	2.42M	10.0K	1.65M	—
Rosenthal Saul BPresident and COO · 173 transactions	—	2.20M	—	1.68M	—
Royce Charles MDirector · 38 transactions	—	2.12Mas of Jun 2023	—	478.6K	—
Neu Richard WDirector · 5 transactions	—	70.0Kas of Mar 2020	—	70.0K	—
Obrien G PeterDirector · 12 transactions	—	66.5Kas of Dec 2014	—	11.0K	—
Conroy PatrickCFO, CCO and Secretary · 19 transactions	—	55.0Kas of Dec 2011	1.0K	44.9K	—
Stelljes George IIIDirector · 10 transactions	—	34.0Kas of Mar 2020	—	32.0K	—
Novak Steven PDirector · 20 transactions	—	30.0Kas of Jul 2023	—	36.5K	19.0K
Rubin Bruce L.CFO, CS and Treasurer · 1 transaction	—	10.9Kas of Jun 2023	—	—	—
Pankopf Tonia LDirector · 1 transaction	—	5.6Kas of Jun 2008	—	—	—

Select a row to see that insider’s individual transactions. Sum of the holdings confirmed in the 12 months before this insider's last filing. A Form 4 reports a holding per line — held directly, or through a named trust, partnership or foundation, and in each share class separately — never a person’s total. Lines not restated in that time are left out and shown apart: an active filer restates what they still hold, so a line they did not restate is more often an entity since renamed, whose shares a successor line reports too. An amber marker means some were left out.