SecurityOXLCN / Oxford Lane Capital Corp.
Total Insiders4
Total Directors3
Total Officers1

Stock Insider Trading (from SEC Form 4)

Oxford Lane Capital Corp. insider trades are listed in the following table, followed by a table containing the full transaction history. Insiders are officers, directors, or significant investors in a company. In general, it is generally illegal for insiders to make trades in their companies based on specific, non-public information. This does not mean it is illegal for them to make any trades in their own companies. However, they must report all trades to the SEC via a Form 4.

OXLCN / Oxford Lane Capital Corp. insiders include Ashenfelter Mark Jeffrey, Frantz Leroy Scott, ROSENTHAL SAUL B, and Shin David S..

Insider Roster

Insider Dir Off 10% Shares Owned
Shin David S. Director
X 2,000
Frantz Leroy Scott 10% Owner
X 650,384
ROSENTHAL SAUL B President, Director
X X 152,222
Ashenfelter Mark Jeffrey Director

Transaction History

Click the link icon to see the full transaction history. Transactions reported as part of a 10b-5 automatic trading plan will have an X in the column marked 10b-5.

Form Insider Code 10b-5 Direct Share
Post Value
2018-02-27 4 Shin David S. P D 10.1171 2,000 2,000 20,234
2017-08-07 4 Frantz Leroy Scott By Trust P I 25.2022 -11,750 650,384 16,391,108
2017-07-14 4 Frantz Leroy Scott J D 25.07 -200,000 638,634
2017-06-22 4 ROSENTHAL SAUL B P D 9.79 20,000 152,222 1,490,253
2017-06-14 4 Frantz Leroy Scott P D 25.00 200,000 838,634 20,965,850
2015-08-20 4 Ashenfelter Mark Jeffrey P D 12.5184 2,500 15,000 187,776
Open market or private purchase of non-derivative or derivative security
Open market or private sale of non-derivative or derivative security
Grant, award, or other acquisition of securities from the company (such as an option)
Conversion of derivative
Sale or transfer of securities back to the company
Payment of exercise price or tax liability using portion of securities received from the company
Gift of securities by or to the insider
Equity swaps and similar hedging transactions
Exercise or conversion of derivative security received from the company (such as an option)
A transaction voluntarily reported on Form 4
Other (accompanied by a footnote describing the transaction)

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