OXLC 8-K
Oxford Lane Capital Corp. (OXLC)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date
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Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbol(s) |
Name of each exchange on which registered | ||
| The Global Select Market | ||||
| The Global Select Market | ||||
| The Global Select Market | ||||
| The Global Select Market | ||||
| The | ||||
| The | ||||
| The |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
| Item 8.01. | Other Events. |
On May 29, 2024, Royce Family Investments, LLC purchased 250,000 shares of the Company’s common stock, par value $0.01 per share (the “Shares”). Charles M. Royce, managing member of Royce Family Investments, LLC, is a non-managing member of Oxford Lane Capital Corp.’s (the “Company”) investment adviser, Oxford Lane Management, LLC. As of the date hereof, Mr. Royce may be deemed to beneficially own 1,139,785 Shares, which includes 490,735 shares held by Royce Family Investments, LLC and 641,252 Shares held by Royce Family Fund, Inc. Mr. Royce disclaims beneficial ownership of any Shares held directly by Royce Family Fund, Inc.
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, Oxford Lane Capital Corp. has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| Oxford Lane Capital Corp. | ||
| Date: July 31, 2024 | By: | /s/ Bruce L. Rubin |
| Bruce L. Rubin | ||
| Chief Financial Officer, Corporate Secretary and Treasurer | ||
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