Statistiche di base
| LEI | 549300EGQH8WWU1U6Q06 |
| CIK | 1259429 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Oxford Square Capital Corp.
SEC Filings (Chronological Order)
Questa pagina fornisce un elenco completo e cronologico dei depositi SEC, esclusi i documenti di proprietà che forniamo altrove.
| August 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2025 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction (Commission File Number) |
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| August 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2025 Oxford Square Capital Corp. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commis |
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| August 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of regi |
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| August 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2025 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commiss |
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| August 7, 2025 |
As filed with the Securities and Exchange Commission on August 7, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2025 (August 7, 2025) OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of incorp |
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| August 7, 2025 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended June 30, 2025 and Declaration of Distributions on Common Stock for the Months Ending October 31, November 30, and December 31, 2025. GREENWICH, CT – 8/7/2025 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQZ) (NasdaqGS: OXSQG) (the “Company,” “we,” “us” or “our”) ann |
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| August 7, 2025 |
Exhibit 4.1 FOURTH SUPPLEMENTAL INDENTURE between OXFORD SQUARE CAPITAL CORP. and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of August 7, 2025 FOURTH SUPPLEMENTAL INDENTURE THIS FOURTH SUPPLEMENTAL INDENTURE (this “Fourth Supplemental Indenture”), dated as of August 7, 2025, is between Oxford Square Capital Corp., a Maryland corporation (the “Company”), and U.S. Bank Trust |
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| August 1, 2025 |
Oxford Square Capital Corp. 7.75% Notes Due 2030 Pricing Term Sheet July 31, 2025 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated July 31, 2025 Related to Preliminary Prospectus Supplement dated July 31, 2025 and Prospectus dated September 26, 2022 Registration No. |
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| August 1, 2025 |
Exhibit 1.1 $65,000,000 OXFORD SQUARE CAPITAL CORP. 7.75% Notes due 2030 UNDERWRITING AGREEMENT July 31, 2025 July 31, 2025 Lucid Capital Markets, LLC As Representative of the several Underwriters named in Schedule I attached hereto, c/o Lucid Capital Markets, LLC 570 Lexington Avenue, 40th Floor New York, New York 10022 Ladies and Gentlemen: Oxford Square Capital Corp., a corporation incorporated |
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| August 1, 2025 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31 2025 Oxford Square Capital Corp. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commissio |
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| August 1, 2025 |
$65,000,000 Oxford Square Capital Corp. 7.75% Notes due 2030 Filed pursuant to Rule 424(b)(2) Securities Act File No. 333-265533 PROSPECTUS SUPPLEMENT (to Prospectus dated September 26, 2022) $65,000,000 Oxford Square Capital Corp. 7.75% Notes due 2030 We operate as a closed-end management investment company and have elected to be regulated as a business development company, or “BDC,” under the Investment Company Act of 1940, as amended, or the “1940 Act.” |
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| July 31, 2025 |
Subject to Completion, dated July 31, 2025 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but the information in this preliminary prospectus supplement is not complete and may be changed. |
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| July 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| July 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| June 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 18, 2025 Oxford Square Capital Corp. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commissi |
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| May 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2025 Oxford Square Capital Corp. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commissio |
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| May 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of reg |
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| April 25, 2025 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended March 31, 2025 and Declaration of Distributions on Common Stock for the Months Ending July 31, August 31, and September 30, 2025. GREENWICH, CT – 4/25/2025 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQZ) (NasdaqGS: OXSQG) (the “Company,” “we,” “us” or “our”) annou |
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| April 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2025 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commiss |
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| March 5, 2025 |
1940 Act Code of Ethics and Insider Trading Policy* Exhibit 19.1 CODE OF ETHICS & INSIDER TRADING POLICY For Oxford Square Capital corp., Oxford Square Management, llc And Oxford Funds, llc Section I Statement of General Fiduciary Principles This Code of Ethics and Insider Trading Policy (the “Code”) has been adopted by each of Oxford Square Capital Corp. (the “Corporation”), Oxford Square Management, LLC (“Oxford Square Management”), and Oxford Fu |
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| March 5, 2025 |
Exhibit 4.5 DESCRIPTION OF SECURITIES As of December 31, 2024, Oxford Square Capital Corp. (“OXSQ,” the “Company,” “we,” “us” or “our”) had three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: (A) our common stock, $0.01 par value per share; and (B) our 6.25% Notes due 2026 and (C) our 5.50% Notes due 2028. In this exhibit, references to “OXSQ |
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| March 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ––––––––––––––––––––––––––––––– FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 ––––––––––––––––––––––––––– |
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| February 28, 2025 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended December 31, 2024 and Declaration of Distributions on Common Stock for the Months Ending April 30, May 31, and June 30, 2025 GREENWICH, CT – 2/28/2025 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQZ) (NasdaqGS: OXSQG) (the “Company,” “we,” “us” or “our”) announced |
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| February 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2025 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Comm |
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| November 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED September 30, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of |
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| November 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2024 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commi |
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| November 5, 2024 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended September 30, 2024 and Declaration of Distributions on Common Stock for the Months Ending January 31, February 28, and March 31, 2025. GREENWICH, CT – 11/5/2024 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQZ) (NasdaqGS: OXSQG) (the “Company,” “we,” “us” or “our”) |
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| August 26, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 23, 2024 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction (Commission File Number) |
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| August 16, 2024 |
Oxford Square Capital Corp. $150,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-265533 PROSPECTUS SUPPLEMENT (To Prospectus dated September 26, 2022, as supplemented by the Prospectus Supplement dated August 22, 2023) August 16, 2024 Oxford Square Capital Corp. $150,000,000 Common Stock This prospectus supplement contains information which amends, supplements and modifies certain information contained in the prospectus dated Septe |
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| August 16, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 16, 2024 OXFORD SQUARE CAPITAL CORP. (Exact name of Registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commis |
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| August 16, 2024 |
Exhibit 1.1 OXFORD SQUARE CAPITAL CORP. Common Stock, par value $0.01 per share AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT Dated August 16, 2024 Table of Contents Page SECTION 1. Description of Securities 1 SECTION 2. Placements 2 SECTION 3. Sale of Placement Securities by the Agents 3 SECTION 4. Suspension of Sales 3 SECTION 5. Representations and Warranties 4 SECTION 6. Representations a |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of regi |
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| August 13, 2024 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended June 30, 2024 and Declaration of Distributions on Common Stock for the Months Ending October 31, November 30, and December 31, 2024. GREENWICH, CT – 8/13/2024 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQZ) (NasdaqGS: OXSQG) (the “Company,” “we,” “us” or “our”) an |
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| August 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2024 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commis |
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| July 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| July 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| May 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED March 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of reg |
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| May 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2024 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commission |
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| May 2, 2024 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended March 31, 2024 and Declaration of Distributions on Common Stock for the Months Ending July 31, August 31, and September 30, 2024. GREENWICH, CT – 5/2/2024 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQZ) (NasdaqGS: OXSQG) (the “Company,” “we,” “us” or “our”) announ |
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| March 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as sp |
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| March 19, 2024 |
Oxford Square Capital Corp. Clawback Policy* Exhibit 97.1 OXFORD SQUARE CAPITAL CORP. CLAWBACK POLICY The Board of Directors (the “Board”) of Oxford Square Capital Corp. (the “Company”) has adopted this Clawback Policy (the “Policy”) to comply with Section 10D of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), Rule 10D-1 promulgated under the Exchange Act (“Rule 10D-1”) and Nasdaq Listing Rule 5608 (the “Listing Standar |
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| March 19, 2024 |
Description of registrant’s securities* Exhibit 4.8 DESCRIPTION OF SECURITIES As of December 31, 2023, Oxford Square Capital Corp. (“OXSQ,” the “Company,” “we,” “us” or “our”) had three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: (A) our common stock, $0.01 par value per share; and (B) our 6.25% Notes due 2026 and (C) our 5.50% Notes due 2028. In this exhibit, references to “OXSQ |
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| March 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2024 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commiss |
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| March 15, 2024 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended December 31, 2023 and Declaration of Distributions on Common Stock for the Months Ending April 30, May 31, and June 30, 2024. GREENWICH, CT – 3/15/2024 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQZ) (NasdaqGS: OXSQG) (the “Company,” “we,” “us” or “our”) announced |
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| November 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 21, 2023 Oxford Square Capital Corp. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Comm |
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| November 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2023 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commi |
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| November 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED September 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of |
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| November 8, 2023 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended September 30, 2023 and Declaration of Distributions on Common Stock for the Months Ending January 31, February 29, and March 31, 2024. GREENWICH, CT – 11/7/2023 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (NasdaqGS: OXSQG) (the “Company,” “we |
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| October 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 4, 2023 Oxford Square Capital Corp. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commis |
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| August 28, 2023 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 25, 2023 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction (Commission File Number) |
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| August 23, 2023 |
Exhibit 1.1 OXFORD SQUARE CAPITAL CORP. (a Maryland corporation) AMENDMENT NO. 1 TO EQUITY DISTRIBUTION AGREEMENT August 22, 2023 Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue 4th Floor New York, New York 10019 Ladies and Gentlemen: This Amendment No. 1, dated August 22, 2023 (the “Amendment”), is to the Equity Distribution Agreement, dated August 1, 2019 (the “Equity Distribution Agreement”), by |
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| August 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 22, 2023 OXFORD SQUARE CAPITAL CORP. (Exact name of Registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commis |
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| August 22, 2023 |
Oxford Square Capital Corp. Common Stock Filed Pursuant to Rule 424(b)(2) Securities Act File No. 333-265533 PROSPECTUS SUPPLEMENT (to Prospectus dated September 26, 2022) Oxford Square Capital Corp. $150,000,000 Common Stock We operate as a closed-end management investment company and have elected to be regulated as a business development company, or “BDC,” under the Investment Company Act of 1940, as amended, or the “1940 Act.” Our inv |
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| August 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 10, 2023 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commis |
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| August 15, 2023 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended June 30, 2023. Oxford Square Also Announces Declaration of Distributions on Common Stock for the Months Ending October 31, November 30, and December 31, 2023 and a Special Distribution of $0.12 Per Share Payable on September 29, 2023. GREENWICH, CT – 8/10/2023 –Oxford Square Capi |
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| August 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2023 Oxford Square Capital Corp. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commis |
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| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of regi |
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| July 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| July 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| June 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2023 Oxford Square Capital Corp. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commissi |
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| June 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 14, 2023 OXFORD SQUARE CAPITAL CORP. (Exact name of Registrant as Specified in Its Charter) Maryland 814-00638 20-0188736 (State or Other Jurisdiction of Incorporation) (Commissi |
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| May 31, 2023 |
Form of Subscription Rights Certificate. Exhibit 4.1 SUBSCRIPTION RIGHTS CERTIFICATE #: THIS OFFER EXPIRES AT 5:00 P.M., NEW YORK CITY TIME, ON JUNE 14, 2023* OXFORD SQUARE CAPITAL CORP. SUBSCRIPTION RIGHTS FOR COMMON STOCK REGISTERED OWNER: Each registered holder of this Subscription Rights Certificate (a “Rights Holder”) is entitled to the number of transferable subscription rights (each, a “Right”) to subscribe for the number of share |
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| May 31, 2023 |
Exhibit 1.1 OXFORD SQUARE CAPITAL CORP. Up to 16,633,723 Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares of Common Stock DEALER MANAGER AGREEMENT New York, New York May 24, 2023 Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue, 4th Floor New York, NY 10019 Ladies and Gentlemen: Oxford Square Capital Corp., a Maryland corporation (the “Company”), Oxfo |
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| May 31, 2023 |
Exhibit 99.1 Subscription Agent Agreement Between Oxford Square Capital Corp. And Computershare Trust Company, N.A. And Computershare Inc. T Subscription Agent Agreement 8822 Page 1 This SUBSCRIPTION AGENT AGREEMENT (this “Agreement”), dated as of May 24, 2023 (the “Effective Date”), is by and between Oxford Square Capital Corp., a Marlyand corporation ("Company"), and Computershare Trust Company, |
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| May 31, 2023 |
Exhibit 99.2 200 Broadacres Drive, 3rd Floor Bloomfield, NJ 07003 P: 973.873.7700 F: 973.338.1430 www.allianceadvisors.com MASTER SERVICES AGREEMENT This agreement (“Agreement”) is made and entered into as of this 5th day of May, 2023 by and between Oxford Square Capital Corp., with an address at 8 Sound Shore Dr., Suite 255, Greenwich, CT 06830 (the “Client”) and Alliance Advisors, LLC, with an a |
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| May 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 24, 2023 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commission |
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| May 24, 2023 |
Filed Pursuant to Rule 424(b)(2) File No. 333-265533 PROSPECTUS SUPPLEMENT (to Prospectus dated September 26, 2022) Oxford Square Capital Corp. Up to 16,633,723 Shares of Common Stock Issuable Upon Exercise of Rights to Subscribe for Such Shares We operate as a closed-end management investment company and have elected to be regulated as a business development company, or “BDC,” under the Investmen |
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| May 23, 2023 |
Form of Subscription Rights Certificate* Exhibit 4.1 SUBSCRIPTION RIGHTS CERTIFICATE #: THIS OFFER EXPIRES AT 5:00 P.M., NEW YORK CITY TIME, ON June 14, 2023* OXFORD SQUARE CAPITAL CORP. SUBSCRIPTION RIGHTS FOR COMMON STOCK REGISTERED OWNER: Each registered holder of this Subscription Rights Certificate (a “Rights Holder”) is entitled to the number of transferable subscription rights (each, a “Right”) to subscribe for the number of share |
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| May 23, 2023 |
As filed with the Securities and Exchange Commission on May 23, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2023 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 814-00638 20-0188736 (State or other jurisdiction of incorporation) (Commission |
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| May 4, 2023 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended March 31, 2023 and Declaration of Distributions on Common Stock for the Months Ending July 31, August 31, and September 30, 2023 GREENWICH, CT – 5/2/2023 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (NasdaqGS: OXSQG) (the “Company,” “we,” “us” |
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| May 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED March 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of reg |
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| March 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as sp |
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| March 23, 2023 |
Description of registrant’s securities* Exhibit 4.8 DESCRIPTION OF SECURITIES As of December 31, 2022, Oxford Square Capital Corp. (“OXSQ,” the “Company,” “we,” “us” or “our”) had four classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: (A) our common stock, $0.01 par value per share; (B) our 6.50% Notes due 2024 and (C) our 6.25% Notes due 2026 and (D) our 5.50% Notes due 2028. In this |
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| March 23, 2023 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended December 31, 2022 and Declaration of Distributions on Common Stock for the Months Ending April 30, May 31, and June 30, 2023 GREENWICH, CT – 3/21/2023 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (NasdaqGS: OXSQG) (the “Company,” “we,” “us” or |
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| March 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 21, 2023 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of incorporation) (Commiss |
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| November 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2022 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of incorporation) (Commi |
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| November 9, 2022 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended September 30, 2022 and Declaration of Distributions on Common Stock for the Months Ending January 31, February 28, and March 31, 2023 GREENWICH, CT ? 11/7/2022 ?Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (NasdaqGS: OXSQG) (the ?Company,? ?we, |
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| November 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED September 30, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of |
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| September 20, 2022 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| August 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 25, 2022 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (Commission File Number) |
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| July 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of regi |
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| July 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 26, 2022 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of incorporation) (Commissi |
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| July 28, 2022 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended June 30, 2022 and Declaration of Distributions on Common Stock for the Months Ending October 31, November 30, and December 31, 2022 GREENWICH, CT ? 7/26/2022 ?Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (NasdaqGS: OXSQG) (the ?Company,? ?we,? |
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| July 18, 2022 |
DEF 14A 1 s138982def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy |
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| July 18, 2022 |
DEFA14A 1 s139289defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy |
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| April 29, 2022 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended March 31, 2022 and Declaration of Distributions on Common Stock for the Months Ending July 31, August 31, and September 30, 2022 GREENWICH, CT ? 4/28/2022 ?Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (NasdaqGS: OXSQG) (the ?Company,? ?we,? ?us |
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| April 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2022 (April 28, 2022) OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of incorp |
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| April 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED March 31, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of reg |
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| March 8, 2022 |
8-K 1 s1355918k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 8, 2022 (March 3, 2022) OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other |
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| March 8, 2022 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended December 31, 2021 and Declaration of Distributions on Common Stock for the Months Ending April 30, May 31, and June 30, 2022 GREENWICH, CT ? 3/3/2022 ?Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (NasdaqGS: OXSQG) (the ?Company,? ?we,? ?us? or |
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| March 7, 2022 |
Exhibit 4.8 DESCRIPTION OF SECURITIES As of December 31, 2021, Oxford Square Capital Corp. (?OXSQ,? the ?Company,? ?we,? ?us? or ?our?) had four classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: (A) our common stock, $0.01 par value per share; (B) our 6.50% Notes due 2024 and (C) our 6.25% Notes due 2026 and (D) our 5.50% Notes due 2028. In this |
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| March 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as sp |
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| March 7, 2022 |
Exhibit 3.5 OXFORD SQUARE CAPITAL CORP. FOURTH AMENDED AND RESTATED BYLAWS March 1, 2022 ARTICLE I OFFICES Section 1. PRINCIPAL OFFICE. The principal office of the Corporation in the State of Maryland shall be located at such place as the Board of Directors may designate. Section 2. ADDITIONAL OFFICES. The Corporation may have additional offices, including a principal executive office, at such pla |
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| October 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q 10-Q 1 s13396610q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2021 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQU |
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| October 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2021 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of incorporation) (Commi |
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| October 27, 2021 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended September 30, 2021 and Declaration of Distributions of Common Stock for the Months Ending January 31, February 28, and March 31, 2022. GREENWICH, CT ? 10/26/2021 ?Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (Nasdaq: OXSQG) (the ?Company,? ?we, |
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| September 2, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 2, 2021 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (Commission File Number |
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| July 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of regi |
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| July 28, 2021 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended June 30, 2021 and Declaration of Distributions of Common Stock for the Months Ending October 31, November 30, and December 31, 2021. GREENWICH, CT ? 7/27/2021 ?Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (Nasdaq: OXSQG) (the ?Company,? ?we,? ? |
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| July 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2021 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of incorporation) (Commissi |
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| July 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of |
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| July 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confide |
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| July 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 12, 2021 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of incorporation) (Commissi |
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| May 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 20, 2021 (May 20, 2021) OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of incorporat |
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| May 20, 2021 |
As filed with the Securities and Exchange Commission on May 20, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 20, 2021 |
Exhibit 4.1 THIRD SUPPLEMENTAL INDENTURE between OXFORD SQUARE CAPITAL CORP. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of May 20, 2021 THIRD SUPPLEMENTAL INDENTURE THIS THIRD SUPPLEMENTAL INDENTURE (this ?Third Supplemental Indenture?), dated as of May 20, 2021, is between Oxford Square Capital Corp., a Maryland corporation (the ?Company?), and U.S. Bank National Association, as trus |
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| May 14, 2021 |
$70,000,000 Oxford Square Capital Corp. 5.50% Notes due 2028 Filed pursuant to Rule 424(b)(5) Securities Act File No. 333-229337 PROSPECTUS SUPPLEMENT (to Prospectus dated May 13, 2020) $70,000,000 Oxford Square Capital Corp. 5.50% Notes due 2028 Our investment objective is to maximize our portfolio?s total return. Our primary current focus is to seek an attractive risk-adjusted total return by investing primarily in corporate debt securities and collateral |
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| May 14, 2021 |
EX-1.1 2 s132063ex1-1.htm EXHIBIT 1.1 Exhibit 1.1 $70,000,000 OXFORD SQUARE CAPITAL CORP. 5.50% Notes due 2028 UNDERWRITING AGREEMENT May 13, 2021 May 13, 2021 Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters named in Schedule I attached hereto, c/o Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue 4th Floor New York, New York 10019 Ladies and Gentlemen: Oxford Square Capit |
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| May 14, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2021 (May 13, 2021) OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of incorporat |
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| May 14, 2021 |
Oxford Square Capital Corp. 5.50% Notes Due 2028 Pricing Term Sheet May 13, 2021 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated May 13, 2021 Relating to Preliminary Prospectus Supplement dated May 13, 2021 and Prospectus dated May 13, 2020 Registration No. |
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| May 13, 2021 |
Subject to Completion, dated May 13, 2021 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but the information in this preliminary prospectus supplement is not complete and may be changed. |
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| April 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) S QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED March 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of reg |
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| April 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2021 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of incorporation) (Commiss |
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| April 27, 2021 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended March 31, 2021 and Declaration of Distributions of Common Stock for the Months Ending July 31, August 31, and September 30, 2021. GREENWICH, CT ? 4/27/2021 ?Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (the ?Company,? ?we,? ?us? or ?our?) annou |
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| April 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 22, 2021 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of incorporation) (Commiss |
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| April 1, 2021 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended December 31, 2020 and Declaration of Distributions of Common Stock for the Months Ending April 30, May 31, and June 30, 2021. Oxford Square Capital Corp. also schedules fourth quarter earnings conference call for March 24, 2021. GREENWICH, CT – 3/22/2021 –Oxford Square Capital Co |
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| March 22, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K S ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL COR |
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| March 22, 2021 |
Description of registrant’s securities* Exhibit 4.8 DESCRIPTION OF SECURITIES As of December 31, 2020, Oxford Square Capital Corp. (?OXSQ,? the ?Company,? ?we,? ?us? or ?our?) had three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: (A) our common stock, $0.01 par value per share; (B) our 6.50% Notes due 2024 and (C) our 6.25% Notes due 2026. In this exhibit, references to ?OXSQ,? ? |
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| October 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) S QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2020 £ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of |
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| October 27, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 27, 2020 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of incorporation) (Commi |
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| October 27, 2020 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended September 30, 2020 and Declaration of Distributions of Common Stock for the Months Ending January 31, February 28, and March 31, 2021. GREENWICH, CT – 10/27/2020 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (the “Company,” “we,” “us” or “our”) |
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| September 14, 2020 |
Exhibit 99.1 Oxford Square Capital Corp. Declares Common Stock Distributions for the Months Ending October 31, November 30, and December 31, 2020 GREENWICH, CT – 9/14/2020 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (the “Company,” “we,” “us” or “our”) announced today that its Board of Directors has declared monthly common stock distributions of $0.035 per sha |
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| September 14, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 14, 2020 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (Commission File Numbe |
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| August 25, 2020 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 24, 2020 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (Commission File Number) |
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| July 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) S QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2020 £ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of regi |
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| July 28, 2020 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended June 30, 2020 GREENWICH, CT – 7/28/2020 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (the “Company,” “we,” “us” or “our”) announced today its financial results and related information for the quarter ended June 30, 2020. · As previously announ |
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| July 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 28, 2020 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (Commission File Number) (I |
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| July 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant S Filed by a Party other than the Registrant £ Check the appropriate box: £ Preliminary Proxy Statement £ Confidential, for Use of |
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| July 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| June 2, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 s1255358k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 2, 2020 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction |
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| June 2, 2020 |
Exhibit 99.1 Oxford Square Capital Corp. Declares Common Stock Distributions for the Months Ending July 31, August 31, and September 30, 2020 GREENWICH, CT – 6/2/2020 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (the “Company,” “we,” “us” or “our”) announced today that its Board of Directors has declared monthly common stock distributions of $0.035 per share fo |
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| May 8, 2020 |
Code of Ethics and Insider Trading Policy(1) Exhibit r. CODE OF ETHICS & INSIDER TRADING POLICY For Oxford Square Capital corp., Oxford Square Management, llc And Oxford Funds, llc Section I Statement of General Fiduciary Principles This Code of Ethics and Insider Trading Policy (the “Code”) has been adopted by each of Oxford Square Capital Corp. (the “Corporation”), Oxford Square Management, LLC (“Oxford Square Management”), and Oxford Fund |
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| May 8, 2020 |
Statement of Eligibility of Trustee on Form T-1(1) Exhibit d.3 securities and exchange commission Washington, D.C. 20549 FORM T-1 Statement of Eligibility Under The Trust Indenture Act of 1939 of a Corporation Designated to Act as Trustee Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) U.S. BANK NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 31-0841368 I.R.S. Employer Identifica |
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| May 8, 2020 |
Consent of Independent Registered Public Accounting Firm(1) Exhibit n.6 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of Oxford Square Capital Corp. of our report dated February 26, 2020 relating to the financial statements, financial statement schedule and the effectiveness of internal control over financial reporting, which appears in Oxford Square C |
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| May 8, 2020 |
As filed with the Securities and Exchange Commission on May 8, 2020 Securities Act File No. |
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| May 8, 2020 |
CORRESP 1 filename1.htm Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.383.0176 F: +1 202.637.3593 stevenboehm@ eversheds-sutherland.com May 8, 2020 VIA EDGAR Raymond Be, Esq. Megan Miller United States Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Oxford Square Capital Corp. Post-Effective Amendment No. 4 to Regis |
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| April 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) S QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2020 £ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of reg |
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| April 28, 2020 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended March 31, 2020 GREENWICH, CT – 4/28/2020 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (the “Company,” “we,” “us” or “our”) announced today its financial results and related information for the quarter ended March 31, 2020. ● As previously anno |
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| April 28, 2020 |
8-K 1 s1247838k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2020 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (C |
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| March 25, 2020 |
Termination of a Material Definitive Agreement 8-K 1 s1240768k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 24, 2020 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (C |
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| March 3, 2020 |
OXSQ / Oxford Square Capital Corp. POS 8C - - POS 8C As filed with the Securities and Exchange Commission on March 3, 2020 Securities Act File No. |
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| March 3, 2020 |
March 3, 2020 VIA EDGAR Raymond Be, Esq. Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Oxford Square Capital Corp. Post-Effective Amendment No. 4 to the Registration Statement on Form N-2 (File No. 333-229337) filed on March 3, 2020 Dear Mr. Be: On behalf of Oxford Square Capital Corp. (the “Company”), we here |
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| February 28, 2020 |
Report of Independent Registered Public Accounting Firm on Senior Securities(1) EX-99.N.5 3 s123401ex99-n5.htm EXHIBIT N.5 Exhibit n.5 Report of Independent Registered Public Accounting Firm To the Board of Directors and Shareholders of Oxford Square Capital Corp. We have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States), the consolidated statements of assets and liabilities, including the consolidated schedules of inve |
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| February 28, 2020 |
Consent of Independent Registered Public Accounting Firm(1) Exhibit n.4 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-2 of Oxford Square Capital Corp. of our report dated February 26, 2020 relating to the financial statements and financial statement schedule and the effectiveness of internal control over financial reporting of Oxford Square Capital Corp. and our report dated F |
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| February 28, 2020 |
OXSQ / Oxford Square Capital Corp. POS EX - - POS EX POS EX 1 s123401posex.htm POS EX As filed with the Securities and Exchange Commission on February 28, 2020 Securities Act File No. 333-229337 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ☒ (Check appropriate box or boxes) Pre-Effective Amendment No. ☐ Post-Effective Amendment No. 3 ☒ OXFORD SQUARE CAPITAL CORP. (Exa |
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| February 26, 2020 |
8-K 1 s1234058k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 26, 2020 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction |
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| February 26, 2020 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended December 31, 2019 and Declaration of Distributions of Common stock for the Months Ending April 30, May 31, and June 30, 2020 GREENWICH, CT – 2/26/2020 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (“OXSQ,” the “Company,” “we,” “us” or “our”) an |
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| February 26, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K S ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2019 OR £ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL COR |
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| February 26, 2020 |
Exhibit 4.8 DESCRIPTION OF SECURITIES As of December 31, 2019, Oxford Square Capital Corp. (“OXSQ,” the “Company,” “we,” “us” or “our”) had three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: (A) our common stock, $0.01 par value per share; (B) our 6.50% Notes due 2024 and (C) our 6.25% Notes due 2026. In this exhibit, references to “OXSQ,” “ |
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| November 1, 2019 |
OXSQ / Oxford Square Capital Corp. 10-Q/A - Quarterly Report - 10-Q/A 10-Q/A 1 s12114010q.htm 10-Q/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q/A (Amendment No. 1) (Mark One) S QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2019 £ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 8 |
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| October 30, 2019 |
OXSQ / Oxford Square Capital Corp. 10-Q - Quarterly Report - FORM 10-Q 10-Q 1 s12085610q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) S QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2019 £ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQU |
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| October 30, 2019 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2019 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (Commission File Number) |
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| October 30, 2019 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended September 30, 2019 Declares Common Stock Distributions for the Months Ending January 31, February 29, and March 31, 2020 GREENWICH, CT – 10/30/2019 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (“OXSQ,” the “Company,” “we,” “us” or “our”) annou |
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| August 1, 2019 |
Consent of Independent Registered Public Accounting Firm(23) EX-99.N.4 4 posex2019a2exn-4oxford.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM(1) Exhibit n.4 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-2 of Oxford Square Capital Corp. of our report dated February 28, 2019 relating to the consolidated financial statements and financial statement schedule and the |
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| August 1, 2019 |
Opinion and Consent of Eversheds Sutherland (US) LLP(23) Exhibit l.3 August 1, 2019 Oxford Square Capital Corp. 8 Sound Shore Drive, Suite 255 Greenwich, Connecticut 06830 Ladies and Gentlemen: We have acted as counsel to Oxford Square Capital Corp., a Maryland corporation (the “Company”), in connection with the preparation and filing by the Company with the Securities and Exchange Commission (the “Commission”) of a registration statement on Form N-2 (F |
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| August 1, 2019 |
POS EX 1 posex2019a2oxfordsquare.htm POST-EFFECTIVE AMENDMENT NO. 2 TO REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on August 1, 2019 Securities Act File No. 333-229337 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 S (Check appropriate box or boxes) Pre-Effective Amendment No. ¨ Post-Ef |
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| August 1, 2019 |
EX-99.H.3 2 posex2019a2exh-3oxford.htm EQUITY DISTRIBUTION AGREEMENT, DATED AUGUST 1, 2019, BY AND AMONG OXFORD SQUARE CAPITAL CORP., OXFORD SQUARE MANAGEMENT, LLC, OXFORD FUNDS, LLC, AND LADENBURG THALMANN & CO. INC. Exhibit h.3 OXFORD SQUARE CAPITAL CORP. Common Stock, par value $0.01 per share EQUITY DISTRIBUTION AGREEMENT Dated August 1, 2019 Table of Contents Page SECTION 1. Description of Se |
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| July 31, 2019 |
OXSQ / Oxford Square Capital Corp. 10-Q - Quarterly Report - FORM 10-Q 10-Q 1 f10q0619oxfordsquarecap.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) S QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2019 £ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OX |
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| July 30, 2019 |
8-K 1 f8k072619oxfordsquare.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 26, 2019 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or |
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| July 30, 2019 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended June 30, 2019 Declares Common Stock Distributions for the Months Ending October 31, November 30, and December 31, 2019 GREENWICH, CT – 07/30/2019 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (“OXSQ,” the “Company,” “we,” “us” or “our”) announc |
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| June 11, 2019 |
OXSQ / Oxford Square Capital Corp. DEFA14A - - DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of |
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| June 11, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant S Filed by a Party other than the Registrant £ Check the appropriate box: £ Preliminary Proxy Statement £ Confidential, for Use of |
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| May 1, 2019 |
OXSQ / Oxford Square Capital Corp. 10-Q Quarterly Report FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2019 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00638 OXFORD SQUARE CAPITAL CORP. (Exact name of reg |
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| April 30, 2019 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended March 31, 2019 Declares Common Stock Distributions for the Months Ending July 31, August 31, and September 30, 2019 GREENWICH, CT – 04/30/2019 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (NasdaqGS: OXSQZ) (“OXSQ,” the “Company,” “we,” “us” or “our”) announced |
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| April 30, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 s1178088k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2019 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (C |
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| April 3, 2019 |
OXSQ / Oxford Square Capital Corp. 8-A12B As filed with the Securities and Exchange Commission on April 3, 2019 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 3, 2019 |
As filed with the Securities and Exchange Commission on April 3, 2019 Securities Act File No. |
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| April 3, 2019 |
EX-99.D.6 2 s116944exd6.htm EXHIBIT D.6 Exhibit d.6 SECOND SUPPLEMENTAL INDENTURE between OXFORD SQUARE CAPITAL CORP. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of April 3, 2019 SECOND SUPPLEMENTAL INDENTURE THIS SECOND SUPPLEMENTAL INDENTURE (this “Second Supplemental Indenture”), dated as of April 3, 2019, is between Oxford Square Capital Corp., a Maryland corporation (the “Company” |
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| April 3, 2019 |
Exhibit h.2 $42,500,000 OXFORD SQUARE CAPITAL CORP. 6.25% Notes due 2026 UNDERWRITING AGREEMENT March 27, 2019 March 27, 2019 Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters named in Schedule I attached hereto, c/o Ladenburg Thalmann & Co. Inc. 277 Park Avenue, 26th Floor New York, New York 10172 Ladies and Gentlemen: Oxford Square Capital Corp., a corporation incorpora |
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| April 3, 2019 |
Opinion and Consent of Eversheds Sutherland (US) LLP(22) Exhibit l.2 April 3, 2019 Oxford Square Capital Corp. 8 Sound Shore Drive, Suite 255 Greenwich, Connecticut 06830 Ladies and Gentlemen: We have acted as counsel to Oxford Square Capital Corp., a Maryland corporation (the “Company”), in connection with the preparation and filing by the Company with the Securities and Exchange Commission of a registration statement on Form N-2, which was (i) initial |
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| April 3, 2019 |
Consent of Egan-Jones Ratings Company(22) EX-99.N.3 5 s116944exn3.htm EXHIBIT N.3 Exhibit (n)(3) CONSENT OF CREDIT RATINGS AGENCY The undersigned hereby consents to the filing of this consent as an exhibit to the Registration Statement on Form N-2 (File Nos. 333-229337) (the “Registration Statement”) filed by Oxford Square Capital Corp. (the “Company”) with respect to the Company's offering of unsecured notes due 2026 (the “Notes”) as des |
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| March 21, 2019 |
OXSQ / Oxford Square Capital Corp. CORRESP OXFORD SQUARE CAPITAL CORP. 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830 (203) 983-5275 March 21, 2019 U.S. Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, DC 20549 Attn: Mr. Raymond Be, Esq. Re: Oxford Square Capital Corp. Registration Statement on Form N-2 (File No. 333-229337) Dear Mr. Be: In accordance with Rule 461 of the General Rules |
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| March 21, 2019 |
OXSQ / Oxford Square Capital Corp. CORRESP Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202. |
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| March 7, 2019 |
OXSQ / Oxford Square Capital Corp. CORRESP CORRESP 1 filename1.htm Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.383.0176 F: +1 202.637.3593 stevenboehm@ eversheds-sutherland.com March 7, 2019 VIA EDGAR Raymond Be, Esq. United States Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Oxford Square Capital Corp. Registration Statement on Form N-2, Filed January |
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| February 28, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 s1163998k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2019 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdi |
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| February 28, 2019 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Net Asset Value and Selected Financial Results for the Quarter Ended December 31, 2018 Declares Common Stock Distributions for the Quarter Ending March 31, 2019 and Moves to Monthly Distributions for the Months Ending April 30, May 31, and June 30, 2019 GREENWICH, CT – 02/28/2019 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (“OX |
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| February 28, 2019 |
10-K 1 s11619910k.htm FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 814 |
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| February 14, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Oxford Square Capital Corporation (Name of Issuer) Preferred (Title of Class of Securities) 69181V206 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
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| January 23, 2019 |
OXSQ / Oxford Square Capital Corp. CORRESP [Letterhead of Eversheds Sutherland (US) LLP] January 23, 2019 VIA EDGAR Dominic Minore, Esq. |
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| October 31, 2018 |
OXSQ / Oxford Square Capital Corp. 10-Q (Quarterly Report) 10-Q 1 s11350210q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2018 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 0-50398 OXFORD SQUARE CAP |
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| October 30, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 s1135528k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2018 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction |
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| October 30, 2018 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Results of Operations for the Quarter Ended September 30, 2018 and Announces Quarterly Distribution of $0.20 per Share GREENWICH, CT – 10/30/2018 –Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (“OXSQ,” the “Company,” “we,” “us” or “our”) announced today its financial results for the quarter ended September 30, 2018 and announced a |
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| October 12, 2018 |
Exhibit 10.1 EXECUTION VERSION FIRST AMENDMENT TO CREDIT AND SECURITY AGREEMENT This FIRST AMENDMENT TO CREDIT AND SECURITY AGREEMENT, dated as of October 12, 2018 (this “Amendment”), by and among OXFORD SQUARE FUNDING 2018, LLC, a Delaware limited liability company, as borrower (the “Borrower”), OXFORD SQUARE CAPITAL CORP., a Maryland corporation, as the sole equityholder of the Borrower (in such |
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| October 12, 2018 |
Exhibit 10.2 EXECUTION VERSION SALE, CONTRIBUTION AND MASTER PARTICIPATION AGREEMENT by and between OXFORD SQUARE FUNDING 2018, LLC, as the Buyer and OXFORD SQUARE CAPITAL CORP., as the Seller October 12, 2018 TABLE OF CONTENTS Page ARTICLE I GENERAL 1 Section 1.1 Defined Terms 1 Section 1.2 Other Terms 3 Section 1.3 Computation of Time Periods 3 Section 1.4 Interpretation 3 ARTICLE II SALE, TRANS |
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| October 12, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 12, 2018 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (Commission File Number) |
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| August 1, 2018 |
OXSQ / Oxford Square Capital Corp. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2018 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 0-50398 OXFORD SQUARE CAPITAL CORP. (Exact name of regist |
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| July 31, 2018 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Results of Operations for the Quarter Ended June 30, 2018 and Announces Quarterly Distribution of $0.20 per Share GREENWICH, CT – 07/31/2018 – Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS:OXSQL) (“OXSQ,” the “Company,” “we,” “us” or “our”) announced today its financial results for the quarter ended June 30, 2018, and announced a distribu |
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| July 31, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 s1116978k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2018 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or Other Jurisdiction (Co |
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| July 30, 2018 |
Submission of Matters to a Vote of Security Holders 8-K 1 s1116188k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2018 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of |
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| June 26, 2018 |
OXSQ / Oxford Square Capital Corp. DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of |
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| June 22, 2018 |
OXSQ Announces New Credit Facility Exhibit 99.1 OXSQ Announces New Credit Facility GREENWICH, CT – 6/21/2018 – Oxford Square Capital Corp. (NasdaqGS: OXSQ) (NasdaqGS: OXSQL) (the “Company,” “we,” “us,” or “our”) announced today that on June 21, 2018, Oxford Square Funding 2018, LLC (“OXSQ Funding”), a special purpose vehicle that is a wholly-owned subsidiary of the Company, entered into a credit facility (the “Facility”) with Citib |
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| June 22, 2018 |
EX-10.1 2 s110955ex10-1.htm EXHIBIT 10.1 Exhibit 10.1 EXECUTION VERSION CREDIT AND SECURITY AGREEMENT among OXFORD SQUARE FUNDING 2018, LLC, as Borrower, THE LENDERS FROM TIME TO TIME PARTIES HERETO, CITIBANK, N.A., as Administrative Agent, OXFORD SQUARE CAPITAL CORP., as Equityholder, THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION, as Collateral Agent and as Custodian and OXFORD |
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| June 22, 2018 |
EX-10.2 3 s110955ex10-2.htm EXHIBIT 10.2 Exhibit 10.2 Execution Version SALE, CONTRIBUTION AND MASTER PARTICIPATION AGREEMENT by and between OXFORD SQUARE FUNDING 2018, LLC, as the Buyer and OXFORD SQUARE CAPITAL CORP., as the Seller June 21, 2018 TABLE OF CONTENTS Page Article I GENERAL 1 Section 1.1 Defined Terms. 1 Section 1.2 Other Terms. 3 Section 1.3 Computation of Time Periods. 3 Section 1. |
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| June 22, 2018 |
EX-10.3 4 s110955ex10-3.htm EXHIBIT 10.3 Exhibit 10.3 EXECUTION VERSION COLLATERAL ADMINISTRATION AGREEMENT This COLLATERAL ADMINISTRATION AGREEMENT, dated as of June 21, 2018 (this “Agreement”), is entered into by and among OXford square funding 2018, LLC, a limited liability company formed under the laws of the State of Delaware (the “Borrower”), OXFORD SQUARE CAPITAL CORP., a Maryland corporati |
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| June 22, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2018 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (Commission File Number) (I |
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| May 2, 2018 |
OXSQ / Oxford Square Capital Corp. 10-Q (Quarterly Report) 10-Q 1 s10935710q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2018 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 0-50398 OXFORD SQUARE CAPITAL |
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| May 1, 2018 |
Exhibit 99.1 Oxford Square Capital Corp. Announces Results of Operations for the Quarter Ended March 31, 2018 and Announces Quarterly Distribution of $0.20 per Share GREENWICH, CT – 05/01/2018 – Oxford Square Capital Corp. (NasdaqGS: OXSQ) (“OXSQ,” the “Company,” “we,” “us” or “our”) announced today its financial results for the quarter ended March 31, 2018, and announced a distribution of $0.20 p |
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| May 1, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 s1098658k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2018 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (Comm |
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| April 11, 2018 |
SC 13G 1 sc13g041118.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Oxford Square Capital Corporation (Name of Issuer) Preferred (Title of Class of Securities) 69181V206 (CUSIP Number) March 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to |
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| April 6, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 6, 2018 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of incorporation) (Commissi |
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| March 20, 2018 |
Exhibit 3.1 TICC Capital corp. Articles of Amendment TICC Capital Corp., a Maryland corporation (the “Corporation”), having its principal office in the State of Maryland, hereby certifies to the State Department of Assessments and Taxation of Maryland that: FIRST: The Corporation desires to, and does hereby, amend its Articles of Incorporation, dated July 21, 2003, as amended by the Articles of Am |
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| March 20, 2018 |
TICC Capital Corp. Changes Name to Oxford Square Capital Corp. Exhibit 99.1 TICC Capital Corp. Changes Name to Oxford Square Capital Corp. NASDAQ ticker symbol to change to OXSQ for Common Stock and OXSQL for Notes Greenwich, CT – 3/20/2018 – TICC Capital Corp. (the “Company”) (NASDAQ: TICC) announced today that it has changed its name to Oxford Square Capital Corp. The company remains a closed-end, non-diversified management investment company that has elect |
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| March 20, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2018 OXFORD SQUARE CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (Commission File Number) ( |
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| March 20, 2018 |
Exhibit 3.2 OXFORD STREET Capital corp. Articles of Amendment Oxford Street Capital Corp., a Maryland corporation (the “Corporation”), having its principal office in the State of Maryland, hereby certifies to the State Department of Assessments and Taxation of Maryland that: FIRST: The Corporation desires to, and does hereby, amend its Articles of Incorporation, dated July 21, 2003, as amended by |
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| March 9, 2018 |
TICC / TICC Capital Corp. 10-K/A (Annual Report) 10-K/A 1 s10928410ka.htm 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2017 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM T |
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| March 6, 2018 |
TICC / TICC Capital Corp. / COHEN JONATHAN H - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* TICC Capital Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 87244T109 (CUSIP Number) Jonathan H. Cohen Chief Executive Officer TICC Capital Corp. 8 Sound Shore Drive, Suite 255 Greenwich, Connecticut 06830 ( |
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| March 1, 2018 |
TICC / TICC Capital Corp. 10-K (Annual Report) 10-K 1 s10831210k.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2017 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FIL |
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| February 27, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2018 TICC CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (Commission File Number) (I.R.S. |
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| February 27, 2018 |
Exhibit 99.1 TICC Announces Results of Operations for the Quarter Ended December 31, 2017 and Announces Quarterly Distribution of $0.20 per Share GREENWICH, CT ? 02/27/2018 ? TICC Capital Corp. (NasdaqGS: TICC) (?TICC,? the ?Company,? ?we,? ?us? or ?our?) announced today its financial results for the quarter ended December 31, 2017, and announced a distribution of $0.20 per share for the quarter e |
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| February 14, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2 (Amendment No. 1)* TICC Capital Corp. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 87244T109 (CUSIP Number) December 31, 2017 |
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| February 6, 2018 |
TICC Capital Corp. Adopts Stock Repurchase Program Exhibit 99.1 TICC Capital Corp. Adopts Stock Repurchase Program GREENWICH, CT – 02/06/2018 – TICC Capital Corp. (NasdaqGS: TICC) (“TICC,” the “Company,” “we,” “us” or “our”) announced today that the Company’s board of directors has authorized a program for the purpose of repurchasing up to $25 million worth of its common stock. Under the repurchase program, the Company may, but is not obligated to |
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| February 6, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 6, 2018 TICC CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (Commission File Number) (I.R.S. |
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| February 1, 2018 |
TICC Announces Selected Preliminary Estimated Results for Q4 2017 Exhibit 99.1 TICC Announces Selected Preliminary Estimated Results for Q4 2017 GREENWICH, CT ? 02/01/2018 ? TICC Capital Corp. (NasdaqGS: TICC) (?TICC,? the ?Company,? ?we,? ?us? or ?our?) announced certain preliminary estimates of its financial condition and results of operations for the three months ended December 31, 2017. These preliminary financial estimates are subject to change upon complet |
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| February 1, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 1, 2018 TICC CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of incorporation) (Commission Fil |
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| December 4, 2017 |
TICC Capital Corp. Receives “A-” Rating from Egan-Jones Ratings Company, Inc. Exhibit 99.1 TICC Capital Corp. Receives ?A-? Rating from Egan-Jones Ratings Company, Inc. GREENWICH, CT ? 12/4/2017 ? TICC Capital Corp. (NasdaqGS: TICC) (?TICC,? the ?Company,? ?we,? ?us? or ?our?) announced today that Egan-Jones Ratings Company, Inc. (?Egan-Jones?) has assigned a rating of ?A-? to the Company, and a rating of ?A-? to TICC?s 6.50% Notes due 2024, which trade under the ticker TIC |
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| December 4, 2017 |
Financial Statements and Exhibits, Other Events 8-K 1 s1083188k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 4, 2017 TICC CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (Com |
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| November 17, 2017 |
OXSQ / Oxford Square Capital Corp. CORRESP November 17, 2017 Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202. |
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| November 17, 2017 |
OXSQ / Oxford Square Capital Corp. CORRESP CORRESP 1 filename1.htm TICC CAPITAL CORP. 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830 (203) 983-5275 November 17, 2017 U.S. Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, DC 20549 Attn: Mr. Dominic Minore, Esq. Re: TICC Capital Corp. Registration Statement on Form N-2 (File No. 333-202672) Dear Mr. Minore: In accordance with Rule 461 of t |
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| November 14, 2017 |
OXSQ / Oxford Square Capital Corp. CORRESP CORRESP 1 filename1.htm Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.383.0176 F: +1 202.637.3593 harrypangas@ eversheds-sutherland.com November 14, 2017 VIA EDGAR Dominic Minore, Esq. Megan Miller United States Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: TICC Capital Corp. Post-Effective Amendment No. 2 to the |
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| November 14, 2017 |
As filed with the Securities and Exchange Commission on November 14, 2017 As filed with the Securities and Exchange Commission on November 14, 2017 Securities Act File No. |
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| November 14, 2017 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.N.7 2 s108005exn7.htm EXHIBIT N.7 Exhibit n.7 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-2 of TICC Capital Corp. of our report dated March 3, 2017, relating to the consolidated financial statements, financial statement schedule and the effectiveness of internal control over financial reporting of TICC Capital |
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| November 2, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 s1079728k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2017 TICC CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (Commissi |
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| November 2, 2017 |
Exhibit 99.1 TICC Announces Results of Operations for the Quarter Ended September 30, 2017 and Announces Quarterly Distribution of $0.20 per Share GREENWICH, CT ? 11/02/2017 ? TICC Capital Corp. (NasdaqGS: TICC) (?TICC,? the ?Company,? ?we,? ?us? or ?our?) announced today its financial results for the quarter ended September 30, 2017, and announced a distribution of $0.20 per share for the fourth |
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| November 2, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2017 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 0-50398 TICC CAPITAL CORP. (Exact name of registrant |
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| September 15, 2017 |
OXSQ / Oxford Square Capital Corp. CORRESP [Letterhead of Eversheds Sutherland (US) LLP] September 15, 2017 VIA EDGAR Dominic Minore, Esq. |
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| September 15, 2017 |
As filed with the Securities and Exchange Commission on September 15, 2017 Securities Act File No. |
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| September 15, 2017 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.N.7 2 v474887exn7.htm EXHIBIT N.7 Exhibit n.7 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-2 of TICC Capital Corp. of our report dated March 3, 2017, relating to the consolidated financial statements, financial statement schedule and the effectiveness of internal control over financial reporting of TICC Capital |
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| August 8, 2017 |
TICC Announces Results of Operations for the Quarter Ended June 30, 2017 Exhibit 99.1 TICC Announces Results of Operations for the Quarter Ended June 30, 2017 GREENWICH, CT ? 08/08/2017 ? TICC Capital Corp. (NasdaqGS: TICC) (?TICC,? the ?Company,? ?we,? ?us? or ?our?) announced today its financial results for the quarter ended June 30, 2017. ? As of June 30, 2017, net asset value per share was $7.51 compared with the net asset value per share as of March 31, 2017 of $7 |
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| August 8, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 v4725928k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2017 TICC CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (Commission |
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| August 8, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2017 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 0-50398 TICC CAPITAL CORP. (Exact name of registrant as s |
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| July 7, 2017 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 7, 2017 (July 6, 2017) TICC CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction (Commission File Numbe |
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| June 15, 2017 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2017 (June 14, 2017) TICC CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of incorporation) (C |
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| June 15, 2017 |
TICC Capital Corp. Announces Receipt of Co-Investment Exemptive Relief Exhibit 99.1 TICC Capital Corp. Announces Receipt of Co-Investment Exemptive Relief GREENWICH, CT ? June 15, 2017 ? TICC Capital Corp. (NASDAQ: TICC) (?TICC? or the ?Company?) announced today that on June 14, 2017, the Securities and Exchange Commission issued an order permitting TICC and certain of its affiliates, including Oxford Lane Capital Corp. (NASDAQ: OXLC) and Oxford Bridge, LLC, (collect |
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| June 12, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of |
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| May 26, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of |
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| May 26, 2017 |
8-K 1 v4679178k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 26, 2017 (May 25, 2017) TICC CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdictio |
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| May 10, 2017 |
OXSQ / Oxford Square Capital Corp. / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13 G Under the Securities Exchange Act of 1934 TICC Capital Corp (TICC) (Name of Issuer) Senior Note (Title of Class of Securities) 87244t307 (CUSIP Number) April 30, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |
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| May 10, 2017 |
OXSQ / Oxford Square Capital Corp. / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13 G Under the Securities Exchange Act of 1934 TICC Capital Corp (TICC) (Name of Issuer) Senior Note (Title of Class of Securities) 87244t307 (CUSIP Number) April 30, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |
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| May 8, 2017 |
TICC Capital 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2017 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 0-50398 TICC CAPITAL CORP. (Exact name of registrant as |
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| May 8, 2017 |
TICC Announces Results of Operations for the Quarter Ended March 31, 2017 EX-99.1 2 v466271ex99-1.htm PRESS RELEASE DATED MAY 8, 2017 EXHIBIT 99.1 TICC Announces Results of Operations for the Quarter Ended March 31, 2017 GREENWICH, CT – 05/08/2017 – TICC Capital Corp. (NasdaqGS: TICC) (“TICC,” the “Company,” “we,” “us” or “our”) announced today its financial results for the quarter ended March 31, 2017. · As of March 31, 2017, net asset value per share was $7.53 compare |
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| May 8, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 v4662718-k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2017 TICC CAPITAL CORP. (Exact name of registrant as specified in its charter) Maryland 000-50398 20-0188736 (State or other jurisdiction of incorporat |
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| April 12, 2017 |
8-A12B 1 v4637478a12b.htm 8-A12B As filed with the Securities and Exchange Commission on April 12, 2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 TICC Capital Corp. (Exact name of registrant as specified in its charter) Maryland 20-01887 |
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| April 12, 2017 |
Report of Independent Registered Public Accounting Firm Exhibit n.6 Report of Independent Registered Public Accounting Firm To the Board of Directors of TICC Capital Corp.: We have audited the consolidated financial statements of TICC Capital Corp. (?the Company?) as of December 31, 2016 and December 31, 2015 and for each of the three years in the period ended December 31, 2016 and the effectiveness of the Company?s internal control over financial repo |
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| April 12, 2017 |
TICC CAPITAL CORP. 6.50% Notes due 2024 UNDERWRITING AGREEMENT Exhibit h.2 $57,500,000 TICC CAPITAL CORP. 6.50% Notes due 2024 UNDERWRITING AGREEMENT April 4, 2017 April 4, 2017 Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters named in Schedule I attached hereto, c/o Ladenburg Thalmann & Co. Inc. 277 Park Avenue, 26th Floor New York, New York 10172 Ladies and Gentlemen: TICC Capital Corp., a corporation incorporated under the laws o |
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| April 12, 2017 |
Exhibit l.2 April 12, 2017 TICC Capital Corp. 8 Sound Shore Drive, Suite 255 Greenwich, Connecticut 06830 Ladies and Gentlemen: We have acted as counsel to TICC Capital Corp., a Maryland corporation (the ?Company?), in connection with the preparation and filing by the Company with the Securities and Exchange Commission of a registration statement on Form N-2, which was (i) initially filed with the |
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| April 12, 2017 |
As filed with the Securities and Exchange Commission on April 12, 2017 Securities Act File No. |
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| April 12, 2017 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.N.5 5 v463578ex99n5.htm EXHIBIT N.5 Exhibit n.5 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-2 of TICC Capital Corp. of our reports dated March 3, 2017, relating to the consolidated financial statements, financial statement schedule and the effectiveness of internal control over financial reporting, and the sen |
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| April 12, 2017 |
Exhibit d.6 FIRST SUPPLEMENTAL INDENTURE between TICC CAPITAL CORP. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of April 12, 2017 FIRST SUPPLEMENTAL INDENTURE THIS FIRST SUPPLEMENTAL INDENTURE (this ?First Supplemental Indenture?), dated as of April 12, 2017, is between TICC Capital Corp., a Maryland corporation (the ?Company?), and U.S. Bank National Association, as trustee (the ?Trus |
