Oxford Lane Capital Corp. - Preferred Security

Introdução

Esta página fornece uma análise abrangente do histórico conhecido de negociações internas de Saul B Rosenthal. Insiders são oficiais, diretores ou investidores significativos em uma empresa. É ilegal para insiders realizarem negociações em suas próprias empresas baseados em informações específicas, não públicas. Isso não significa que seja ilegal para eles realizarem qualquer negociação em suas próprias empresas. No entanto, eles devem reportar todas as negociações à SEC através de um Formulário 4. Apesar dessas restrições, pesquisas acadêmicas sugerem que insiders - em geral - tendem a superar o mercado em suas próprias empresas.

Rentabilidade Média de Negociação

A rentabilidade média de negociação é o retorno médio de todas as compras de mercado abertas feitas pelo insider nos últimos três anos. Para calcular isso, examinamos cada compra de mercado aberto, não planejada, feita pelo insider, excluindo todas as negociações que foram marcadas como parte de um plano de negociação 10b5-1. Em seguida, calculamos o desempenho médio dessas negociações ao longo de 3, 6 e 12 meses, fazendo a média de cada uma dessas durações para gerar uma métrica de desempenho final para cada negociação. Finalmente, fazemos a média de todas as métricas de desempenho para calcular uma métrica de desempenho para o insider. Esta lista inclui apenas insiders que fizeram pelo menos três negociações nos últimos dois anos.

Se a rentabilidade de negociação deste insider é "N/A", então o insider ou não fez quaisquer compras de mercado aberto nos últimos três anos, ou as negociações que eles fizeram são muito recentes para calcular uma métrica de desempenho confiável.

Frequência de Atualização: Diariamente

Veja a lista dos negociantes internos mais rentáveis.

Veja os Insiders com Maior Classificação
Empresas com Posições Internas Reportadas

As declarações à SEC indicam que Saul B Rosenthal reportou posses ou negociações nas seguintes empresas:

Ativo Título Últimas Posições Reportadas
US:OXSQ / Oxford Square Capital Corp. President and COO 2,201,479
President, Director 521,058
US:OXLC / Oxford Lane Capital Corp. President, Director 5,474,887
Como Interpretar os Gráficos

Os gráficos a seguir mostram o desempenho das ações dos a ativos ubsequentes a cada transação de mercado aberto, não planejada feita por Saul B Rosenthal. Transações não planejadas são negociações que não foram feitas como parte de um plano de negociação 10b5-1. O desempenho das ações é representado como mudança percentual cumulativa no preço das ações. Por exemplo, se uma transação interna foi feita em 1 de janeiro de 2019, o gráfico mostrará a mudança percentual diária da segurança até o dia presente. Se o preço da ação passasse de $10 para $15 durante este período, a mudança percentual cumulativa no preço das ações seria de 50%. Uma mudança no preço de $10 para $20 seria de 100%, e uma mudança no preço de $10 para $5 seria de -50%.

Ultimamente, estamos tentando determinar quão estreitamente as negociações do interno correlacionam-se a retornos excessivos (positivos ou negativos) no preço da ação para ver se o interno está cronometrando suas transações para lucrar com informações internas. Considere a situação onde um interno estava fazendo isso. Nesta situação, esperaríamos (a) retornos positivos após compras, ou (b) retornos negativos após vendas. No caso de (a), o gráfico de COMPRA mostraria uma série de curvas ascendentes, indicando retornos positivos após cada transação de compra. No caso de (b), o gráfico de VENDA mostraria uma série de curvas descendentes, indicando retornos negativos após cada transação de venda.

No entanto, isso sozinho não é suficiente para tirar conclusões. Se, por exemplo, o preço da ação da empresa estivesse em uma escalada não cíclica ao longo de muitos anos, então esperaríamos que todos os gráficos pós-compra tivessem uma inclinação ascendente. Da mesma forma, declínios não cíclicos ao longo de muitos anos resultariam em gráficos pós-negociação inclinados para baixo. Nenhum desses gráficos sugeriria atividade de negociação interna.

O indicador mais forte seria uma situação em que o preço da ação fosse extremamente cíclico, e houvesse sinais positivos no gráfico de COMPRA e gráficos negativos no gráfico de VENDA. Esta situação seria altamente sugestiva de um interno que estava cronometrando transações para sua vantagem financeira.

Compras Internas OXLCI / Oxford Lane Capital Corp. - Preferred Security - Análise de Lucro de Curto Prazo

Nesta seção, analisamos a lucratividade de cada compra interna de mercado aberto, não planejada, feita em OXLCI / Oxford Lane Capital Corp. - Preferred Security. Esta análise ajuda a entender se o interno gera consistentemente retornos anormais, e vale a pena seguir. Esta análise é para um ano seguinte a cada transação, e os resultados são teóricos.

A tabela a seguir mostra as compras de mercado aberto mais recentes que não faziam parte de um plano de negociação automático.

Data de Negociação Ticker Insider Ações
Reportadas		 Preço
Reportado		 Ações
Ajustadas		 Preço
Ajustado		 Base de Custos Dias para
Máx		 Preço em
Máx		 Lucro
Máx ($)		 Retorno Máx (%)
2024-12-17 OXLC ROSENTHAL SAUL B 2,960,000 5.0800 592,000 25.4000 15,036,800 265 17.7500 -4,528,800 -30.12
2024-05-28 OXLC ROSENTHAL SAUL B 2,315,000 5.4000 463,000 27.0000 12,501,000
2024-05-28 OXLC ROSENTHAL SAUL B 2,315,000 5.4000 463,000 27.0000 12,501,000
2020-03-18 OXLC ROSENTHAL SAUL B 37,187 2.3609 7,437 11.8045 87,795
2020-03-13 OXLC ROSENTHAL SAUL B 1,700 5.0465 340 25.2325 8,579
2020-03-12 OXLC ROSENTHAL SAUL B 31,000 4.9980 6,200 24.9900 154,938
2017-06-22 OXLC ROSENTHAL SAUL B 20,000 9.7900 4,000 48.9500 195,800

O Preço Ajustado é o preço ajustado pela divisão. Ações Ajustadas são as ações ajustadas pela divisão.

OXLCI / Oxford Lane Capital Corp. - Preferred Security Insider Trades
Vendas Internas OXLCI / Oxford Lane Capital Corp. - Preferred Security - Análise de Perda de Curto Prazo

Nesta seção, analisamos a evitação de perdas de curto prazo de cada venda interna de mercado aberto, não planejada feita em OXLCI / Oxford Lane Capital Corp. - Preferred Security. Um padrão consistente de evitação de perdas pode sugerir que transações futuras de venda possam prever declínios no preço. Esta análise é para um ano seguinte a cada transação, e os resultados são teóricos.

A tabela a seguir mostra as vendas de mercado aberto mais recentes que não faziam parte de um plano de negociação automático.

Data de Negociação Ticker Insider Ações
Reportadas		 Preço
Reportado		 Ações
Ajustadas		 Preço
Ajustado		 Base de Custos Dias para
Mín		 Preço em
Mín		 Máxima Perda
Evitada ($)		 Máxima Perda
Evitada (%)
Não há negociações abertas de mercado não planejadas conhecidas para esta combinação de insider e ativo

O Preço Ajustado é o preço ajustado pela divisão. Ações Ajustadas são as ações ajustadas pela divisão.

OXLCI / Oxford Lane Capital Corp. - Preferred Security Insider Trades
Compras Internas OXSQH / Oxford Square Capital Corp. - Corporate Bond/Note - Análise de Lucro de Curto Prazo

Nesta seção, analisamos a lucratividade de cada compra interna de mercado aberto, não planejada, feita em OXLCI / Oxford Lane Capital Corp. - Preferred Security. Esta análise ajuda a entender se o interno gera consistentemente retornos anormais, e vale a pena seguir. Esta análise é para um ano seguinte a cada transação, e os resultados são teóricos.

A tabela a seguir mostra as compras de mercado aberto mais recentes que não faziam parte de um plano de negociação automático.

Data de Negociação Ticker Insider Ações
Reportadas		 Preço
Reportado		 Ações
Ajustadas		 Preço
Ajustado		 Base de Custos Dias para
Máx		 Preço em
Máx		 Lucro
Máx ($)		 Retorno Máx (%)
2026-05-20 OXSQ ROSENTHAL SAUL B 144,703 1.1517 144,703 1.1517 166,654 13 1.4000 35,930 21.56
2022-05-27 OXSQ ROSENTHAL SAUL B 1,773 4.0290 1,773 4.0290 7,143
2022-05-25 OXSQ ROSENTHAL SAUL B 832 4.0000 832 4.0000 3,328
2022-05-24 OXSQ ROSENTHAL SAUL B 4,206 3.9910 4,206 3.9910 16,786
2022-05-23 OXSQ ROSENTHAL SAUL B 749 3.9980 749 3.9980 2,995
2022-05-20 OXSQ ROSENTHAL SAUL B 4,374 3.9930 4,374 3.9930 17,465
2022-05-18 OXSQ ROSENTHAL SAUL B 10,027 4.0850 10,027 4.0850 40,960
2022-05-17 OXSQ ROSENTHAL SAUL B 4,401 4.0770 4,401 4.0770 17,943
2022-05-16 OXSQ ROSENTHAL SAUL B 13,801 4.0280 13,801 4.0280 55,590
2022-05-13 OXSQ ROSENTHAL SAUL B 9,282 3.9770 9,282 3.9770 36,915
2022-05-12 OXSQ ROSENTHAL SAUL B 27,292 3.8930 27,292 3.8930 106,248
2022-05-11 OXSQ ROSENTHAL SAUL B 4,256 3.9820 4,256 3.9820 16,947
2022-05-10 OXSQ ROSENTHAL SAUL B 9,119 3.9990 9,119 3.9990 36,467
2022-05-09 OXSQ ROSENTHAL SAUL B 17,247 3.9760 17,247 3.9760 68,574
2022-05-06 OXSQ ROSENTHAL SAUL B 12,707 4.0870 12,707 4.0870 51,934
2022-05-05 OXSQ ROSENTHAL SAUL B 2,749 4.0940 2,749 4.0940 11,254
2022-05-04 OXSQ ROSENTHAL SAUL B 13,446 4.0770 13,446 4.0770 54,819
2022-05-03 OXSQ ROSENTHAL SAUL B 12,835 4.0460 12,835 4.0460 51,930
2022-05-02 OXSQ ROSENTHAL SAUL B 21,635 4.0000 21,635 4.0000 86,540
2022-03-24 OXSQ ROSENTHAL SAUL B 4,767 4.0973 4,767 4.0973 19,532
2022-03-23 OXSQ ROSENTHAL SAUL B 8,653 4.0897 8,653 4.0897 35,388
2022-03-22 OXSQ ROSENTHAL SAUL B 1,643 4.0968 1,643 4.0968 6,731
2022-03-21 OXSQ ROSENTHAL SAUL B 100 4.0950 100 4.0950 410
2022-03-18 OXSQ ROSENTHAL SAUL B 9,624 4.0539 9,624 4.0539 39,015
2022-03-17 OXSQ ROSENTHAL SAUL B 2,606 4.0102 2,606 4.0102 10,451
2022-03-16 OXSQ ROSENTHAL SAUL B 9,727 3.9863 9,727 3.9863 38,775
2022-03-14 OXSQ ROSENTHAL SAUL B 6,750 3.9643 6,750 3.9643 26,759
2022-03-11 OXSQ ROSENTHAL SAUL B 6,600 3.9647 6,600 3.9647 26,167
2022-03-10 OXSQ ROSENTHAL SAUL B 9,125 3.9281 9,125 3.9281 35,844
2022-03-09 OXSQ ROSENTHAL SAUL B 5,744 3.9894 5,744 3.9894 22,915
2021-12-22 OXSQ ROSENTHAL SAUL B 7,835 3.9716 7,835 3.9716 31,117
2021-12-21 OXSQ ROSENTHAL SAUL B 10,337 3.8695 10,337 3.8695 39,999
2021-12-20 OXSQ ROSENTHAL SAUL B 12,679 3.8230 12,679 3.8230 48,472
2021-12-17 OXSQ ROSENTHAL SAUL B 5,316 3.9202 5,316 3.9202 20,840
2021-09-23 OXSQ ROSENTHAL SAUL B 12,500 4.0877 12,500 4.0877 51,096
2021-09-22 OXSQ ROSENTHAL SAUL B 700 4.0796 700 4.0796 2,856
2021-09-21 OXSQ ROSENTHAL SAUL B 3,951 4.0688 3,951 4.0688 16,076
2021-09-20 OXSQ ROSENTHAL SAUL B 1,115 4.0271 1,115 4.0271 4,490
2021-08-19 OXSQ ROSENTHAL SAUL B 1,650 4.1994 1,650 4.1994 6,929
2019-12-04 OXSQ ROSENTHAL SAUL B 3,699 5.2951 3,699 5.2951 19,587
2019-12-03 OXSQ ROSENTHAL SAUL B 21,645 5.2639 21,645 5.2639 113,937
2019-12-02 OXSQ ROSENTHAL SAUL B 10,400 5.2801 10,400 5.2801 54,913
2019-11-29 OXSQ ROSENTHAL SAUL B 7,797 5.2325 7,797 5.2325 40,798
2019-11-27 OXSQ ROSENTHAL SAUL B 5,200 5.1715 5,200 5.1715 26,892
2018-04-17 OXSQ ROSENTHAL SAUL B 110 6.1300 110 6.1300 671
2018-04-16 OXSQ ROSENTHAL SAUL B 1,204 6.1356 1,204 6.1356 7,384
2018-04-13 OXSQ ROSENTHAL SAUL B 778 6.1232 778 6.1232 4,764
2018-04-12 OXSQ ROSENTHAL SAUL B 230 6.1300 230 6.1300 1,410
2018-04-11 OXSQ ROSENTHAL SAUL B 180 6.1079 180 6.1079 1,102
2018-04-06 OXSQ ROSENTHAL SAUL B 322 6.1993 322 6.1993 1,999
2018-04-03 OXSQ ROSENTHAL SAUL B 1,816 6.1874 1,816 6.1874 11,239
2018-04-02 OXSQ ROSENTHAL SAUL B 2,188 6.1229 2,188 6.1229 13,394
2018-03-29 OXSQ ROSENTHAL SAUL B 3,308 6.1403 3,308 6.1403 20,315
2018-03-28 OXSQ ROSENTHAL SAUL B 3,930 6.0323 3,930 6.0323 23,707
2018-03-27 OXSQ ROSENTHAL SAUL B 5,054 5.9911 5,054 5.9911 30,279
2018-03-26 OXSQ ROSENTHAL SAUL B 4,100 6.1482 4,100 6.1482 25,205
2018-03-23 OXSQ ROSENTHAL SAUL B 1,966 6.2077 1,966 6.2077 12,204
2018-03-22 TICC ROSENTHAL SAUL B 3,017 6.1548 3,017 6.1548 18,569
2018-03-21 TICC ROSENTHAL SAUL B 2,569 6.0821 2,569 6.0821 15,625
2018-03-20 TICC ROSENTHAL SAUL B 3,723 6.1328 3,723 6.1328 22,832
2018-03-19 TICC ROSENTHAL SAUL B 6,329 6.0488 6,329 6.0488 38,283
2018-03-16 TICC ROSENTHAL SAUL B 5,906 6.1224 5,906 6.1224 36,162
2018-03-15 TICC ROSENTHAL SAUL B 5,262 6.0828 5,262 6.0828 32,005
2018-03-14 TICC ROSENTHAL SAUL B 5,469 6.2351 5,469 6.2351 34,100
2018-03-13 TICC ROSENTHAL SAUL B 5,360 6.2467 5,360 6.2467 33,479
2018-03-12 TICC ROSENTHAL SAUL B 4,234 6.3620 4,234 6.3620 26,937
2018-03-09 TICC ROSENTHAL SAUL B 4,338 6.3768 4,338 6.3768 27,659
2018-03-08 TICC ROSENTHAL SAUL B 3,282 6.3064 3,282 6.3064 20,694
2018-03-07 TICC ROSENTHAL SAUL B 2,855 6.2703 2,855 6.2703 17,902
2018-03-06 TICC ROSENTHAL SAUL B 3,578 6.2554 3,578 6.2554 22,379
2018-03-05 TICC ROSENTHAL SAUL B 4,038 6.1975 4,038 6.1975 25,029
2018-03-02 TICC ROSENTHAL SAUL B 4,402 6.0675 4,402 6.0675 26,709
2018-03-01 TICC ROSENTHAL SAUL B 3,900 6.0753 3,900 6.0753 23,691
2018-02-28 TICC ROSENTHAL SAUL B 5,850 6.0563 5,850 6.0563 35,429
2018-02-27 TICC ROSENTHAL SAUL B 6,604 6.0283 6,604 6.0283 39,811
2018-02-26 TICC ROSENTHAL SAUL B 3,688 5.8799 3,688 5.8799 21,685
2018-02-23 TICC ROSENTHAL SAUL B 2,967 5.7589 2,967 5.7589 17,087
2018-02-22 TICC ROSENTHAL SAUL B 1,619 5.7140 1,619 5.7140 9,251
2018-02-21 TICC ROSENTHAL SAUL B 3,320 5.6988 3,320 5.6988 18,917
2018-02-20 TICC ROSENTHAL SAUL B 5,486 5.6435 5,486 5.6435 30,963
2018-02-16 TICC ROSENTHAL SAUL B 3,688 5.6784 3,688 5.6784 20,939
2018-02-15 TICC ROSENTHAL SAUL B 3,374 5.6985 3,374 5.6985 19,224
2018-02-14 TICC ROSENTHAL SAUL B 2,744 5.6472 2,744 5.6472 15,496
2018-02-13 TICC ROSENTHAL SAUL B 3,739 5.5973 3,739 5.5973 20,928
2018-02-12 TICC ROSENTHAL SAUL B 7,360 5.5084 7,360 5.5084 40,539
2018-02-09 TICC ROSENTHAL SAUL B 4,301 5.5016 4,301 5.5016 23,662
2018-02-08 TICC ROSENTHAL SAUL B 4,889 5.5355 4,889 5.5355 27,063
2017-12-21 TICC ROSENTHAL SAUL B 6,736 5.8391 6,736 5.8391 39,335
2017-12-20 TICC ROSENTHAL SAUL B 8,086 5.8313 8,086 5.8313 47,152
2017-12-19 TICC ROSENTHAL SAUL B 600 5.7479 600 5.7479 3,452
2017-12-18 TICC ROSENTHAL SAUL B 31,161 5.8112 31,161 5.8112 181,083
2017-12-15 TICC ROSENTHAL SAUL B 8,498 5.8442 8,498 5.8442 49,664
2017-12-13 TICC ROSENTHAL SAUL B 4,445 5.9442 4,445 5.9442 26,422
2017-12-12 TICC ROSENTHAL SAUL B 22,737 6.0759 22,737 6.0759 138,148
2017-12-11 TICC ROSENTHAL SAUL B 450 6.1000 450 6.1000 2,745
2017-11-22 TICC ROSENTHAL SAUL B 20 6.1000 20 6.1000 122
2017-11-21 TICC ROSENTHAL SAUL B 1,050 6.0890 1,050 6.0890 6,393
2017-11-20 TICC ROSENTHAL SAUL B 1,869 6.0832 1,869 6.0832 11,370
2017-11-17 TICC ROSENTHAL SAUL B 2,242 6.0574 2,242 6.0574 13,584
2017-11-16 TICC ROSENTHAL SAUL B 2,956 6.0684 2,956 6.0684 17,938
2017-11-15 TICC ROSENTHAL SAUL B 8,484 6.0252 8,484 6.0252 51,121
2017-11-14 TICC ROSENTHAL SAUL B 4,128 6.0353 4,128 6.0353 24,917
2017-11-13 TICC ROSENTHAL SAUL B 12,916 6.0215 12,916 6.0215 77,771
2017-11-08 TICC ROSENTHAL SAUL B 5,835 5.9858 5,835 5.9858 34,927
2017-11-07 TICC ROSENTHAL SAUL B 21,050 5.9880 21,050 5.9880 126,047
2017-11-06 TICC ROSENTHAL SAUL B 26,431 5.8477 26,431 5.8477 154,561
2017-09-01 TICC ROSENTHAL SAUL B 732 6.6811 732 6.6811 4,891
2017-08-31 TICC ROSENTHAL SAUL B 800 6.6962 800 6.6962 5,357
2017-08-30 TICC ROSENTHAL SAUL B 5,076 6.6725 5,076 6.6725 33,873
2017-08-29 TICC ROSENTHAL SAUL B 960 6.6976 960 6.6976 6,433
2017-08-28 TICC ROSENTHAL SAUL B 3,645 6.6915 3,645 6.6915 24,391
2017-08-25 TICC ROSENTHAL SAUL B 3,091 6.6866 3,091 6.6866 20,668
2017-08-24 TICC ROSENTHAL SAUL B 3,438 6.6914 3,438 6.6914 23,005
2017-08-23 TICC ROSENTHAL SAUL B 1,120 6.6875 1,120 6.6875 7,493
2017-08-22 TICC ROSENTHAL SAUL B 4,422 6.6814 4,422 6.6814 29,548
2017-08-21 TICC ROSENTHAL SAUL B 5,150 6.6479 5,150 6.6479 34,237
2017-08-18 TICC ROSENTHAL SAUL B 448 6.6500 448 6.6500 2,983
2017-08-14 TICC ROSENTHAL SAUL B 2,622 6.6246 2,622 6.6246 17,366
2017-08-11 TICC ROSENTHAL SAUL B 9,489 6.5814 9,489 6.5814 62,451
2017-08-10 TICC ROSENTHAL SAUL B 5,042 6.6431 5,042 6.6431 33,498
2016-06-20 TICC ROSENTHAL SAUL B 28,600 5.4560 28,600 5.4560 156,042
2016-06-17 TICC ROSENTHAL SAUL B 40,200 5.4380 40,200 5.4380 218,608
2016-06-16 TICC ROSENTHAL SAUL B 34,136 5.3520 34,136 5.3520 182,696
2016-06-15 TICC ROSENTHAL SAUL B 40,360 5.3860 40,360 5.3860 217,379
2016-06-14 TICC ROSENTHAL SAUL B 40,360 5.4290 40,360 5.4290 219,114
2016-06-06 TICC ROSENTHAL SAUL B 14,400 5.7390 14,400 5.7390 82,642
2016-06-03 TICC ROSENTHAL SAUL B 120,000 5.6400 120,000 5.6400 676,800
2016-06-02 TICC ROSENTHAL SAUL B 27,320 5.6080 27,320 5.6080 153,211
2016-06-01 TICC ROSENTHAL SAUL B 27,320 5.6480 27,320 5.6480 154,303
2016-05-31 TICC ROSENTHAL SAUL B 27,320 5.6460 27,320 5.6460 154,249
2016-05-27 TICC ROSENTHAL SAUL B 23,880 5.6500 23,880 5.6500 134,922
2016-05-26 TICC ROSENTHAL SAUL B 23,880 5.6670 23,880 5.6670 135,328
2016-05-25 TICC ROSENTHAL SAUL B 23,880 5.6660 23,880 5.6660 135,304
2016-05-24 TICC ROSENTHAL SAUL B 23,880 5.5950 23,880 5.5950 133,609
2016-05-23 TICC ROSENTHAL SAUL B 23,880 5.3940 23,880 5.3940 128,809
2016-05-20 TICC ROSENTHAL SAUL B 20,160 5.2690 20,160 5.2690 106,223
2016-05-19 TICC ROSENTHAL SAUL B 20,160 5.2850 20,160 5.2850 106,546
2016-05-18 TICC ROSENTHAL SAUL B 20,160 5.4360 20,160 5.4360 109,590
2016-05-17 TICC ROSENTHAL SAUL B 20,160 5.4260 20,160 5.4260 109,388
2016-05-16 TICC ROSENTHAL SAUL B 20,160 5.4360 20,160 5.4360 109,590
2016-05-13 TICC ROSENTHAL SAUL B 13,571 5.3430 13,571 5.3430 72,509
2016-05-12 TICC ROSENTHAL SAUL B 16,680 5.3030 16,680 5.3030 88,454
2016-05-11 TICC ROSENTHAL SAUL B 16,680 5.2370 16,680 5.2370 87,353
2016-05-10 TICC ROSENTHAL SAUL B 16,680 5.0840 16,680 5.0840 84,801
2016-05-09 TICC ROSENTHAL SAUL B 16,680 5.0410 16,680 5.0410 84,084
2016-05-06 TICC ROSENTHAL SAUL B 12,800 5.0170 12,800 5.0170 64,218
2016-05-05 TICC ROSENTHAL SAUL B 12,800 5.0030 12,800 5.0030 64,038
2008-11-12 TICC ROSENTHAL SAUL B 6,040 3.0500 6,040 3.0500 18,422
2008-11-11 TICC ROSENTHAL SAUL B 5,700 3.0200 5,700 3.0200 17,214
2008-11-11 TICC ROSENTHAL SAUL B 2,692 3.0300 2,692 3.0300 8,157
2008-11-11 TICC ROSENTHAL SAUL B 100 3.0400 100 3.0400 304
2008-11-11 TICC ROSENTHAL SAUL B 10,468 3.0500 10,468 3.0500 31,927
2008-09-17 TICC ROSENTHAL SAUL B 13,750 4.6700 13,750 4.6700 64,212
2008-09-17 TICC ROSENTHAL SAUL B 200 4.6750 200 4.6750 935
2008-09-17 TICC ROSENTHAL SAUL B 100 4.6800 100 4.6800 468
2008-09-17 TICC ROSENTHAL SAUL B 6,600 4.6900 6,600 4.6900 30,954
2008-09-17 TICC ROSENTHAL SAUL B 2,200 4.7000 2,200 4.7000 10,340
2008-09-17 TICC ROSENTHAL SAUL B 1,800 4.7050 1,800 4.7050 8,469
2008-09-17 TICC ROSENTHAL SAUL B 350 4.7100 350 4.7100 1,648
2008-06-20 TICC ROSENTHAL SAUL B 9,219 5.1500 9,219 5.1500 47,478
2008-06-20 TICC ROSENTHAL SAUL B 6,179 4.9700 6,179 4.9700 30,710
2008-06-20 TICC ROSENTHAL SAUL B 3,909 5.1000 3,909 5.1000 19,936
2008-06-20 TICC ROSENTHAL SAUL B 2,100 5.1200 2,100 5.1200 10,752
2008-06-20 TICC ROSENTHAL SAUL B 1,500 4.9800 1,500 4.9800 7,470
2008-06-20 TICC ROSENTHAL SAUL B 1,393 5.0000 1,393 5.0000 6,965
2008-06-20 TICC ROSENTHAL SAUL B 500 5.1400 500 5.1400 2,570
2008-06-20 TICC ROSENTHAL SAUL B 100 5.1100 100 5.1100 511
2008-06-20 TICC ROSENTHAL SAUL B 100 4.9900 100 4.9900 499
2007-11-26 TICC ROSENTHAL SAUL B 1,000 10.2100 1,000 10.2100 10,210
2007-11-26 TICC ROSENTHAL SAUL B 4,000 10.2260 4,000 10.2260 40,904

O Preço Ajustado é o preço ajustado pela divisão. Ações Ajustadas são as ações ajustadas pela divisão.

OXSQH / Oxford Square Capital Corp. - Corporate Bond/Note Insider Trades
Vendas Internas OXSQH / Oxford Square Capital Corp. - Corporate Bond/Note - Análise de Perda de Curto Prazo

Nesta seção, analisamos a evitação de perdas de curto prazo de cada venda interna de mercado aberto, não planejada feita em OXLCI / Oxford Lane Capital Corp. - Preferred Security. Um padrão consistente de evitação de perdas pode sugerir que transações futuras de venda possam prever declínios no preço. Esta análise é para um ano seguinte a cada transação, e os resultados são teóricos.

A tabela a seguir mostra as vendas de mercado aberto mais recentes que não faziam parte de um plano de negociação automático.

Data de Negociação Ticker Insider Ações
Reportadas		 Preço
Reportado		 Ações
Ajustadas		 Preço
Ajustado		 Base de Custos Dias para
Mín		 Preço em
Mín		 Máxima Perda
Evitada ($)		 Máxima Perda
Evitada (%)
Não há negociações abertas de mercado não planejadas conhecidas para esta combinação de insider e ativo

O Preço Ajustado é o preço ajustado pela divisão. Ações Ajustadas são as ações ajustadas pela divisão.

OXSQH / Oxford Square Capital Corp. - Corporate Bond/Note Insider Trades
Histórico de Negociações Insider

Esta tabela mostra a lista completa de negociações insider realizadas por Saul B Rosenthal conforme divulgadas para a Comissão de Valores Mobiliários (SEC).

Data do Arquivo Data da Transação Formulário Ticker Ativo Código 10b5-1 Ações Ações Restantes Variação
Percentual		 Preço
da Ação		 Valor
da Transação		 Valor
Restante
2026-05-21 2026-05-20 4 OXSQ Oxford Square Capital Corp.
Common Stock, par value $0.01 per share 		P - Purchase 144,703 2,201,479 7.04 1.15 166,654 2,535,443
2026-05-04 2026-04-01 4 NONE Oxford Park Income Fund, Inc.
Common Stock 		P - Purchase 283,930 521,058 119.74 17.61 5,000,000 9,175,834
2024-12-17 2024-12-17 4 OXLC Oxford Lane Capital Corp.
Common Stock 		P - Purchase 2,960,000 5,474,887 117.70 5.08 15,036,800 27,812,426
2024-09-24 2024-09-01 4 NONE Oxford Park Income Fund, Inc.
Common Stock 		P - Purchase 112,768 237,129 90.68 27.49 3,100,000 6,518,665
2024-09-24 2024-05-01 4 NONE Oxford Park Income Fund, Inc.
Common Stock 		P - Purchase 84,360 124,360 210.90 28.45 2,400,051 3,538,051
2024-05-29 2024-05-28 4 OXLC Oxford Lane Capital Corp.
Common Stock 		P - Purchase 2,315,000 2,315,000 5.40 12,501,000 12,501,000
2024-05-29 2024-05-28 4 OXLC Oxford Lane Capital Corp.
Common Stock 		P - Purchase 2,315,000 2,315,000 5.40 12,501,000 12,501,000
2023-07-06 2023-06-14 4 OXSQ Oxford Square Capital Corp.
Common Stock, par value $0.01 per share 		X - Other 514,194 2,056,776 33.33 2.66 1,367,756 5,471,024
2023-04-03 3 NONE Oxford Park Income Fund, Inc.
Common Stock 		40,000
2022-05-31 2022-05-27 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 1,773 1,542,582 0.12 4.03 7,143 6,215,063
2022-05-26 2022-05-25 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 832 1,540,809 0.05 4.00 3,328 6,163,236
2022-05-26 2022-05-24 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 4,206 1,539,977 0.27 3.99 16,786 6,146,048
2022-05-23 2022-05-23 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 749 1,535,771 0.05 4.00 2,995 6,140,012
2022-05-23 2022-05-20 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 4,374 1,535,022 0.29 3.99 17,465 6,129,343
2022-05-19 2022-05-18 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 10,027 1,530,648 0.66 4.08 40,960 6,252,697
2022-05-17 2022-05-17 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 4,401 1,520,621 0.29 4.08 17,943 6,199,572
2022-05-17 2022-05-16 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 13,801 1,516,220 0.92 4.03 55,590 6,107,334
2022-05-16 2022-05-13 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 9,282 1,502,419 0.62 3.98 36,915 5,975,120
2022-05-16 2022-05-12 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 27,292 1,493,137 1.86 3.89 106,248 5,812,782
2022-05-12 2022-05-11 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 4,256 1,465,845 0.29 3.98 16,947 5,836,995
2022-05-12 2022-05-10 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 9,119 1,461,589 0.63 4.00 36,467 5,844,894
2022-05-09 2022-05-09 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 17,247 1,452,470 1.20 3.98 68,574 5,775,021
2022-05-09 2022-05-06 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 12,707 1,435,223 0.89 4.09 51,934 5,865,756
2022-05-06 2022-05-05 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 2,749 1,422,516 0.19 4.09 11,254 5,823,781
2022-05-06 2022-05-04 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 13,446 1,419,767 0.96 4.08 54,819 5,788,390
2022-05-04 2022-05-03 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 12,835 1,406,321 0.92 4.05 51,930 5,689,975
2022-05-04 2022-05-02 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 21,635 1,393,486 1.58 4.00 86,540 5,573,944
2022-03-25 2022-03-24 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 4,767 1,371,851 0.35 4.10 19,532 5,620,885
2022-03-25 2022-03-23 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 8,653 1,367,084 0.64 4.09 35,388 5,590,963
2022-03-22 2022-03-22 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 1,643 1,358,431 0.12 4.10 6,731 5,565,220
2022-03-22 2022-03-21 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 100 1,356,788 0.01 4.10 410 5,556,047
2022-03-22 2022-03-18 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 9,624 1,356,688 0.71 4.05 39,015 5,499,877
2022-03-17 2022-03-17 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 2,606 1,347,065 0.19 4.01 10,451 5,402,000
2022-03-17 2022-03-16 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 9,727 1,344,459 0.73 3.99 38,775 5,359,417
2022-03-14 2022-03-14 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 6,750 1,334,732 0.51 3.96 26,759 5,291,278
2022-03-14 2022-03-11 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 6,600 1,327,982 0.50 3.96 26,167 5,265,050
2022-03-11 2022-03-10 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 9,125 1,321,382 0.70 3.93 35,844 5,190,521
2022-03-11 2022-03-09 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 5,744 1,312,257 0.44 3.99 22,915 5,235,118
2021-12-23 2021-12-22 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 7,835 1,306,515 0.60 3.97 31,117 5,188,955
2021-12-23 2021-12-21 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 10,337 1,298,680 0.80 3.87 39,999 5,025,242
2021-12-21 2021-12-20 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 12,679 1,288,343 0.99 3.82 48,472 4,925,335
2021-12-21 2021-12-17 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 5,316 1,275,664 0.42 3.92 20,840 5,000,858
2021-09-24 2021-09-23 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 12,500 1,270,348 0.99 4.09 51,096 5,192,802
2021-09-24 2021-09-22 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 700 1,257,848 0.06 4.08 2,856 5,131,517
2021-09-22 2021-09-21 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 3,951 1,257,148 0.32 4.07 16,076 5,115,084
2021-09-22 2021-09-20 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 1,115 1,253,197 0.09 4.03 4,490 5,046,750
2021-08-23 2021-08-19 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 1,650 1,252,082 0.13 4.20 6,929 5,257,993
2020-03-18 2020-03-18 4 OXLC Oxford Lane Capital Corp.
Common Stock 		P - Purchase 37,187 199,887 22.86 2.36 87,795 471,913
2020-03-16 2020-03-13 4 OXLC Oxford Lane Capital Corp.
Common Stock 		P - Purchase 1,700 162,700 1.06 5.05 8,579 821,066
2020-03-16 2020-03-12 4 OXLC Oxford Lane Capital Corp.
7.50% Series 2023 Term Preferred Stock 		J - Other -14,011 28,211 -33.18 25.06 -351,076 706,889
2020-03-16 2020-03-12 4 OXLC Oxford Lane Capital Corp.
Common Stock 		P - Purchase 31,000 161,000 23.85 5.00 154,938 804,678
2019-12-04 2019-12-04 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 3,699 1,250,432 0.30 5.30 19,587 6,621,162
2019-12-04 2019-12-03 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 21,645 1,246,733 1.77 5.26 113,937 6,562,678
2019-12-04 2019-12-02 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 10,400 1,225,088 0.86 5.28 54,913 6,468,587
2019-12-02 2019-11-29 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 7,797 1,214,688 0.65 5.23 40,798 6,355,855
2019-12-02 2019-11-27 4 OXSQ Oxford Square Capital Corp.
Common Stock 		P - Purchase 5,200 1,206,891 0.43 5.17 26,892 6,241,437
2019-11-26 2019-11-25 4 OXLC Oxford Lane Capital Corp.
7.50% Series 2023 Term Preferred Stock 		P - Purchase 20,000 42,222 90.00 25.48 509,604 1,075,825
2018-04-18 2018-04-17 4 OXSQ Oxford Square Capital Corp.
Common stock, $0.01 par value 		P - Purchase 110 1,202,236 0.01 6.13 671 7,369,707
2018-04-18 2018-04-16 4 OXSQ Oxford Square Capital Corp.
Common stock, $0.01 par value 		P - Purchase 1,204 1,202,110 0.10 6.14 7,384 7,375,663
2018-04-13 2018-04-13 4 OXSQ Oxford Square Capital Corp.
Common stock, $0.01 par value 		P - Purchase 778 1,200,906 0.06 6.12 4,764 7,353,388
2018-04-13 2018-04-12 4 OXSQ Oxford Square Capital Corp.
Common stock, $0.01 par value 		P - Purchase 230 1,200,128 0.02 6.13 1,410 7,356,785
2018-04-13 2018-04-11 4 OXSQ Oxford Square Capital Corp.
Common stock, $0.01 par value 		P - Purchase 180 1,199,898 0.02 6.11 1,102 7,328,857
2018-04-10 2018-04-06 4 OXSQ Oxford Square Capital Corp.
Common stock, $0.01 par value 		P - Purchase 322 1,199,718 0.03 6.20 1,999 7,437,409
2018-04-04 2018-04-03 4 OXSQ Oxford Square Capital Corp.
Common stock, $0.01 par value 		P - Purchase 1,816 1,199,395 0.15 6.19 11,239 7,421,137
2018-04-04 2018-04-02 4 OXSQ Oxford Square Capital Corp.
Common stock, $0.01 par value 		P - Purchase 2,188 1,197,578 0.18 6.12 13,394 7,332,653
2018-03-29 2018-03-29 4 OXSQ Oxford Square Capital Corp.
Common stock, $0.01 par value 		P - Purchase 3,308 1,195,391 0.28 6.14 20,315 7,340,059
2018-03-29 2018-03-28 4 OXSQ Oxford Square Capital Corp.
Common stock, $0.01 par value 		P - Purchase 3,930 1,192,082 0.33 6.03 23,707 7,190,999
2018-03-27 2018-03-27 4 OXSQ Oxford Square Capital Corp.
Common stock, $0.01 par value 		P - Purchase 5,054 1,188,152 0.43 5.99 30,279 7,118,340
2018-03-27 2018-03-26 4 OXSQ Oxford Square Capital Corp.
Common stock, $0.01 par value 		P - Purchase 4,100 1,183,098 0.35 6.15 25,205 7,273,926
2018-03-27 2018-03-23 4 OXSQ Oxford Square Capital Corp.
Common stock, $0.01 par value 		P - Purchase 1,966 1,178,999 0.17 6.21 12,204 7,318,872
2018-03-22 2018-03-22 4 TICC Oxford Square Capital Corp.
Common stock, $0.01 par value 		P - Purchase 3,017 1,177,033 0.26 6.15 18,569 7,244,403
2018-03-22 2018-03-21 4 TICC Oxford Square Capital Corp.
Common stock, $0.01 par value 		P - Purchase 2,569 1,174,016 0.22 6.08 15,625 7,140,483
2018-03-22 2018-03-20 4 TICC Oxford Square Capital Corp.
Common stock, $0.01 par value 		P - Purchase 3,723 1,171,447 0.32 6.13 22,832 7,184,250
2018-03-19 2018-03-19 4 TICC Oxford Street Capital Corp.
Common stock, $0.01 par value 		P - Purchase 6,329 1,167,724 0.54 6.05 38,283 7,063,329
2018-03-19 2018-03-16 4 TICC Oxford Street Capital Corp.
Common stock, $0.01 par value 		P - Purchase 5,906 1,161,395 0.51 6.12 36,162 7,110,525
2018-03-19 2018-03-15 4 TICC Oxford Street Capital Corp.
Common stock, $0.01 par value 		P - Purchase 5,262 1,155,488 0.46 6.08 32,005 7,028,605
2018-03-14 2018-03-14 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 5,469 1,150,227 0.48 6.24 34,100 7,171,780
2018-03-14 2018-03-13 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 5,360 1,144,758 0.47 6.25 33,479 7,150,960
2018-03-14 2018-03-12 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 4,234 1,139,398 0.37 6.36 26,937 7,248,853
2018-03-09 2018-03-09 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 4,338 1,135,164 0.38 6.38 27,659 7,238,717
2018-03-09 2018-03-08 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 3,282 1,130,827 0.29 6.31 20,694 7,131,447
2018-03-09 2018-03-07 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 2,855 1,127,546 0.25 6.27 17,902 7,070,049
2018-03-06 2018-03-06 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 3,578 1,124,690 0.32 6.26 22,379 7,035,389
2018-03-06 2018-03-05 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 4,038 1,121,113 0.36 6.20 25,029 6,948,098
2018-03-06 2018-03-02 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 4,402 1,117,074 0.40 6.07 26,709 6,777,850
2018-03-01 2018-03-01 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 3,900 1,113,032 0.35 6.08 23,691 6,762,006
2018-03-01 2018-02-28 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 5,850 1,109,133 0.53 6.06 35,429 6,717,242
2018-03-01 2018-02-27 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 6,604 1,103,283 0.60 6.03 39,811 6,650,921
2018-02-26 2018-02-26 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 3,688 1,096,679 0.34 5.88 21,685 6,448,363
2018-02-26 2018-02-23 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 2,967 1,092,991 0.27 5.76 17,087 6,294,426
2018-02-26 2018-02-22 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 1,619 1,090,024 0.15 5.71 9,251 6,228,397
2018-02-21 2018-02-21 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 3,320 1,088,405 0.31 5.70 18,917 6,202,602
2018-02-21 2018-02-20 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 5,486 1,085,086 0.51 5.64 30,963 6,123,680
2018-02-21 2018-02-16 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 3,688 1,079,599 0.34 5.68 20,939 6,130,395
2018-02-15 2018-02-15 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 3,374 1,075,912 0.31 5.70 19,224 6,131,082
2018-02-15 2018-02-14 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 2,744 1,072,538 0.26 5.65 15,496 6,056,837
2018-02-15 2018-02-13 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 3,739 1,069,794 0.35 5.60 20,928 5,987,958
2018-02-12 2018-02-12 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 7,360 1,066,055 0.70 5.51 40,539 5,872,257
2018-02-12 2018-02-09 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 4,301 1,058,696 0.41 5.50 23,662 5,824,519
2018-02-12 2018-02-08 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 4,889 1,054,394 0.47 5.54 27,063 5,836,601
2017-12-21 2017-12-21 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 6,736 1,049,488 0.65 5.84 39,335 6,128,062
2017-12-21 2017-12-20 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 8,086 1,042,751 0.78 5.83 47,152 6,080,594
2017-12-19 2017-12-19 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 600 1,034,665 0.06 5.75 3,452 5,947,151
2017-12-19 2017-12-18 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 31,161 1,034,064 3.11 5.81 181,083 6,009,156
2017-12-19 2017-12-15 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 8,498 1,002,904 0.85 5.84 49,664 5,861,169
2017-12-13 2017-12-13 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 4,445 994,406 0.45 5.94 26,422 5,910,945
2017-12-13 2017-12-12 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 22,737 989,960 2.35 6.08 138,148 6,014,901
2017-12-13 2017-12-11 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 450 967,224 0.05 6.10 2,745 5,900,063
2017-11-24 2017-11-22 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 20 966,774 0.00 6.10 122 5,897,318
2017-11-24 2017-11-21 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 1,050 966,754 0.11 6.09 6,393 5,886,562
2017-11-20 2017-11-20 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 1,869 965,704 0.19 6.08 11,370 5,874,568
2017-11-20 2017-11-17 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 2,242 963,834 0.23 6.06 13,584 5,838,331
2017-11-20 2017-11-16 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 2,956 961,592 0.31 6.07 17,938 5,835,325
2017-11-15 2017-11-15 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 8,484 958,636 0.89 6.03 51,121 5,775,974
2017-11-15 2017-11-14 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 4,128 950,152 0.44 6.04 24,917 5,734,449
2017-11-15 2017-11-13 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 12,916 946,023 1.38 6.02 77,771 5,696,477
2017-11-08 2017-11-08 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 5,835 933,108 0.63 5.99 34,927 5,585,395
2017-11-08 2017-11-07 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 21,050 927,272 2.32 5.99 126,047 5,552,508
2017-11-08 2017-11-06 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 26,431 906,222 3.00 5.85 154,561 5,299,317
2017-09-05 2017-09-01 4 TICC TICC Capital Corp.
Common Stock, $0.01 par value 		P - Purchase 732 879,764 0.08 6.68 4,891 5,877,788
2017-09-05 2017-08-31 4 TICC TICC Capital Corp.
Common Stock, $0.01 par value 		P - Purchase 800 879,032 0.09 6.70 5,357 5,886,171
2017-08-30 2017-08-30 4 TICC TICC Capital Corp.
Common Stock, $0.01 par value 		P - Purchase 5,076 878,232 0.58 6.67 33,873 5,860,000
2017-08-30 2017-08-29 4 TICC TICC Capital Corp.
Common Stock, $0.01 par value 		P - Purchase 960 873,155 0.11 6.70 6,433 5,848,043
2017-08-30 2017-08-28 4 TICC TICC Capital Corp.
Common Stock, $0.01 par value 		P - Purchase 3,645 872,194 0.42 6.69 24,391 5,836,289
2017-08-25 2017-08-25 4 TICC TICC Capital Corp.
Common Stock, $0.01 par value 		P - Purchase 3,091 868,550 0.36 6.69 20,668 5,807,643
2017-08-25 2017-08-24 4 TICC TICC Capital Corp.
Common Stock, $0.01 par value 		P - Purchase 3,438 865,458 0.40 6.69 23,005 5,791,129
2017-08-25 2017-08-23 4 TICC TICC Capital Corp.
Common Stock, $0.01 par value 		P - Purchase 1,120 862,020 0.13 6.69 7,493 5,764,762
2017-08-22 2017-08-22 4 TICC TICC Capital Corp.
Common Stock, $0.01 par value 		P - Purchase 4,422 860,900 0.52 6.68 29,548 5,752,017
2017-08-22 2017-08-21 4 TICC TICC Capital Corp.
Common Stock, $0.01 par value 		P - Purchase 5,150 856,478 0.60 6.65 34,237 5,693,777
2017-08-22 2017-08-18 4 TICC TICC Capital Corp.
Common Stock, $0.01 par value 		P - Purchase 448 851,328 0.05 6.65 2,983 5,661,328
2017-08-14 2017-08-14 4 TICC TICC Capital Corp.
Common Stock, $0.01 par value 		P - Purchase 2,622 850,879 0.31 6.62 17,366 5,636,733
2017-08-14 2017-08-11 4 TICC TICC Capital Corp.
Common Stock, $0.01 par value 		P - Purchase 9,489 848,258 1.13 6.58 62,451 5,582,722
2017-08-14 2017-08-10 4 TICC TICC Capital Corp.
Common Stock, $0.01 par value 		P - Purchase 5,042 838,768 0.60 6.64 33,498 5,572,023
2017-06-23 2017-06-22 4 OXLC Oxford Lane Capital Corp.
Common Stock 		P - Purchase 20,000 130,000 18.18 9.79 195,800 1,272,700
2016-06-21 2016-06-20 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 28,600 833,651 3.55 5.46 156,042 4,548,399
2016-06-21 2016-06-17 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 40,200 805,051 5.26 5.44 218,608 4,377,866
2016-06-16 2016-06-16 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 34,136 764,851 4.67 5.35 182,696 4,093,481
2016-06-16 2016-06-15 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 40,360 730,715 5.85 5.39 217,379 3,935,630
2016-06-16 2016-06-14 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 40,360 690,355 6.21 5.43 219,114 3,747,936
2016-06-08 2016-06-06 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 14,400 649,995 2.27 5.74 82,642 3,730,320
2016-06-03 2016-06-03 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 120,000 635,595 23.27 5.64 676,800 3,584,755
2016-06-03 2016-06-02 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 27,320 515,595 5.60 5.61 153,211 2,891,456
2016-06-03 2016-06-01 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 27,320 488,275 5.93 5.65 154,303 2,757,776
2016-05-31 2016-05-31 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 27,320 460,955 6.30 5.65 154,249 2,602,551
2016-05-31 2016-05-27 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 23,880 433,635 5.83 5.65 134,922 2,450,037
2016-05-31 2016-05-26 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 23,880 409,755 6.19 5.67 135,328 2,322,080
2016-05-25 2016-05-25 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 23,880 385,875 6.60 5.67 135,304 2,186,367
2016-05-25 2016-05-24 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 23,880 361,995 7.06 5.60 133,609 2,025,361
2016-05-25 2016-05-23 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 23,880 338,115 7.60 5.39 128,809 1,823,791
2016-05-20 2016-05-20 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 20,160 314,235 6.86 5.27 106,223 1,655,703
2016-05-20 2016-05-19 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 20,160 294,075 7.36 5.28 106,546 1,554,185
2016-05-20 2016-05-18 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 20,160 273,915 7.94 5.44 109,590 1,489,001
2016-05-17 2016-05-17 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 20,160 253,755 8.63 5.43 109,388 1,376,874
2016-05-17 2016-05-16 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 20,160 233,595 9.45 5.44 109,590 1,269,821
2016-05-17 2016-05-13 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 13,571 213,435 6.79 5.34 72,509 1,140,382
2016-05-12 2016-05-12 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 16,680 199,864 9.11 5.30 88,454 1,059,879
2016-05-12 2016-05-11 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 16,680 183,184 10.02 5.24 87,353 959,335
2016-05-12 2016-05-10 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 16,680 166,504 11.13 5.08 84,801 846,506
2016-05-09 2016-05-09 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 16,680 149,824 12.53 5.04 84,084 755,263
2016-05-09 2016-05-06 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 12,800 133,144 10.64 5.02 64,218 667,983
2016-05-09 2016-05-05 4 TICC TICC Capital Corp.
Common stock, $0.01 par value 		P - Purchase 12,800 120,344 11.90 5.00 64,038 602,081
2014-03-12 2014-03-11 4 OXLC Oxford Lane Capital Corp.
Common Stock 		X - Other 10,000 110,000 10.00 17.00 170,000 1,870,000
2014-03-12 2014-03-03 4 OXLC Oxford Lane Capital Corp.
Subscription Rights 		X - Other -20,000 0 -100.00
2013-11-18 2013-11-18 4 OXLC Oxford Lane Capital Corp.
7.50% Series 2023 Term Preferred Stock 		P - Purchase 22,222 22,222 22.50 499,995 499,995
2013-02-26 2013-02-25 4 OXLC Oxford Lane Capital Corp.
Common Stock 		X - Other 38,000 100,000 61.29 14.50 551,000 1,450,000
2013-02-26 2013-02-15 4 OXLC Oxford Lane Capital Corp.
Subscription Rights 		X - Other -62,000 0 -100.00
2012-04-30 2012-04-27 4 OXLC Oxford Lane Capital Corp.
Subscription Rights 		X - Other -18,000 0 -100.00
2012-04-30 2012-04-27 4 OXLC Oxford Lane Capital Corp.
Common Stock 		X - Other 18,000 62,000 40.91 13.75 247,500 852,500
2011-01-19 3 OXLC Oxford Lane Capital Corp.
Common Stock 		2,500
2008-11-12 2008-11-12 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 6,040 87,291 7.43 3.05 18,422 266,238
2008-11-12 2008-11-11 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 10,468 81,251 14.79 3.05 31,927 247,816
2008-11-12 2008-11-11 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 100 70,783 0.14 3.04 304 215,180
2008-11-12 2008-11-11 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 2,692 70,683 3.96 3.03 8,157 214,169
2008-11-12 2008-11-11 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 5,700 67,991 9.15 3.02 17,214 205,333
2008-09-18 2008-09-17 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 350 62,279 0.57 4.71 1,648 293,334
2008-09-18 2008-09-17 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 1,800 61,929 2.99 4.70 8,469 291,376
2008-09-18 2008-09-17 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 2,200 60,129 3.80 4.70 10,340 282,606
2008-09-18 2008-09-17 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 6,600 57,929 12.86 4.69 30,954 271,687
2008-09-18 2008-09-17 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 100 51,329 0.20 4.68 468 240,220
2008-09-18 2008-09-17 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 200 51,229 0.39 4.68 935 239,496
2008-09-18 2008-09-17 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 13,750 51,029 36.88 4.67 64,212 238,305
2008-06-24 2008-06-20 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 100 37,279 0.27 4.99 499 186,022
2008-06-24 2008-06-20 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 100 37,179 0.27 5.11 511 189,985
2008-06-24 2008-06-20 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 500 37,079 1.37 5.14 2,570 190,586
2008-06-24 2008-06-20 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 1,393 36,579 3.96 5.00 6,965 182,895
2008-06-24 2008-06-20 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 1,500 35,186 4.45 4.98 7,470 175,226
2008-06-24 2008-06-20 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 2,100 33,686 6.65 5.12 10,752 172,472
2008-06-24 2008-06-20 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 3,909 31,586 14.12 5.10 19,936 161,089
2008-06-24 2008-06-20 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 6,179 27,677 28.74 4.97 30,710 137,555
2008-06-24 2008-06-20 4 TICC TICC Capital Corp.
Common Stock 		P - Purchase 9,219 21,498 75.08 5.15 47,478 110,715
2008-06-23 2008-06-13 4/A TICC TICC Capital Corp.
Subscription Rights 		X - Other -9,530 0 -100.00
2008-06-23 2008-06-13 4/A TICC TICC Capital Corp.
Common Stock 		X - Other 2,604 12,279 26.91 5.20 13,541 63,851
2007-11-28 2007-11-26 4 TICC TECHNOLOGY INVESTMENT CAPITAL CORP
Common Stock 		P - Purchase 4,000 9,662 70.65 10.23 40,904 98,804
2007-11-28 2007-11-26 4 TICC TECHNOLOGY INVESTMENT CAPITAL CORP
Common Stock 		P - Purchase 1,000 5,662 21.45 10.21 10,210 57,809
P
Compra de mercado aberto ou privada de ativo não-derivativo ou derivativo
S
Venda de mercado aberto ou privada de ativo não-derivativo ou derivativo
A
Concessão, premiação, ou outra aquisição de ativos da empresa (como uma opção)
C
Conversão de derivativo
D
Venda ou transferência de ativos de volta para a empresa
F
Pagamento do preço de exercício ou responsabilidade fiscal utilizando parte dos ativos recebidos da empresa
G
Doação de ativos pelo ou para o insider
K
Swaps de capital e transações de hedge similares
M
Exercício ou conversão de ativo derivativo recebido da empresa (como uma opção)
V
Uma transação voluntariamente reportada no Formulário 4
J
Outro (acompanhado de uma nota explicativa descrevendo a transação)