Stock Transactions — OXFORD LANE CAP CORP

Total Bought
11,313,869
46 transactions
Total Sold
5,351,600
59 transactions
Net
+5,962,269
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
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Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
Kohlberg Kravis Roberts & Co. L.P.03,187,230+3,187,2300.000.58+0.58buy
Polar Asset Management Partners Inc.02,000,000+2,000,0000.000.46+0.46buy
Saba Capital Management, L.P.01,852,145+1,852,1450.000.58+0.58buy
MORGAN STANLEY1,965,3183,568,365+1,603,0470.000.00+0.00buy
CITADEL ADVISORS LLC185,8321,143,980+958,1480.000.01+0.01buy
Blackstone Inc.0675,000+675,0000.000.03+0.03buy
Alpine Global Management, LLC25,926257,992+232,0660.080.38+0.30buy
UBS Group AG0134,178+134,1780.000.00+0.00buy
Simplify Asset Management Inc.0100,000+100,0000.000.02+0.02buy
Freestone Capital Holdings, LLC141,379221,379+80,0000.060.07+0.00buy
Jain Global LLC066,250+66,2500.000.01+0.01buy
Virtus Investment Advisers, LLC149,891208,647+58,7560.600.56-0.03buy
GatePass Capital, LLC42,60090,300+47,7000.320.43+0.11buy
Founders Financial Alliance, LLC46,31791,622+45,3050.130.16+0.03buy
Samalin Investment Counsel, LLC39,56781,125+41,5580.210.28+0.08buy
Lido Advisors, LLC10,34046,470+36,1300.000.00+0.00buy
McIlrath & Eck, LLC6,16742,263+36,0960.010.03+0.02buy
SUSQUEHANNA INTERNATIONAL GROUP, LLP80,647108,500+27,8530.000.00-0.00buy
Gibbs Wealth Management023,295+23,2950.000.03+0.03buy
DRW Securities, LLC015,080+15,0800.000.01+0.01buy
Delta Investment Management, LLC011,304+11,3040.000.02+0.02buy
ARES MANAGEMENT LLC247,500258,692+11,1920.210.17-0.04buy
Abel Hall, LLC10,00020,000+10,0000.030.04+0.01buy
BI Asset Management Fondsmaeglerselskab A/S153,382162,907+9,5250.020.02-0.00buy
OSAIC HOLDINGS, INC.61,73769,739+8,0020.000.00-0.00buy
Mariner, LLC18,05525,633+7,5780.000.00-0.00buy
Kestra Advisory Services, LLC46,51853,755+7,2370.000.00-0.00buy
Prospera Financial Services Inc16,29621,420+5,1240.000.00-0.00buy
Fermata Advisors, LLC13,08916,537+3,4480.050.04-0.01buy
EverSource Wealth Advisors, LLC4,3007,000+2,7000.000.00-0.00buy
EIGHT 31 FINANCIAL, LLC21,06923,722+2,6530.170.14-0.03buy
Pinnacle Wealth Planning Services, Inc.3,7786,257+2,4790.010.01+0.00buy
Capital CS Group, LLC16,42418,900+2,4760.380.38+0.00buy
WPG Advisers, LLC2,1793,914+1,7350.020.03+0.00buy
FIFTH THIRD BANCORP601,781+1,7210.000.00+0.00buy
WEDBUSH SECURITIES INC131,536133,129+1,5930.060.04-0.02buy
Allworth Financial LP10,10311,159+1,0560.000.00-0.00buy
Legacy Wealth Managment, LLC/ID4,9706,010+1,0400.030.03-0.01buy
Apollon Wealth Management, LLC37,03837,996+9580.010.01-0.00buy
AdvisorNet Financial, Inc2,2712,922+6510.000.00-0.00buy
Sound Income Strategies, LLC2,5003,000+5000.000.00-0.00buy
WHITTIER TRUST CO OF NEVADA INC0498+4980.000.00+0.00buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO0478+4780.000.00+0.00buy
Strategic Wealth Partners, Ltd.040+400.000.00+0.00buy
Avion Wealth316356+400.000.00-0.00buy
MAI Capital Management04+40.000.00+0.00buy
BNP PARIBAS FINANCIAL MARKETS8,1938,19300.000.00-0.00hold
NewEdge Advisors, LLC1,9401,94000.000.00-0.00hold
IAT REINSURANCE CO LTD.100,000100,00000.740.80+0.06hold
IAT REINSURANCE CO LTD.80,00080,00000.600.65+0.05hold
IFP Advisors, Inc40040000.000.00-0.00hold
Parisi Gray Wealth Management10,00010,00000.030.02-0.01hold
Border to Coast Pensions Partnership Ltd440,000440,00000.110.07-0.04hold
SWAN Capital LLC1,2321,23200.010.00-0.00hold
HIGHLINE WEALTH PARTNERS LLC60060000.000.00-0.00hold
M&T BANK CORP30,92730,92700.000.00-0.00hold
RESOURCES MANAGEMENT CORP /CT/ /ADV13,20013,20000.040.04+0.00hold
DELPHI FINANCIAL GROUP, INC.145,030145,03001.060.64-0.42hold
WESBANCO BANK INC30,09030,09000.010.01-0.00hold
CoreCap Advisors, LLC2,3682,362-60.000.00-0.00sell
Atlantic Union Bankshares Corp170-170.000.00-0.00sell
KESTRA PRIVATE WEALTH SERVICES, LLC10,10010,055-450.000.00-0.00sell
Parallel Advisors, LLC590-590.000.00-0.00sell
Blue Trust, Inc.600-600.000.00-0.00sell
Farther Finance Advisors, LLC870-870.000.00-0.00sell
HARBOUR INVESTMENTS, INC.2790-2790.000.00-0.00sell
Ausdal Financial Partners, Inc.16,49615,996-5000.010.01-0.00sell
BESSEMER GROUP INC6000-6000.000.00-0.00sell
NBC SECURITIES, INC.6000-6000.000.00-0.00sell
Arax Advisory Partners6120-6120.000.00-0.00sell
Triumph Capital Management5,3974,591-8060.020.01-0.01sell
FLAGSHIP HARBOR ADVISORS, LLC9810-9810.000.00-0.00sell
CARY STREET PARTNERS INVESTMENT ADVISORY LLC1,0000-1,0000.000.00-0.00sell
Camelot Portfolios, LLC2,0000-2,0000.020.00-0.02sell
Tower Research Capital LLC (TRC)2,8320-2,8320.000.00-0.00sell
Sunbelt Securities, Inc.3,827864-2,9630.000.00-0.00sell
Private Advisor Group, LLC47,08243,662-3,4200.000.00-0.00sell
Cetera Investment Advisers32,77628,499-4,2770.000.00-0.00sell
Federation des caisses Desjardins du Quebec7,8802,920-4,9600.000.00-0.00sell
LPL Financial LLC98,19293,211-4,9810.000.00-0.00sell
PNC FINANCIAL SERVICES GROUP, INC.5,2920-5,2920.000.00-0.00sell
CURA WEALTH ADVISORS, LLC18,24710,247-8,0000.100.04-0.06sell
COMMONWEALTH EQUITY SERVICES, LLC35,01125,881-9,1300.000.00-0.00sell
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC13,9564,561-9,3950.010.00-0.01sell
Qube Research & Technologies Ltd10,7950-10,7950.000.00-0.00sell
CARY STREET PARTNERS FINANCIAL LLC11,6000-11,6000.000.00-0.00sell
HighPoint Advisor Group LLC12,3700-12,3700.010.00-0.01sell
BURNEY CO/12,6510-12,6510.010.00-0.01sell
Squarepoint Ops LLC13,0640-13,0640.000.00-0.00sell
Entropy Technologies, LP43,34929,423-13,9260.030.01-0.02sell
Castleview Partners, LLC14,4000-14,4000.100.00-0.10sell
Sage Capital Advisors,llc15,1670-15,1670.050.00-0.05sell
CHOREO, LLC16,5210-16,5210.000.00-0.00sell
Vident Advisory, LLC16,7420-16,7420.000.00-0.00sell
CFO4Life Group, LLC19,2820-19,2820.040.00-0.04sell
Savvy Advisors, Inc.21,8580-21,8580.010.00-0.01sell
TWO SIGMA SECURITIES, LLC23,4280-23,4280.050.00-0.05sell
Rockefeller Capital Management L.P.24,218239-23,9790.000.00-0.00sell
Cambridge Investment Research Advisors, Inc.28,4490-28,4490.000.00-0.00sell
Snowden Capital Advisors LLC51,30120,539-30,7620.020.01-0.01sell
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