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OXFORD LANE CAP CORP
OXFORD LANE CAP CORP. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 25 Institutional holders with a total value of $45,610,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 SIT INVESTMENT ASSOCIATES INC 623,900 10,419,000 22.84%
2 Trafelet Capital Management, L.P. 487,499 8,141,000 17.85%
3 Serengeti Asset Management LP 360,000 6,012,000 13.18%
4 MORGAN STANLEY 236,373 3,947,000 8.65%
5 KELLEHER FINANCIAL ADVISORS 217,836 3,637,000 7.97%
6 CREDIT SUISSE AG/ 146,167 2,441,000 5.35%
7 BARD ASSOCIATES INC 103,890 1,735,000 3.80%
8 SELZ CAPITAL LLC 95,046 1,587,000 3.48%
9 Clear Harbor Asset Management, LLC 77,738 1,298,000 2.85%
10 DEUTSCHE BANK AG\ 77,380 1,291,000 2.83%
11 CSS LLC/IL 59,003 985,000 2.16%
12 Yakira Capital Management, Inc. 47,744 797,000 1.75%
13 WELLS FARGO & COMPANY/MN 45,001 752,000 1.65%
14 NWQ INVESTMENT MANAGEMENT COMPANY, LLC 31,862 532,000 1.17%
15 Cetera Advisor Networks LLC 28,825 482,000 1.06%
16 Yorktown Management & Research Co Inc 20,000 334,000 0.73%
17 B. Riley Wealth Advisors, Inc. 16,879 282,000 0.62%
18 UBS AG 15,135 253,000 0.55%
19 Geneva Advisors, LLC 13,500 225,000 0.49%
20 JANE STREET GROUP, LLC 12,788 214,000 0.47%
21 Commonwealth Equity Services, Inc 10,375 173,000 0.38%
22 ENVESTNET ASSET MANAGEMENT INC 1,836 31,000 0.07%
23 Tower Research Capital LLC (TRC) 1,102 18,000 0.04%
24 BANK OF AMERICA CORP /DE/ 1,000 17,000 0.04%
25 MACROVIEW INVESTMENT MANAGEMENT LLC 400 7,000 0.02%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.