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

Institutional Holders (2014Q3)
Portfolio Summary: 28 Institutional holders with a total value of $41,542,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Artemis Investment Management LLP 850,000 13,043,000 31.40%
2 Trafelet Capital Management, L.P. 509,006 7,803,000 18.78%
3 SIT INVESTMENT ASSOCIATES INC 277,537 4,255,000 10.24%
4 KELLEHER FINANCIAL ADVISORS 217,436 3,439,000 8.28%
5 BARD ASSOCIATES INC 104,665 1,605,000 3.86%
6 SELZ CAPITAL LLC 102,941 1,578,000 3.80%
7 DEUTSCHE BANK AG\ 96,456 1,478,000 3.56%
8 Clear Harbor Asset Management, LLC 81,383 1,248,000 3.00%
9 CSS LLC/IL 59,003 905,000 2.18%
10 DIALECTIC CAPITAL MANAGEMENT, LP 55,000 843,000 2.03%
11 Cetera Advisor Networks LLC 43,236 662,000 1.59%
12 WELLS FARGO & COMPANY/MN 42,001 644,000 1.55%
13 GSA CAPITAL PARTNERS LLP 40,100 615,000 1.48%
14 JANE STREET GROUP, LLC 37,968 582,000 1.40%
15 Nine Chapters Capital Management LLC 27,400 420,000 1.01%
16 MORGAN STANLEY 26,794 410,000 0.99%
17 B. Riley Wealth Advisors, Inc. 23,978 368,000 0.89%
18 Yorktown Management & Research Co Inc 20,000 307,000 0.74%
19 UBS AG 19,922 305,000 0.73%
20 CITADEL ADVISORS LLC 17,110 262,000 0.63%
21 Geneva Advisors, LLC 16,650 255,000 0.61%
22 Yakira Capital Management, Inc. 16,532 253,000 0.61%
23 PDT Partners, LLC 10,850 166,000 0.40%
24 BANK OF AMERICA CORP /DE/ 2,674 41,000 0.10%
25 ROYAL BANK OF CANADA 2,435 37,000 0.09%
26 Westend Capital Management, LLC 1,100 17,000 0.04%
27 CITIGROUP INC 63 1,000 0.00%
28 Tower Research Capital LLC (TRC) 0 0 0.00%

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.