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

Institutional Holders (2014Q4)
Portfolio Summary: 29 Institutional holders with a total value of $42,247,372.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Artemis Investment Management LLP 900,000 13,469,000 31.88%
2 Trafelet Capital Management, L.P. 597,241 8,929,000 21.14%
3 KELLEHER FINANCIAL ADVISORS 216,686 3,239,000 7.67%
4 Clear Harbor Asset Management, LLC 186,386 2,786,000 6.59%
5 DEUTSCHE BANK AG\ 110,426 1,650,000 3.91%
6 SELZ CAPITAL LLC 107,181 1,602,000 3.79%
7 BARD ASSOCIATES INC 105,665 1,580,000 3.74%
8 MILLER VALUE PARTNERS, LLC 65,000 972,000 2.30%
9 CSS LLC/IL 59,003 882,000 2.09%
10 SIT INVESTMENT ASSOCIATES INC 58,100 869,000 2.06%
11 GSA CAPITAL PARTNERS LLP 57,500 860,000 2.04%
12 UBS Group AG 54,586 816,000 1.93%
13 Cetera Advisor Networks LLC 48,697 729,000 1.73%
14 MORGAN STANLEY 45,304 677,000 1.60%
15 WELLS FARGO & COMPANY/MN 42,004 628,000 1.49%
16 DIALECTIC CAPITAL MANAGEMENT, LP 35,000 523,000 1.24%
17 Nine Chapters Capital Management LLC 30,900 462,000 1.09%
18 CITADEL ADVISORS LLC 27,966 419,000 0.99%
19 Yorktown Management & Research Co Inc 20,000 299,000 0.71%
20 Geneva Advisors, LLC 18,150 271,000 0.64%
21 Yakira Capital Management, Inc. 16,532 247,000 0.58% SH
22 B. Riley Wealth Advisors, Inc. 8,985 134,000 0.32%
23 NATIONAL PLANNING CORP 7,100 105,577 0.25%
24 BANK OF AMERICA CORP /DE/ 2,000 30,000 0.07%
25 ROYAL BANK OF CANADA 1,835 27,000 0.06%
26 Genesis Wealth Advisors, LLC 1,075 16,795 0.04%
27 Westend Capital Management, LLC 1,100 16,000 0.04%
28 Kistler-Tiffany Companies, LLC 500 7,000 0.02%
29 Tower Research Capital LLC (TRC) 164 2,000 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.