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

Institutional Holders (2015Q2)
Portfolio Summary: 31 Institutional holders with a total value of $52,975,362.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Artemis Investment Management LLP 900,000 12,785,000 24.13%
2 SELZ CAPITAL LLC 881,633 12,528,000 23.65%
3 Trafelet Capital Management, L.P. 494,109 7,021,000 13.25%
4 DEUTSCHE BANK AG\ 284,336 4,039,000 7.62%
5 KELLEHER FINANCIAL ADVISORS 210,983 2,998,000 5.66%
6 UBS Group AG 184,418 2,621,000 4.95%
7 Clear Harbor Asset Management, LLC 120,734 1,716,000 3.24%
8 BARD ASSOCIATES INC 100,261 1,425,000 2.69%
9 ACG Wealth 92,893 1,320,000 2.49%
10 AMERICAN INTERNATIONAL GROUP, INC. 77,768 1,105,083 2.09%
11 CSS LLC/IL 61,495 874,000 1.65%
12 Orinda Asset Management LLC 61,126 869,000 1.64%
13 Cetera Advisor Networks LLC 50,881 752,000 1.42%
14 WELLS FARGO & COMPANY/MN 34,904 496,000 0.94%
15 BAIRD FINANCIAL GROUP, INC. 27,686 393,000 0.74%
16 MORGAN STANLEY 24,835 352,000 0.66%
17 LPL Financial LLC 20,326 297,000 0.56%
18 CITADEL ADVISORS LLC 19,103 271,000 0.51%
19 Geneva Advisors, LLC 18,150 258,000 0.49%
20 LADENBURG THALMANN FINANCIAL SERVICES INC. 17,852 254,000 0.48%
21 MILLENNIUM MANAGEMENT LLC 12,899 183,000 0.35%
22 NATIONAL PLANNING CORP 11,100 152,000 0.29%
23 Commonwealth Equity Services, Inc 10,259 146,000 0.28%
24 BANK OF AMERICA CORP /DE/ 2,700 38,000 0.07%
25 ROYAL BANK OF CANADA 1,835 26,000 0.05%
26 Genesis Wealth Advisors, LLC 1,075 15,279 0.03%
27 GUPTA WEALTH MANAGEMENT LLC 1,052 15,000 0.03%
28 CITIGROUP INC 939 13,000 0.02%
29 Kistler-Tiffany Companies, LLC 500 7,000 0.01%
30 MSI Financial Services Inc 415 6,000 0.01%
31 HIGHLAND CAPITAL MANAGEMENT LP 24 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.