Dark
Light
System
Security
OXFORD LANE CAP CORP
OXFORD LANE CAP CORP. Institutional holdings reported to the SEC.

Institutional Holders (2015Q3)
Portfolio Summary: 28 Institutional holders with a total value of $32,317,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Artemis Investment Management LLP 900,000 10,287,000 31.83%
2 SELZ CAPITAL LLC 881,633 10,059,000 31.13%
3 KELLEHER FINANCIAL ADVISORS 209,358 2,388,000 7.39%
4 UBS Group AG 145,357 1,659,000 5.13%
5 BARD ASSOCIATES INC 97,459 1,112,000 3.44%
6 AMERICAN INTERNATIONAL GROUP, INC. 95,916 1,094,000 3.39%
7 ACG Wealth 83,961 958,000 2.96%
8 CSS LLC/IL 61,495 702,000 2.17%
9 Cetera Advisor Networks LLC 53,680 615,000 1.90%
10 BAIRD FINANCIAL GROUP, INC. 52,762 602,000 1.86%
11 Virtu KCG Holdings LLC 42,680 487,000 1.51%
12 WELLS FARGO & COMPANY/MN 32,555 372,000 1.15%
13 MORGAN STANLEY 23,479 268,000 0.83%
14 LPL Financial LLC 22,400 243,000 0.75%
15 DEUTSCHE BANK AG\ 21,109 239,000 0.74%
16 MILLENNIUM MANAGEMENT LLC 18,675 213,000 0.66%
17 Geneva Advisors, LLC 18,150 207,000 0.64%
18 LADENBURG THALMANN FINANCIAL SERVICES INC. 17,600 201,000 0.62%
19 NATIONAL PLANNING CORP 11,100 131,000 0.41%
20 BANK OF AMERICA CORP /DE/ 10,830 123,000 0.38%
21 Nine Chapters Capital Management LLC 10,700 122,000 0.38%
22 B. Riley Wealth Advisors, Inc. 10,129 116,000 0.36%
23 ROYAL BANK OF CANADA 3,435 39,000 0.12%
24 JFS WEALTH ADVISORS, LLC 2,500 29,000 0.09%
25 Tower Research Capital LLC (TRC) 2,468 28,000 0.09%
26 GUPTA WEALTH MANAGEMENT LLC 1,052 12,000 0.04%
27 MYCIO WEALTH PARTNERS, LLC 525 6,000 0.02%
28 MSI Financial Services Inc 415 5,000 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.