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

Institutional Holders (2015Q4)
Portfolio Summary: 31 Institutional holders with a total value of $28,035,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Artemis Investment Management LLP 900,000 8,960,000 31.96%
2 SELZ CAPITAL LLC 849,259 8,459,000 30.17%
3 KELLEHER FINANCIAL ADVISORS 197,308 1,965,000 7.01%
4 UBS Group AG 126,215 1,257,000 4.48%
5 AMERICAN INTERNATIONAL GROUP, INC. 111,811 1,114,000 3.97%
6 BARD ASSOCIATES INC 87,849 875,000 3.12%
7 ACG Wealth 79,063 787,000 2.81%
8 MORGAN STANLEY 71,891 717,000 2.56%
9 Cetera Advisor Networks LLC 55,800 553,000 1.97%
10 CSS LLC/IL 47,941 477,000 1.70%
11 BAIRD FINANCIAL GROUP, INC. 47,591 474,000 1.69%
12 LPL Financial LLC 42,301 420,000 1.50%
13 LADENBURG THALMANN FINANCIAL SERVICES INC. 34,019 338,000 1.21%
14 WELLS FARGO & COMPANY/MN 20,904 208,000 0.74%
15 MILLENNIUM MANAGEMENT LLC 19,503 194,000 0.69%
16 SHEAFF BROCK INVESTMENT ADVISORS, LLC 18,455 184,000 0.66%
17 Geneva Advisors, LLC 18,150 181,000 0.65%
18 Virtu KCG Holdings LLC 15,134 151,000 0.54%
19 DEUTSCHE BANK AG\ 13,359 132,000 0.47%
20 Waldron Private Wealth LLC 11,100 110,000 0.39%
21 NATIONAL PLANNING CORP 12,426 106,000 0.38%
22 MSI Financial Services Inc 10,610 106,000 0.38%
23 BANK OF AMERICA CORP /DE/ 10,530 105,000 0.37%
24 IFP ADVISORS, INC 6,888 69,000 0.25%
25 ROYAL BANK OF CANADA 3,435 34,000 0.12%
26 Creative Planning 3,122 31,000 0.11%
27 GUPTA WEALTH MANAGEMENT LLC 1,052 10,000 0.04%
28 BARCLAYS PLC 668 6,000 0.02%
29 MYCIO WEALTH PARTNERS, LLC 551 5,000 0.02%
30 FIRST PREMIER BANK 500 5,000 0.02%
31 PENSERRA CAPITAL MANAGEMENT LLC 184 2,000 0.01%

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.