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

Institutional Holders (2016Q2)
Portfolio Summary: 27 Institutional holders with a total value of $21,569,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 SELZ CAPITAL LLC 968,632 8,030,000 37.23%
2 Artemis Investment Management LLP 900,000 7,461,000 34.59%
3 KELLEHER FINANCIAL ADVISORS 195,608 1,621,000 7.52%
4 ADVISOR GROUP, INC. 99,786 827,000 3.83%
5 BARD ASSOCIATES INC 83,599 693,000 3.21%
6 Cetera Advisor Networks LLC 53,630 447,000 2.07%
7 BAIRD FINANCIAL GROUP, INC. 53,496 443,000 2.05%
8 LADENBURG THALMANN FINANCIAL SERVICES INC. 37,019 307,000 1.42%
9 LPL Financial LLC 25,527 226,000 1.05%
10 CSS LLC/IL 23,555 195,000 0.90%
11 WELLS FARGO & COMPANY/MN 21,898 181,000 0.84%
12 DEUTSCHE BANK AG\ 19,832 162,000 0.75%
13 Geneva Advisors, LLC 18,150 150,000 0.70%
14 MORGAN STANLEY 17,985 149,000 0.69%
15 INGALLS & SNYDER LLC 17,839 148,000 0.69%
16 GSA CAPITAL PARTNERS LLP 16,502 137,000 0.64%
17 NATIONAL PLANNING CORP 11,100 105,000 0.49%
18 BANK OF AMERICA CORP /DE/ 10,530 88,000 0.41%
19 MSI Financial Services Inc 9,843 82,000 0.38%
20 UBS Group AG 5,033 42,000 0.19%
21 IFP ADVISORS, INC 2,722 23,000 0.11%
22 Creative Planning 2,300 19,000 0.09%
23 ROYAL BANK OF CANADA 1,935 16,000 0.07%
24 Tower Research Capital LLC (TRC) 764 7,000 0.03%
25 MYCIO WEALTH PARTNERS, LLC 627 5,000 0.02%
26 FIRST PREMIER BANK 500 4,000 0.02%
27 PRELUDE CAPITAL MANAGEMENT, LLC 100 1,000 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.