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

Institutional Holders (2016Q3)
Portfolio Summary: 23 Institutional holders with a total value of $27,604,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 SELZ CAPITAL LLC 968,632 10,142,000 36.74%
2 Artemis Investment Management LLP 900,000 9,414,000 34.10%
3 KELLEHER FINANCIAL ADVISORS 195,158 2,043,000 7.40%
4 Cetera Advisor Networks LLC 134,496 1,408,000 5.10%
5 ADVISOR GROUP, INC. 98,496 1,031,000 3.73%
6 BARD ASSOCIATES INC 82,289 862,000 3.12%
7 BAIRD FINANCIAL GROUP, INC. 57,055 597,000 2.16%
8 LADENBURG THALMANN FINANCIAL SERVICES INC. 37,019 388,000 1.41%
9 MORGAN STANLEY 22,794 239,000 0.87%
10 WELLS FARGO & COMPANY/MN 21,539 226,000 0.82%
11 LPL Financial LLC 20,948 223,000 0.81%
12 INGALLS & SNYDER LLC 17,839 187,000 0.68%
13 GSA CAPITAL PARTNERS LLP 12,502 131,000 0.47%
14 NATIONAL PLANNING CORP 11,100 114,000 0.41%
15 BANK OF AMERICA CORP /DE/ 10,711 112,000 0.41%
16 MILLENNIUM MANAGEMENT LLC 10,676 112,000 0.41%
17 UBS Group AG 10,081 106,000 0.38%
18 MSI Financial Services Inc 9,131 96,000 0.35%
19 IFP ADVISORS, INC 7,442 78,000 0.28%
20 Creative Planning 3,500 37,000 0.13%
21 DEUTSCHE BANK AG\ 3,236 33,000 0.12%
22 ROYAL BANK OF CANADA 1,935 20,000 0.07%
23 FIRST PREMIER BANK 500 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.