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

Institutional Holders (2016Q4)
Portfolio Summary: 25 Institutional holders with a total value of $24,408,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Artemis Investment Management LLP 852,336 8,971,000 36.75%
2 SELZ CAPITAL LLC 791,088 8,314,000 34.06%
3 KELLEHER FINANCIAL ADVISORS 170,281 1,789,000 7.33%
4 BARD ASSOCIATES INC 79,039 831,000 3.40%
5 ADVISOR GROUP, INC. 72,676 764,000 3.13%
6 Cetera Advisor Networks LLC 70,293 736,000 3.02%
7 BAIRD FINANCIAL GROUP, INC. 57,019 599,000 2.45%
8 LADENBURG THALMANN FINANCIAL SERVICES INC. 37,019 389,000 1.59%
9 LPL Financial LLC 25,973 277,000 1.13%
10 MORGAN STANLEY 25,110 265,000 1.09%
11 WELLS FARGO & COMPANY/MN 21,117 222,000 0.91%
12 MILLENNIUM MANAGEMENT LLC 20,362 214,000 0.88%
13 IFP ADVISORS, INC 18,388 193,000 0.79%
14 INGALLS & SNYDER LLC 17,839 187,000 0.77%
15 NATIONAL PLANNING CORP 11,100 123,000 0.50%
16 BANK OF AMERICA CORP /DE/ 9,866 104,000 0.43%
17 UBS Group AG 9,157 96,000 0.39%
18 MSI Financial Services Inc 8,489 89,000 0.36%
19 ACROSPIRE INVESTMENT MANAGEMENT LLC 6,804 72,000 0.29%
20 Creative Planning 6,130 64,000 0.26%
21 PRELUDE CAPITAL MANAGEMENT, LLC 4,800 50,000 0.20%
22 DEUTSCHE BANK AG\ 3,236 34,000 0.14%
23 ROYAL BANK OF CANADA 1,935 20,000 0.08%
24 Tower Research Capital LLC (TRC) 522 5,000 0.02%
25 BARCLAYS PLC 7 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.