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

Institutional Holders (2017Q1)
Portfolio Summary: 32 Institutional holders with a total value of $13,186,571.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 SELZ CAPITAL LLC 491,733 5,473,000 41.50%
2 MORGAN STANLEY 87,010 969,000 7.35%
3 BARD ASSOCIATES INC 77,689 865,000 6.56%
4 Cetera Advisor Networks LLC 72,097 800,000 6.07%
5 ADVISOR GROUP, INC. 71,473 795,000 6.03%
6 BAIRD FINANCIAL GROUP, INC. 58,259 648,000 4.91%
7 LADENBURG THALMANN FINANCIAL SERVICES INC. 47,019 521,000 3.95%
8 Nine Chapters Capital Management LLC 45,400 505,000 3.83%
9 LPL Financial LLC 39,353 435,000 3.30%
10 PRELUDE CAPITAL MANAGEMENT, LLC 28,400 316,000 2.40%
11 CITADEL ADVISORS LLC 20,565 229,000 1.74%
12 IFP ADVISORS, INC 17,805 198,000 1.50%
13 BANK OF AMERICA CORP /DE/ 12,770 142,000 1.08%
14 EXANE DERIVATIVES 12,380 137,769 1.04%
15 Virtu KCG Holdings LLC 11,574 129,000 0.98%
16 MILLENNIUM MANAGEMENT LLC 11,592 129,000 0.98%
17 GSA CAPITAL PARTNERS LLP 11,200 125,000 0.95%
18 NATIONAL PLANNING CORP 11,100 123,000 0.93%
19 Creative Planning 10,431 116,000 0.88%
20 INGALLS & SNYDER LLC 10,268 114,000 0.86%
21 WELLS FARGO & COMPANY/MN 10,014 111,000 0.84%
22 UBS Group AG 9,157 102,000 0.77%
23 Winslow, Evans & Crocker, Inc. 4,206 46,802 0.35%
24 ACROSPIRE INVESTMENT MANAGEMENT LLC 3,604 40,000 0.30%
25 DEUTSCHE BANK AG\ 3,336 37,000 0.28%
26 Thomas J. Herzfeld Advisors, Inc. 3,000 33,000 0.25%
27 ROYAL BANK OF CANADA 1,935 22,000 0.17%
28 First Horizon Advisors, Inc. 1,000 11,000 0.08%
29 Edge Wealth Management LLC 1,000 11,000 0.08%
30 PENSERRA CAPITAL MANAGEMENT LLC 244 2,000 0.02%
31 BARCLAYS PLC 82 1,000 0.01%
32 Tower Research Capital LLC (TRC) 37 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.