Oxford Lane Capital Corp. (OXLC) investor discloses 5.01% stake in preferred shares

Rhea-AI Filing Summary

Leroy Scott Frantz reports beneficial ownership of Oxford Lane Capital Corp. preferred stock. The filing shows ownership of 400,000 cumulative term preferred shares, representing 5.01% of the outstanding preferred class. Frantz has sole voting and sole dispositive power over all 400,000 shares, with no shared voting or dispositive authority disclosed.

Key Figures

Preferred shares beneficially owned: 400,000 shares Percent of preferred class: 5.01% Sole voting power: 400,000 shares +3 more

6 metrics

Preferred shares beneficially owned 400,000 shares Cumulative term preferred shares of Oxford Lane Capital Corp. beneficially owned by Leroy Scott Frantz

Percent of preferred class 5.01% Percentage of total cumulative term preferred shares outstanding represented by 400,000 shares

Sole voting power 400,000 shares Shares over which Leroy Scott Frantz has sole power to vote or direct the vote

Shared voting power 0 shares Shares over which Leroy Scott Frantz has shared power to vote or direct the vote

Sole dispositive power 400,000 shares Shares over which Leroy Scott Frantz has sole power to dispose or direct disposition

Shared dispositive power 0 shares Shares over which Leroy Scott Frantz has shared power to dispose or direct disposition

Key Terms

beneficially owned, sole voting power, sole dispositive power, cumulative term preferred shares, +1 more

5 terms

beneficially owned financial

"Item 4. | Ownership (a) | Amount beneficially owned: 400,000.00"

Beneficially owned describes securities or assets where a person has the economic rights and control—such as the right to receive dividends and to direct voting—even if legal title is held in another name. Think of it like having the keys and using a car that’s registered to someone else: you get the benefits and make decisions. Investors care because beneficial ownership reveals who truly controls value and voting power, affecting corporate decisions and takeover dynamics.

sole voting power financial

"5 | Sole Voting Power 400,000.00 6 | Shared Voting Power 0.00"

Sole voting power is the exclusive right to cast votes attached to a shareholder’s stock without needing approval from anyone else. Like holding the only remote control for a TV, it lets that holder decide corporate matters such as board members, mergers, and policy changes, making it important to investors because it concentrates control and can strongly influence a company’s strategy and the value of its shares.

sole dispositive power financial

"7 | Sole Dispositive Power 400,000.00 8 | Shared Dispositive Power 0.00"

Sole dispositive power is the exclusive legal authority to decide what happens to a security — for example, whether to sell, transfer, or retain shares — without needing anyone else’s permission. Investors care because it signals who truly controls the economic outcome of an investment: like holding the only key to a safe, the holder can realize gains or losses and may trigger regulatory reporting, insider rules, or influence over corporate ownership.

cumulative term preferred shares financial

"Comment for : *Reflects percentage of total cumulative term preferred shares outstanding."

percent of class financial

"Item 4. | Ownership (b) | Percent of class: 5.01%"

Percent of class is the portion of a specific category of securities—such as a company’s common shares, preferred shares, or a bond series—that takes part in or approves a corporate action (vote, consent, tender, etc.). Investors watch this number because it reveals how much support or opposition exists within that particular shareholder group; like counting how many members of a club back a proposal, it can determine whether a plan passes or how influence is distributed.

FAQ

What percentage of Oxford Lane Capital Corp. (OXLC) preferred stock does Leroy Scott Frantz own?

Leroy Scott Frantz beneficially owns 5.01% of Oxford Lane Capital Corp.’s cumulative term preferred shares. This percentage reflects his stake relative to the total preferred shares outstanding, as reported in the Schedule 13G/A amendment.

How many Oxford Lane Capital Corp. (OXLC) preferred shares does Leroy Scott Frantz hold?

Leroy Scott Frantz reports beneficial ownership of 400,000 cumulative term preferred shares of Oxford Lane Capital Corp. He has sole voting and sole dispositive power over all of these shares, with no shared authority disclosed.

Does Leroy Scott Frantz share voting power over OXLC preferred stock with anyone else?

No. The filing states that Leroy Scott Frantz has sole voting power over 400,000 shares and shared voting power over 0 shares of Oxford Lane Capital Corp. preferred stock, indicating full individual voting control of his reported stake.

What dispositive power does Leroy Scott Frantz have over his OXLC preferred shares?

Leroy Scott Frantz holds sole dispositive power over 400,000 shares and shared dispositive power over 0 shares of Oxford Lane Capital Corp. preferred stock, meaning he alone directs the disposition of his reported holdings.

Which class of Oxford Lane Capital Corp. (OXLC) securities is reported in this Schedule 13G/A?

The Schedule 13G/A relates to cumulative term preferred shares of Oxford Lane Capital Corp., identified as preferred stock with CUSIP 691543839. The reported 5.01% ownership specifically reflects this preferred class, not the company’s common stock.

Where is Oxford Lane Capital Corp., the issuer in this Schedule 13G/A, headquartered?

Oxford Lane Capital Corp. lists its principal executive offices at 8 Sound Shore Drive, Suite 255, Greenwich, CT 06830. This address identifies the issuer’s main office location associated with the reported preferred stock holdings.

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Available on EDGAR 08/14/2026 - 04:06 PM Accepted by SEC EDGAR 08/14/2026 - 04:02 PM Learn about SEC filing dates

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(Amendment No. 1)

Oxford Lane Capital Corp.

(Name of Issuer)

Preferred Stock

(Title of Class of Securities)

691543839

(CUSIP Number)

06/01/2026

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

Rule 13d-1(b)

Rule 13d-1(c)

Rule 13d-1(d)

schemaVersion:

SCHEDULE 13G

CUSIP Number(s): 691543839

1

Names of Reporting Persons

Leroy Scott Frantz

2

Check the appropriate box if a member of a Group (see instructions)

(a)
(b)

3

Sec Use Only

4

Citizenship or Place of Organization

UNITED STATES

Number of Shares Beneficially Owned by Each Reporting Person With:

5	Sole Voting Power 400,000.00
6	Shared Voting Power 0.00
7	Sole Dispositive Power 400,000.00
8	Shared Dispositive Power 0.00

9

Aggregate Amount Beneficially Owned by Each Reporting Person

400,000.00

10

Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

11

Percent of class represented by amount in row (9)

5.01 %

12

Type of Reporting Person (See Instructions)

IN

Comment for Type of Reporting Person: *Reflects percentage of total cumulative term preferred shares outstanding.

SCHEDULE 13G

Item 1.
(a)	Name of issuer: Oxford Lane Capital Corp.
(b)	Address of issuer's principal executive offices: 8 Sound Shore Drive, Suite 255, Greenwich, CT 06830
Item 2.
(a)	Name of person filing: Leroy Scott Frantz
(b)	Address or principal business office or, if none, residence: Haebler Capital 8 Sound Shore Drive Greenwich, CT 06830
(c)	Citizenship: United States of America
(d)	Title of class of securities: Preferred Stock
(e)	CUSIP No.: 691543839
Item 3.	If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
(a)	Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
(b)	Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
(c)	Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
(d)	Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
(e)	An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
(f)	An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
(g)	A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
(h)	A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i)	A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j)	A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
(k)	Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K).
Item 4.	Ownership
(a)	Amount beneficially owned: 400,000.00
(b)	Percent of class: 5.01%
(c)	Number of shares as to which the person has:
	(i) Sole power to vote or to direct the vote: 400,000.00
	(ii) Shared power to vote or to direct the vote: 0.00
	(iii) Sole power to dispose or to direct the disposition of: 400,000.00
	(iv) Shared power to dispose or to direct the disposition of: 0.00
Item 5.	Ownership of 5 Percent or Less of a Class.
	Not Applicable
Item 6.	Ownership of more than 5 Percent on Behalf of Another Person.
	Not Applicable
Item 7.	Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
	Not Applicable
Item 8.	Identification and Classification of Members of the Group.
	Not Applicable
Item 9.	Notice of Dissolution of Group.
	Not Applicable

Item 10.

Certifications:

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Leroy Scott Frantz

Signature:	/s/ Leroy Scott Frantz
Name/Title:	Leroy Scott Frantz
Date:	08/14/2026