Oxford Square director sells 5,000 shares

Oxford Square Capital Corp. director Steven P. Novak disclosed an open-market sale of 5,000 indirectly held shares and reported updated direct and indirect ownership positions.

Rhea-AI Filing Summary

Oxford Square Capital Corp. (OXSQ) director Steven P. Novak reported selling 5,000 shares of common stock on September 3, 2026 in an open-market or private transaction at $1.355 per share. The sold shares were held indirectly in his capacity as executor of his spouse’s estate. After this sale, he reports 15,000.7586 shares held indirectly as executor and 10,000 shares held directly. No transactions in this filing are reported as made under a Rule 10b5-1 trading plan.

Insider Trade Summary

Net Seller: 5,000 shares

Net Sell 2 txns

Insider NOVAK STEVEN P

Role Director

Sold 5,000 shs ($7K)

Type	Security	Shares	Price	Value
Sale	Common Stock, par value $0.01 per share	5,000	$1.355	$7K
holding	Common Stock, par value $0.01 per share	--	--	--

Holdings After Transaction: Common Stock, par value $0.01 per share — 15,000.7586 shares (Indirect, As executor of estate of spouse); Common Stock, par value $0.01 per share — 10,000 shares (Direct)

Key Figures

Shares sold: 5,000 shares Sale price per share: $1.355 per share Indirect holdings after transaction: 15,000.7586 shares +3 more

6 metrics

Shares sold 5,000 shares Common Stock sale reported for September 3, 2026

Sale price per share $1.355 per share Price for 5,000-share sale on September 3, 2026

Indirect holdings after transaction 15,000.7586 shares Indirectly held as executor of spouse’s estate after sale

Direct holdings after transaction 10,000 shares Directly owned common stock after reported transactions

Net shares sold 5,000 shares Net insider activity in this Form 4 (net-sell)

Rule 10b5-1 plan status No Rule 10b5-1 plan reported Affirmative checkbox indicates transactions not under a trading plan

Key Terms

indirect ownership, Rule 10b5-1 trading plan, executor

3 terms

indirect ownership financial

"The sold shares were held indirectly in his capacity as executor"

Rule 10b5-1 trading plan regulatory

"No transactions in this filing are reported as made under a Rule 10b5-1 trading plan"

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

executor other

"held indirectly in his capacity as executor of his spouse’s estate"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did OXSQ director Steven P. Novak report?

He reported a sale of 5,000 shares of Oxford Square Capital Corp. common stock on September 3, 2026, in an open-market or private transaction at $1.355 per share, from shares he held indirectly as executor of his spouse’s estate.

How many OXSQ shares does Steven P. Novak hold after this Form 4 transaction?

After the reported sale, Steven P. Novak reports holding 15,000.7586 shares indirectly as executor of his spouse’s estate and 10,000 shares directly of Oxford Square Capital Corp. common stock.

Was Steven P. Novak’s OXSQ stock sale made under a Rule 10b5-1 plan?

No. The filing’s Rule 10b5-1 checkbox is marked to show no transactions were made under a Rule 10b5-1 trading plan, and there is no footnote indicating a pre-arranged trading arrangement.

What type of ownership did the sold OXSQ shares represent for Steven P. Novak?

The 5,000 sold shares were reported as indirectly owned, with the nature of ownership described as “As executor of estate of spouse”, indicating they were held in that representative capacity.

Did Steven P. Novak report any changes to his directly owned OXSQ shares?

The Form 4 lists a direct ownership line of 10,000 shares of Oxford Square Capital Corp. common stock after the reported transactions, but does not indicate a new buy or sell transaction affecting that direct position on that date.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 09/14/2026 - 10:51 AM Accepted by SEC EDGAR 09/14/2026 - 10:51 AM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

NOVAK STEVEN P

(Last) (First) (Middle)

C/O OXFORD SQUARE CAPITAL CORP.

8 SOUND SHORE DRIVE, SUITE 255

(Street)

GREENWICH CONNECTICUT 06830

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Oxford Square Capital Corp. [ OXSQ ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/03/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock, par value $0.01 per share	09/03/2026		S		5,000	D	$1.355	15,000.7586	I	As executor of estate of spouse
Common Stock, par value $0.01 per share								10,000	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

	/s/ Steven P. Novak	09/14/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)