SCHEDULE: Leroy Scott Frantz Discloses Oxford Lane Capital Stake

Leroy Scott Frantz has filed a Schedule 13G, reporting beneficial ownership of 800,000 shares of Oxford Lane Capital Corp. Preferred Stock, representing 7.1% of the class.

Summary

• Leroy Scott Frantz has filed a Schedule 13G, indicating beneficial ownership of 800,000 shares of Oxford Lane Capital Corp. Preferred Stock.
• This holding represents 7.1% of the total cumulative term preferred shares outstanding as of March 20, 2026.
• Frantz possesses sole voting power and sole dispositive power over these shares.
• The filing is made under Rule 13d-1(b) of the Securities Exchange Act of 1934.
• The filing date is April 7, 2026, with the event date requiring the filing being March 20, 2026.

Sentiment

Score: 5

Explanation: StockSavvy.ai views this filing as neutral, as it is a routine disclosure of beneficial ownership and does not contain operational or financial performance updates.

Positives

• Leroy Scott Frantz has a significant stake in Oxford Lane Capital Corp., holding 7.1% of the preferred stock.
• The reporting person has sole voting and dispositive power, indicating clear control over their investment.

Risks

• The filing does not detail specific risks associated with the investment in Oxford Lane Capital Corp. Preferred Stock.
• Potential risks could include market volatility affecting preferred stock value, changes in Oxford Lane Capital Corp.'s financial performance, or shifts in interest rate environments impacting preferred stock yields.

Future Outlook

The filing does not contain any forward-looking statements or guidance regarding future performance or strategy of Oxford Lane Capital Corp. or Leroy Scott Frantz's investment.

Industry Context

StockSavvy.ai notes that Schedule 13G filings are common for institutional investors and significant individual shareholders to disclose holdings exceeding 5% of a class of securities. This filing indicates Leroy Scott Frantz is a substantial holder in Oxford Lane Capital Corp., a business development company (BDC) that typically invests in debt and equity of middle-market companies.

Stakeholder Impact

• Shareholders of Oxford Lane Capital Corp.: The disclosure confirms a significant holder of preferred stock, which could influence market perception and potentially voting dynamics if the preferred stock carries voting rights.
• Creditors and Bondholders: A stable or increasing stake by a significant investor might be viewed positively, suggesting confidence in the company's long-term viability.

Next Steps

• Leroy Scott Frantz is required to file amendments to this Schedule 13G if there are any material changes to the beneficial ownership reported.

Key Dates

Keywords

Oxford Lane Capital Corp., Schedule 13G, Preferred Stock, Leroy Scott Frantz, Beneficial Ownership, SEC Filing, Investment, Greenwich, CT