Oxford Square Capital amends equity distribution agreement with Ladenburg Thalmann to continue ATM offerings

Oxford Square Capital Corp.

Entered into Amendment No. 1 to Equity Distribution Agreement dated August 22, 2023.
Amendment allows continued sales of common stock under existing shelf registration statement (N-2).
Ladenburg Thalmann & Co. Inc. remains sales agent; no change in distribution terms disclosed.
Dechert LLP provided legal opinion on shares to be sold, filed as Exhibit 5.1.

item 1.01 item 9.01

Key facts

Extracted from this filing and checked against the source text.

Material Agreements SEC 8-K Item 1.01/1.02 confidence 0.9

Oxford Square Capital Corp. amended Amendment with Ladenburg Thalmann & Co. Inc. (effective 2023-08-22).

Action: amendment
Agreement: atm program
Counterparty: Ladenburg Thalmann & Co. Inc.
Effective: 2023-08-22

Exact text from the filing

On August 22, 2023, Oxford Square Capital Corp. (the “Company”) entered into an amendment no. 1 (the “Amendment”) to that certain equity distribution agreement, dated August 1, 2019 (as amended, the “Equity Distribution Agreement”), by and among the Company, Oxford Square Management, LLC, Oxford Funds, LLC and Ladenburg Thalmann & Co. Inc., as the sales agent.

View on SEC.gov

Browse all material agreements →

Oxford Square Capital Corp. filing history →

Source: SEC EDGAR

accession 0001213900-23-070103

view filing index on sec.gov

view primary document

Machine-readable: JSON · Markdown · Plain text

This headline and bullets were generated automatically by deepseek-v4-flash:cloud@v2 from the public filing. Read the source on SEC.gov before relying on any specific claim. Not investment advice. See methodology for how this pipeline works.