Attached files
file | filename |
---|---|
EX-1.1 - EXHIBIT 1.1 - Oxford Square Capital Corp. | s132063_ex1-1.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
Current Report Pursuant to Section 13 or 15(d) of
the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
May 14, 2021 (May 13, 2021)
OXFORD SQUARE CAPITAL CORP.
(Exact name of registrant as specified in its charter)
Maryland | 000-50398 | 20-0188736 | ||
(State or other jurisdiction of incorporation) | (Commission File Number) | (I.R.S. Employer Identification No.) |
8 Sound Shore Drive, Suite 255
Greenwich, CT 06830
(Address of principal executive offices and zip code)
Registrant’s telephone number, including area code: (203) 983-5275
Check the appropriate box below if the Form 8-K is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
Title of each class | Trading Symbol(s) | Name of each exchange on which registered | ||
Common stock, par value $0.01 per share | OXSQ | NASDAQ Global Select Market LLC | ||
6.50% Notes due 2024 | OXSQL | NASDAQ Global Select Market LLC | ||
6.25% Notes due 2026 | OXSQZ | NASDAQ Global Select Market LLC |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 1.01. | Entry into a Material Definitive Agreement. |
On May 13, 2021, Oxford Square Capital Corp. (the “Company”) entered into an underwriting agreement (the “Underwriting Agreement”) between the Company and Ladenburg Thalmann & Co. Inc., as representative of the several underwriters, in connection with the issuance and sale of $70.0 million aggregate principal amount of the Company’s 5.50% Notes due 2028 (the “Offering”), subject to the potential exercise of the underwriters’ option to purchase up to an additional $10.5 million total aggregate principal amount of notes. The closing of the Offering is expected to occur on May 20, 2021, subject to customary closing conditions.
The Offering was made pursuant to the Company’s effective shelf registration statement on Form N-2 (File No. 333-229337) previously filed with the Securities and Exchange Commission, as supplemented by a preliminary prospectus supplement dated May 13, 2021 and a final prospectus supplement dated May 13, 2021. This Current Report on Form 8-K shall not constitute an offer to sell or a solicitation of an offer to buy any securities, nor shall there be any sale of these securities in any state or jurisdiction in which such an offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state or other jurisdiction.
The description above is only a summary of the material provisions of the Underwriting Agreement and is qualified in its entirety by reference to a copy of the Underwriting Agreement, which is filed as Exhibit 1.1 to this Current Report on Form 8-K and incorporated by reference herein.
Item 9.01. | Financial Statements and Exhibits. |
(d) Exhibits
EXHIBIT NUMBER |
DESCRIPTION | |
1.1 | Underwriting Agreement, dated May 13, 2021, between the Company and Ladenburg Thalmann & Co. Inc., as representative of the underwriters named in Schedule I thereto. |
1 |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Date: May 14, 2021 | OXFORD SQUARE CAPITAL CORP. | |
By: | /s/ Saul B. Rosenthal | |
Saul B. Rosenthal | ||
President |
2 |