OXFORD SQUARE CAPITAL - Key Persons
Job Titles:
- Marketing Administrative Assistant
Job Titles:
- Senior Accountant
- Senior Accountant at Oxford Funds
Mr. Hardenberg is a Senior Accountant at Oxford Funds, LLC. Previously, Mr. Hardenberg worked at KPMG US LLP within the Audit Metro group, focusing primarily on publicly traded companies. Mr. Hardenberg received his Bachelor of Science in Accounting and his Master of Science in Accounting from Quinnipiac University. He is a licensed Certified Public Accountant in the State of New Jersey.
Job Titles:
- Vice President
- Vice President of Oxford Funds
Mr. Aleksa is a Vice President of Oxford Funds, LLC. Previously, Mr. Aleksa was a Senior Analyst in the Capital Markets group at CBA Commercial. Mr. Aleksa received a B.A. in Accounting and Finance from Franklin & Marshall College. Mr. Aleksa is also a CFA Charterholder.
Mr. Rubin is the Chief Financial Officer of Oxford Square Capital Corp. and holds the same position at Oxford Lane Capital Corp. He is the former Assistant Treasurer & Director of Financial Planning of the New York Mercantile Exchange, Inc., the largest physical commodities futures exchange in the world and has extensive experience with Sarbanes-Oxley, treasury operations and SEC reporting requirements. From 1989 to 1995, Mr. Rubin was a manager in financial operations for the American Stock Exchange, where he was primarily responsible for budgeting matters. Mr. Rubin began his career in commercial banking as an auditor primarily of the commercial lending and municipal bond dealer areas. Mr. Rubin received his BBA in Accounting from Hofstra University where he also obtained his Masters of Business Administration in Finance.
Job Titles:
- Senior Accounting Manager of Oxford Funds
Mr. Rothman is a Senior Accounting Manager of Oxford Funds, LLC. Previously, Mr. Rothman worked as a Manager in the Financial Services Assurance group at Ernst & Young U.S. LLP, where he served clients in the alternative investments industry, focusing primarily on private equity institutions and hedge funds. Mr. Rothman received his Bachelor of Science in Accounting from Pace University and is a licensed Certified Public Accountant in the State of New York.
Mr. Cummins has served as Chief Compliance Officer pursuant to an agreement between Oxford Funds and ACA Group ("ACA") and, prior to their merger, Foreside Consulting Service, LLC ("Foreside"), compliance consulting firms. Mr. Cummins currently serves as the Chief Compliance Officer of Oxford Funds, LLC, Oxford Park Income Fund, Inc., Oxford Park Management, LLC, Oxford Square Capital Corp., Oxford Square Management, LLC, Oxford Lane Capital Corp., Oxford Lane Management, LLC, and Oxford Gate Management, LLC. Mr. Cummins has been a director of ACA/Foreside since June 2014 and in that capacity, he also serves as the Chief Compliance Officer to three unaffiliated business development companies. Prior to joining ACA/Foreside, Mr. Cummins was a consultant for Barclays Capital Inc. from 2012 to 2013, where he participated in numerous compliance projects on pricing and valuation, compliance assessments, and compliance policy and procedure development. Prior to his consulting work at Barclays, Mr. Cummins was from 2010 to 2011 the COO and the CCO for BroadArch Capital and from 2009 to 2011 the CFO and CCO to its predecessor New Castle Funds, a long-short equity asset manager. Prior to that, Mr. Cummins spent 25 years at Bear Stearns Asset Management, where he was a Managing Director and held senior compliance, controllers, and operations risk positions. Mr. Cummins graduated with a B.A. in Mathematics from Fordham University.
Job Titles:
- Principal
- Principal of Oxford Funds
Mr. Banafsheha is a Principal of Oxford Funds, LLC. Previously, Mr. Banafsheha was a Vice President in the Finance division of Goldman Sachs. Prior to joining Goldman Sachs, he was a Senior Consultant at Deloitte. Mr. Banafsheha received a B.S. in Business Administration with a concentration in Finance from the State University of New York, University at Albany, where he graduated magna cum laude, and an M.B.A. from the MIT Sloan School of Management. Mr. Banafsheha has also attained the Chartered Alternative Investment Analyst (CAIA) designation.
Job Titles:
- Senior Accountant
- Senior Accountant / Operations and Compliance
- Senior Accountant at Oxford Funds
Mr. Damon is a Senior Accountant at Oxford Funds, LLC. Previously, Mr. Damon worked at KPMG US LLP within the Financial Services Audit group, focusing primarily on asset management and alternative investment companies. Mr. Damon received his Bachelor of Science in Management and his Master of Accounting from Tulane University.
Job Titles:
- Senior Accounting Manager of Oxford Funds
Mr. Faenza is a Senior Accounting Manager of Oxford Funds, LLC. Previously, Mr. Faenza worked at RSM US LLP within the Financial Services Assurance group, focusing on private equity institutions and hedge funds. Mr. Faenza received his Bachelor of Science in Accounting and his Master of Science in Accounting from the University of Connecticut and is a licensed Certified Public Accountant in the State of Connecticut.
Joe Kupka - Managing Director
Job Titles:
- Managing Director
- Managing Director of Oxford Funds
Mr. Kupka is a Managing Director of Oxford Funds, LLC. Previously, he worked as a risk analyst for First Equity Card Corporation. Mr. Kupka has a B.S. in Mechanical Engineering from the University of Pennsylvania, where he was the Abel and Bernstein Class of 1945 Scholarship Recipient.
Job Titles:
- Chief Executive Officer
- Member of the Board
Mr. Cohen is the Chief Executive Officer of Oxford Square Capital Corp. and is also the Chief Executive Officer of Oxford Lane Capital Corp. Previously, Mr. Cohen managed technology research groups at Wit SoundView, Merrill Lynch & Co., UBS Securities and Salomon Smith Barney. Mr. Cohen has more than 15 years of experience in technology-related equity research and was named to the Institutional Investor "All-American" research team in 1996, 1997 and 1998. Mr. Cohen received a Bachelor of Arts degree in Economics from Connecticut College and an M.B.A. from Columbia University.
Job Titles:
- Managing Director
- Portfolio Manager
- Managing Director and Portfolio Manager of Oxford Funds
Mr. Yonon is a Managing Director and Portfolio Manager of Oxford Funds, LLC. He has been managing the firm's loan portfolio since 2016. Previously, Mr. Yonon was an Associate at Deutsche Bank Securities and prior to that he was an Analyst at Blackstone Mezzanine Partners. Before joining Blackstone, he worked as an Analyst at Merrill Lynch in the Mergers & Acquisitions group. Mr. Yonon received a B.S. in Economics with concentrations in Finance and Accounting from the Wharton School at the University of Pennsylvania, where he graduated magna cum laude, and an M.B.A. from the Harvard Business School.
Job Titles:
- Director of Operations
- Director of Operations at Oxford Funds
Ms. Paul is the Director of Operations at Oxford Funds, LLC. She is responsible for trade settlement operations, middle office functions and compliance. Ms. Paul received her B.A. from Gordon College.
Job Titles:
- Member of the Board
- President
Mr. Rosenthal is the President of Oxford Square Capital Corp. and is also the President of Oxford Lane Capital Corp. Previously, Mr. Rosenthal was an attorney at the law firm of Shearman & Sterling LLP. Mr. Rosenthal is a board member of Oxford Lane Capital Corp. and the National Museum of Mathematics. He received a Bachelor of Science degree magna cum laude from the Wharton School of the University of Pennsylvania, a J.D. from Columbia University Law School, where he was a Harlan Fiske Stone Scholar, and a LL.M. (Taxation) from New York University School of Law.
Mr. Ball is a Middle Office Associate of Oxford Funds, LLC. Previously, Mr. Ball was an Assistant Vice President on the Operations team at Anchorage Capital Group, LLC. Mr. Ball received a B.A. in Economics cum laude from Villanova University.
Job Titles:
- Head of Information Technology at Oxford Funds
Sergio Giudici is Head of Information Technology at Oxford Funds, LLC. Previously, he worked at Axiom Technology Group as a Network and Structure Engineer. Before joining Axiom, Mr. Giudici worked as a Network and Virtual Deployment Engineer at New Vision Systems and as a Technology and Engineering consultant and Head of Information Technology at National Tree Company. He received a B.A. in Computer Science from Full Sail University and a B.A. in Hardware and Software Management from ORT University in Uruguay.
Job Titles:
- Accounting Manager
- Accounting Manager at Oxford Funds
Mr. Longo is an Accounting Manager at Oxford Funds, LLC. Previously, Mr. Longo worked at Ernst & Young US LLP within the Financial Services Assurance group, focusing primarily on banking and capital market institutions. Mr. Longo received his Bachelor of Science in Accounting and his Master of Science in Accounting from Fairfield University and is a licensed Certified Public Accountant in the State of Connecticut.
Job Titles:
- Associate
- Finance
- Associate of Oxford Funds
Mr. Vallie is an Associate of Oxford Funds, LLC. Previously, Mr. Vallie was an Operations Associate on the Operations team at Chilton Investment Company. He received a B.A. in Economics from Marist College.
U.S. CLOs are financing vehicles where securitization technology is applied to a diversified portfolio of primarily senior secured first lien leveraged loans issued by U.S. companies. The proceeds from the issuance of the CLO debt and equity tranches are used to buy a diversified portfolio of loan assets which are then managed by the CLO manager. Generally, CLOs benefit from structural enhancements and protections including:
Job Titles:
- Controller
- Vice President, Finance
Mr. Gurrera is the Vice President, Finance of Oxford Square Capital Corp. and Controller and Vice President, Finance of Oxford Lane Capital Corp. He was formerly an Accountant at Ellington Management Group, LLC, a hedge fund specializing in asset-backed securities. From 2002 to 2006, Mr. Gurrera was a Senior Auditor at Ernst & Young LLP focusing on hedge funds, broker dealers and private equity institutions. Mr. Gurrera received his BBA in Accounting from the Hagan School of Business at Iona College and is a licensed Certified Public Accountant in the State of New York.