Statistik Asas
| LEI | 549300G3KO4JNQQD7Z72 |
| CIK | 1495222 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Oxford Lane Capital Corp. - Preferred Security
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| September 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| September 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| June 11, 2025 |
Oxford Lane Capital Corp. $2,000,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-283109 PROSPECTUS SUPPLEMENT (To Prospectus dated November 8, 2024, as supplemented by the Prospectus Supplement dated November 12, 2024, by the Prospectus Supplement dated January 28, 2025 and by the Prospectus Supplement dated May 21, 2025) June 11, 2025 Oxford Lane Capital Corp. $2,000,000,000 Common Stock This prospectus supplement contains informa |
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| May 21, 2025 |
Oxford Lane Capital Corp. $2,000,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-283109 PROSPECTUS SUPPLEMENT (To Prospectus dated November 8, 2024, as supplemented by the Prospectus Supplement dated November 12, 2024 and by the Prospectus Supplement dated January 28, 2025) May 21, 2025 Oxford Lane Capital Corp. $2,000,000,000 Common Stock This prospectus supplement contains information which amends, supplements and modifies certai |
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| March 12, 2025 |
Oxford Lane Capital Corp. $2,000,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-283109 PROSPECTUS SUPPLEMENT (To Prospectus dated November 8, 2024, as supplemented by the Prospectus Supplement dated November 12, 2024 and by the Prospectus Supplement dated January 28, 2025) March 12, 2025 Oxford Lane Capital Corp. $2,000,000,000 Common Stock This prospectus supplement contains information which amends, supplements and modifies cert |
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| February 27, 2025 |
As filed with the Securities and Exchange Commission on February 27, 2025 As filed with the Securities and Exchange Commission on February 27, 2025 Securities Act File No. |
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| February 27, 2025 |
$165,000,000 Principal Amount OXFORD LANE CAPITAL CORP. 7.95% NOTES DUE 2032 UNDERWRITING AGREEMENT Exhibit (h)(7) Execution Version $165,000,000 Principal Amount OXFORD LANE CAPITAL CORP. |
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| February 27, 2025 |
Exhibit (l)(3) 1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| February 27, 2025 |
Exhibit (d)(13) Execution Version FOURTH SUPPLEMENTAL INDENTURE between OXFORD LANE CAPITAL CORP. |
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| February 27, 2025 |
As filed with the Securities and Exchange Commission on February 27, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 21, 2025 |
Oxford Lane Capital Corp. 7.95% Notes due 2032 Filed pursuant to Rule 424(b)(2) File No. 333-283109 PROSPECTUS SUPPLEMENT (to Prospectus dated November 8, 2024) Oxford Lane Capital Corp. $165,000,000 7.95% Notes due 2032 We are a closed-end management investment company that has registered as an investment company under the Investment Company Act of 1940, or the “1940 Act.” Our investment objective is to maximize our portfolio’s risk-adjusted |
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| February 21, 2025 |
Ex-Filing Fees CALCULATION OF FILING FEE TABLES N-2 Oxford Lane Capital Corp. Table 1: Newly Registered and Carry Forward Securities Line Item Type Security Type Security Class Title Notes Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Newly Registered Securities Fees to be Paid Debt 7.95% Notes d |
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| February 20, 2025 |
Oxford Lane Capital Corp. 7.95% Notes Due 2032 Pricing Term Sheet February 19, 2025 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated February 19, 2025 Relating to Preliminary Prospectus Supplement dated February 19, 2025 and Prospectus dated November 8, 2024 Registration No. |
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| February 19, 2025 |
PRELIMINARY PROSPECTUS SUPPLEMENT, SUBJECT TO COMPLETION, DATED FEBRUARY 19, 2025 The information in this preliminary prospectus supplement is not complete and may be changed. |
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| February 11, 2025 |
Oxford Lane Capital Corp. $2,000,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-283109 PROSPECTUS SUPPLEMENT (To Prospectus dated November 8, 2024, as supplemented by the Prospectus Supplement dated November 12, 2024 and by the Prospectus Supplement dated January 28, 2025) February 11, 2025 Oxford Lane Capital Corp. $2,000,000,000 Common Stock This prospectus supplement contains information which amends, supplements and modifies c |
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| January 28, 2025 |
Oxford Lane Capital Corp. $2,000,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-283109 PROSPECTUS SUPPLEMENT (To Prospectus dated November 8, 2024, as supplemented by the Prospectus Supplement dated November 12, 2024) January 28, 2025 Oxford Lane Capital Corp. $2,000,000,000 Common Stock This prospectus supplement contains information which amends, supplements and modifies certain information contained in the prospectus dated Nove |
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| December 11, 2024 |
Oxford Lane Capital Corp. $2,000,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-283109 PROSPECTUS SUPPLEMENT (To Prospectus dated November 8, 2024, as supplemented by the Prospectus Supplement dated November 12, 2024) December 11, 2024 Oxford Lane Capital Corp. $2,000,000,000 Common Stock This prospectus supplement contains information which amends, supplements and modifies certain information contained in the prospectus dated Nov |
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| November 14, 2024 |
SC 13D 1 tm2428550d1sc13d.htm SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. )* Oxford Lane Capital Corp. (Name of Issuer) Preferred Shares (Title of Class of Securities) 691543 607 691543 805 6915 |
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| November 13, 2024 |
SC 13G/A 1 karpus-sch13g18886.htm KARPUS INVESTMENT MGT / OXFORD LANE CAPITAL - SCHEDULE 13G/A(#2) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) * Oxford Lane Capital Corp. (Name of Issuer) Preferred (Title of Class of Securities) 691543870 691543805 691543607 (CUSIP Number) September 30, 2024 (Date |
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| November 12, 2024 |
Ex-Filing Fees CALCULATION OF FILING FEE TABLES 424B2 Oxford Lane Capital Corp. Table 1: Newly Registered and Carry Forward Securities Line Item Type Security Type Security Class Title Notes Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Newly Registered Securities Fees to be Paid Equity Common St |
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| November 12, 2024 |
Oxford Lane Capital Corp. Common Stock PROSPECTUS SUPPLEMENT (to Prospectus dated November 8, 2024) Filed pursuant to Rule 424(b)(2) File No. |
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| November 12, 2024 |
Exhibit (h)(6) OXFORD LANE CAPITAL CORP. (a Maryland corporation) AMENDMENT NO. 3 TO AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT November 12, 2024 Lucid Capital Markets, LLC 570 Lexington Avenue, 40th Floor New York, New York 10022 Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue, 4th Floor New York, New York 10019 Ladies and Gentlemen: This Amendment No. 3, dated November 12, 2024 (the “Amen |
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| November 12, 2024 |
Exhibit (l)(2) 1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| November 12, 2024 |
As filed with the Securities and Exchange Commission on November 12, 2024 As filed with the Securities and Exchange Commission on November 12, 2024 Securities Act File No. |
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| November 8, 2024 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit (n)(1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in the Registration Statement on Form N-2 of Oxford Lane Capital Corp. |
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| November 8, 2024 |
Exhibit (l)(1) 1900 K Street NW Washington, DC 20006 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| November 8, 2024 |
Exhibit (d)(4) securities and exchange commission Washington, D.C. 20549 FORM T-1 Statement of Eligibility Under The Trust Indenture Act of 1939 of a Corporation Designated to Act as Trustee Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) ☐ U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 91-1821036 I.R.S. |
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| November 8, 2024 |
Ex-Filing Fees CALCULATION OF FILING FEE TABLES N-2 Oxford Lane Capital Corp. Table 1: Newly Registered and Carry Forward Securities Line Item Type Security Type Security Class Title Notes Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Newly Registered Securities Fees to be Paid Equity Common Stoc |
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| November 8, 2024 |
As filed with the Securities and Exchange Commission on November 8, 2024 As filed with the Securities and Exchange Commission on November 8, 2024 Securities Act File No. |
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| November 8, 2024 |
ARTICLES OF Amendment OXFORD LANE CAPITAL CORP. Exhibit (a)(3) ARTICLES OF Amendment OF OXFORD LANE CAPITAL CORP. Oxford Lane Capital Corp., a Maryland corporation (the “Corporation”), having its principal office in the State of Maryland, hereby certifies to the State Department of Assessments and Taxation of Maryland (the “Department”) that: FIRST: The Corporation desires to, and does hereby, amend its Articles of Amendment and Restatement (th |
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| November 8, 2024 |
Exhibit (s)(1) POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENT, each person whose signature appears below hereby constitutes and appoints Jonathan H. |
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| September 11, 2024 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-272286 PROSPECTUS SUPPLEMENT (To Prospectus dated October 5, 2023, as supplemented by the Prospectus Supplement dated November 15, 2023, the Prospectus Supplement dated January 30, 2024, the Prospectus Supplement dated May 21, 2024 and the Prospectus Supplement dated July 29, 2024) September 11, 2024 Oxford Lane Capital Corp. $750,000,000 Common Stock |
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| September 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| September 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| August 9, 2024 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-272286 PROSPECTUS SUPPLEMENT (To Prospectus dated October 5, 2023, as supplemented by the Prospectus Supplement dated November 15, 2023, the Prospectus Supplement dated January 30, 2024, the Prospectus Supplement dated May 21, 2024 and the Prospectus Supplement dated July 29, 2024) August 9, 2024 Oxford Lane Capital Corp. $750,000,000 Common Stock This |
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| July 31, 2024 |
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 29, 2024 OXFORD LANE CAPITAL CORP. (Exact name of Registrant as specified in its charter) Maryland 001-35041 27-2859071 (State or other jurisdiction of incorporation) (Commission |
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| July 29, 2024 |
As filed with the Securities and Exchange Commission on July 29, 2024 As filed with the Securities and Exchange Commission on July 29, 2024 Securities Act File No. |
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| July 29, 2024 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-272286 PROSPECTUS SUPPLEMENT (To Prospectus dated October 5, 2023, as supplemented by the Prospectus Supplement dated November 15, 2023, the Prospectus Supplement dated January 30, 2024 and the Prospectus Supplement dated May 21, 2024) July 29, 2024 Oxford Lane Capital Corp. $750,000,000 Common Stock This prospectus supplement contains information whic |
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| July 29, 2024 |
Exhibit (h)(6) OXFORD LANE CAPITAL CORP. (a Maryland corporation) AMENDMENT NO. 2 TO AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT Lucid Capital Markets, LLC 570 Lexington Avenue, 40th Floor New York, New York 10022 July 29, 2024 Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue 4th Floor New York, New York 10019 Ladies and Gentlemen: This Amendment No. 2, dated July 29, 2024 (the “Amendment”), |
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| July 8, 2024 |
Exhibit (d)(13) Execution Version THIRD SUPPLEMENTAL INDENTURE between OXFORD LANE CAPITAL CORP. |
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| July 8, 2024 |
As filed with the Securities and Exchange Commission on July 8, 2024 As filed with the Securities and Exchange Commission on July 8, 2024 Securities Act File No. |
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| July 8, 2024 |
Exhibit (l)(3) 1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333Fax www. |
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| July 8, 2024 |
$100,000,000 Principal Amount OXFORD LANE CAPITAL CORP. 8.75% NOTES DUE 2030 UNDERWRITING AGREEMENT Exhibit (h)(5) Execution Version $100,000,000 Principal Amount OXFORD LANE CAPITAL CORP. |
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| July 8, 2024 |
As filed with the Securities and Exchange Commission on July 8, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 2, 2024 |
SC 13G/A 1 ea0208910-01sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Amendment No. 5)* Under the Securities Exchange Act of 1934 Oxford Lane Capital Corp. (Name of Issuer) Preferred Stock (Title of Class of Securities) 691543 607 (CUSIP Number(s)) July 1, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate b |
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| June 28, 2024 |
Oxlcm-form25 |
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| June 28, 2024 |
Oxford Lane Capital Corp. 8.75% Notes Due 2030 Pricing Term Sheet June 27, 2024 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated June 27, 2024 Relating to Preliminary Prospectus Supplement dated June 26, 2024 and Prospectus dated October 5, 2023 Registration No. |
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| June 28, 2024 |
Oxford Lane Capital Corp. 8.75% Notes due 2030 Filed pursuant to Rule 424(b)(2) File No. 333-272286 PROSPECTUS SUPPLEMENT (to Prospectus dated October 5, 2023) Oxford Lane Capital Corp. $100,000,000 8.75% Notes due 2030 We are a closed-end management investment company that has registered as an investment company under the Investment Company Act of 1940, or the “1940 Act.” Our investment objective is to maximize our portfolio’s risk-adjusted t |
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| June 26, 2024 |
PRELIMINARY PROSPECTUS SUPPLEMENT, SUBJECT TO COMPLETION, DATED JUNE 26, 2024 Filed pursuant to Rule 424(b)(2) File No. 333-272286 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities |
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| June 10, 2024 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-272286 PROSPECTUS SUPPLEMENT (To Prospectus dated October 5, 2023, as supplemented by the Prospectus Supplement dated November 15, 2023, the Prospectus Supplement dated January 30, 2024 and the Prospectus Supplement dated May 21, 2024) June 10, 2024 Oxford Lane Capital Corp. $750,000,000 Common Stock This prospectus supplement contains information whic |
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| May 21, 2024 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-272286 PROSPECTUS SUPPLEMENT (To Prospectus dated October 5, 2023, as supplemented by the Prospectus Supplement dated November 15, 2023 and the Prospectus Supplement dated January 30, 2024) May 21, 2024 Oxford Lane Capital Corp. $750,000,000 Common Stock This prospectus supplement contains information which amends, supplements and modifies certain info |
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| April 18, 2024 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-272286 PROSPECTUS SUPPLEMENT (To Prospectus dated October 5, 2023, as supplemented by the Prospectus Supplement dated November 15, 2023 and the Prospectus Supplement dated January 30, 2024) April 18, 2024 Oxford Lane Capital Corp. $750,000,000 Common Stock This prospectus supplement contains information which amends, supplements and modifies certain in |
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| March 8, 2024 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-272286 PROSPECTUS SUPPLEMENT (To Prospectus dated October 5, 2023, as supplemented by the Prospectus Supplement dated November 15, 2023 and the Prospectus Supplement dated January 30, 2024) March 8, 2024 Oxford Lane Capital Corp. $750,000,000 Common Stock This prospectus supplement contains information which amends, supplements and modifies certain inf |
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| February 13, 2024 |
SC 13G/A 1 karpus-sch13g18788f.htm KARPUS INVESTMENT MGT / OXFORD LANE CAPITAL - SCHEDULE 13G/A(#1) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) * Oxford Lane Capital Corp. (Name of Issuer) Preferred (Title of Class of Securities) 691543508 691543870 691543805 691543607 (CUSIP Number) December 31, 2 |
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| February 9, 2024 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-272286 PROSPECTUS SUPPLEMENT (To Prospectus dated October 5, 2023, as supplemented by the Prospectus Supplement dated November 15, 2023 and the Prospectus Supplement dated January 30, 2024) February 9, 2024 Oxford Lane Capital Corp. $750,000,000 Common Stock This prospectus supplement contains information which amends, supplements and modifies certain |
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| January 30, 2024 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-272286 PROSPECTUS SUPPLEMENT (To Prospectus dated October 5, 2023, as supplemented by the Prospectus Supplement dated November 15, 2023) January 30, 2024 Oxford Lane Capital Corp. $750,000,000 Common Stock This prospectus supplement contains information which amends, supplements and modifies certain information contained in the prospectus dated October |
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| January 9, 2024 |
Oxford Lane Capital Corp. / Eagle Point Credit Management LLC - SC 13G/A Passive Investment SC 13G/A 1 tm242466d1sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) Oxford Lane Capital Corp. (Name of Issuer) Preferred Stock (Title of Class of Securities) 691543 508 691543 607 691543 805 691543 870 (CUSIP Number(s)) December 31, 2023 (Date of Event Which Requires Filing of this |
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| December 22, 2023 |
Oxford Lane Capital Corp. / Eagle Point Credit Management LLC - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) Oxford Lane Capital Corp. (Name of Issuer) Preferred Stock (Title of Class of Securities) 691543 508 691543 607 691543 805 691543 870 (CUSIP Number(s)) December 20, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to d |
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| December 8, 2023 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-272286 PROSPECTUS SUPPLEMENT (To Prospectus dated October 5, 2023, as supplemented by the Prospectus Supplement dated November 15, 2023) December 8, 2023 Oxford Lane Capital Corp. $750,000,000 Common Stock This prospectus supplement contains information which amends, supplements and modifies certain information contained in the prospectus dated October |
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| November 15, 2023 |
Exhibit (h)(4) OXFORD LANE CAPITAL CORP. (a Maryland corporation) AMENDMENT NO. 1 TO AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT November 15, 2023 Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue 4th Floor New York, New York 10019 Ladies and Gentlemen: This Amendment No. 1, dated November 15, 2023 (the “Amendment”), is to the Amended and Restated Equity Distribution Agreement, dated September |
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| November 15, 2023 |
As filed with the Securities and Exchange Commission on November 15, 2023 As filed with the Securities and Exchange Commission on November 15, 2023 Securities Act File No. |
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| November 15, 2023 |
Oxford Lane Capital Corp. $750,000,000 Common Stock PROSPECTUS SUPPLEMENT (to Prospectus dated October 5, 2023) Filed pursuant to Rule 424(b)(2) File No. |
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| November 15, 2023 |
Exhibit (l)(2) 1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| September 11, 2023 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, as supplemented by the Prospectus Supplement dated June 4, 2020, the Prospectus Supplement dated August 7, 2020, the Prospectus Supplement dated November 6, 2020, the Prospectus Supplement dated February 5, 2021, the Prospectus Supplement dated August 11, 2021, the Prospectus Supplement da |
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| September 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| September 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| August 7, 2023 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, as supplemented by the Prospectus Supplement dated June 4, 2020, the Prospectus Supplement dated August 7, 2020, the Prospectus Supplement dated November 6, 2020, the Prospectus Supplement dated February 5, 2021, the Prospectus Supplement dated August 11, 2021, the Prospectus Supplement da |
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| June 7, 2023 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, as supplemented by the Prospectus Supplement dated June 4, 2020, the Prospectus Supplement dated August 7, 2020, the Prospectus Supplement dated November 6, 2020, the Prospectus Supplement dated February 5, 2021, the Prospectus Supplement dated August 11, 2021, the Prospectus Supplement da |
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| May 26, 2023 |
Oxford Lane Capital Corp. / Eagle Point Credit Management LLC - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. )* Oxford Lane Capital Corp. (Name of Issuer) Preferred Shares (Title of Class of Securities) 691543 508 691543 607 691543 805 691543 870 (CUSIP Number) Cour |
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| May 19, 2023 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, as supplemented by the Prospectus Supplement dated June 4, 2020, the Prospectus Supplement dated August 7, 2020, the Prospectus Supplement dated November 6, 2020, the Prospectus Supplement dated February 5, 2021, the Prospectus Supplement dated August 11, 2021, the Prospectus Supplement da |
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| March 8, 2023 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, as supplemented by the Prospectus Supplement dated June 4, 2020, the Prospectus Supplement dated August 7, 2020, the Prospectus Supplement dated November 6, 2020, the Prospectus Supplement dated February 5, 2021, the Prospectus Supplement dated August 11, 2021, the Prospectus Supplement da |
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| February 14, 2023 |
SC 13G 1 karpus-sch13g18686f.htm KARPUS INVESTMENT MGT / OXFORD LANE CAPITAL - SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) * Oxford Lane Capital Corp. (Name of Issuer) Preferred (Title of Class of Securities) 691543508 691543870 691543805 691543607 (CUSIP Number) December 31, 2022 ( |
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| February 13, 2023 |
Oxford Lane Capital Corp. / Eagle Point Credit Management LLC - SC 13G/A Passive Investment SC 13G/A 1 tm236388d2sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Oxford Lane Capital Corp. (Name of Issuer) Preferred Stock (Title of Class of Securities) 691543 508 691543 607 691543 805 691543 870 (CUSIP Number(s)) December 31, 2022 (Date of Event Which Requires Filing of thi |
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| February 7, 2023 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, as supplemented by the Prospectus Supplement dated June 4, 2020, the Prospectus Supplement dated August 7, 2020, the Prospectus Supplement dated November 6, 2020, the Prospectus Supplement dated February 5, 2021, the Prospectus Supplement dated August 11, 2021, the Prospectus Supplement da |
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| January 31, 2023 |
NPORT-EX 2 oxlc.htm SCHEDULE OF INVESTMENTS OXFORD LANE CAPITAL CORP. SCHEDULE OF INVESTMENTS December 31, 2022 (Unaudited) COMPANY/INVESTMENT(1)(13)(14) ACQUISITION DATE(15) PRINCIPAL AMOUNT COST FAIR VALUE(2) % of Net Assets Collateralized Loan Obligation - Debt Investments Structured Finance - Debt Investments Allegro CLO II-S, Ltd. CLO secured notes - Class E(3)(6), 12.10% (LIBOR + 7.82%, due |
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| December 7, 2022 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, as supplemented by the Prospectus Supplement dated June 4, 2020, the Prospectus Supplement dated August 7, 2020, the Prospectus Supplement dated November 6, 2020, the Prospectus Supplement dated February 5, 2021, the Prospectus Supplement dated August 11, 2021, December 7, 2022 the Prospec |
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| November 9, 2022 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, as supplemented by the Prospectus Supplement dated June 4, 2020, the Prospectus Supplement dated August 7, 2020, the Prospectus Supplement dated November 6, 2020, the Prospectus Supplement dated February 5, 2021, the Prospectus Supplement dated August 11, 2021, the Prospectus Supplement da |
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| September 9, 2022 |
Oxford Lane Capital Corp. $750,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, as supplemented by the Prospectus Supplement dated June 4, 2020, the Prospectus Supplement dated August 7, 2020, the Prospectus Supplement dated November 6, 2020, the Prospectus Supplement dated February 5, 2021, the Prospectus Supplement dated August 11, 2021, the Prospectus Supplement da |
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| September 9, 2022 |
Third Amended and Restated Bylaws Exhibit b OXFORD LANE CAPITAL CORP. THIRD AMENDED AND RESTATED BYLAWS January 27, 2022 ARTICLE I OFFICES Section 1. PRINCIPAL OFFICE. The principal office of the Corporation in the State of Maryland shall be located at such place as the Board of Directors may designate. Section 2. ADDITIONAL OFFICES. The Corporation may have additional offices, including a principal executive office, at such place |
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| September 9, 2022 |
As filed with the Securities and Exchange Commission on September 9, 2022 As filed with the Securities and Exchange Commission on September 9, 2022 Securities Act File No. |
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| September 9, 2022 |
Exhibit h.7 OXFORD LANE CAPITAL CORP. Common Stock, $0.01 par value per share AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT Dated September 9, 2022 Table of Contents Page SECTION 1. Description of Securities 1 SECTION 2. Placements 2 SECTION 3. Sale of Placement Securities by the Agents 3 SECTION 4. Suspension of Sales 4 SECTION 5. Representations and Warranties 4 SECTION 6. Representations a |
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| September 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of |
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| September 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| August 5, 2022 |
Oxford Lane Capital Corp. $500,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, as supplemented by the Prospectus Supplement dated June 4, 2020, the Prospectus Supplement dated August 7, 2020, the Prospectus Supplement dated November 6, 2020, the Prospectus Supplement dated February 5, 2021, the Prospectus Supplement dated August 11, 2021, the Prospectus Supplement da |
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| August 3, 2022 |
OXFORD LANE CAPITAL CORP. SCHEDULE OF INVESTMENTS June 30, 2022 (Unaudited) COMPANY/INVESTMENT(1)(13)(14) ACQUISITION DATE(15) PRINCIPAL AMOUNT/SHARES COST FAIR VALUE(2) % of Net Assets Collateralized Loan Obligation - Debt Investments Structured Finance - Debt Investments Allegro CLO II-S, Ltd. CLO secured notes - Class E(3)(6), 8.92% (LIBOR + 7.82%, due October 21, 2028) 06/24/2020 $ 5,500,000 $ |
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| June 16, 2022 |
Opinion and Consent of Eversheds Sutherland (US) LLP* Exhibit l.6 June 16, 2022 Oxford Lane Capital Corp. 8 Sound Shore Drive, Suite 255 Greenwich, Connecticut 06830 Re: Oxford Lane Capital Corp. Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as counsel to Oxford Lane Capital Corp., a Maryland corporation (the ?Company?), in connection with the preparation and filing by the Company with the Securities and Exchange Commission ( |
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| June 16, 2022 |
As filed with the Securities and Exchange Commission on June 16, 2022 As filed with the Securities and Exchange Commission on June 16, 2022 Securities Act File No. |
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| June 16, 2022 |
Exhibit h.6 2,400,000 ShARES OXFORD LANE CAPITAL CORP. Series 2029 Term Preferred Stock, $0.01 par value per Share UNDERWRITING AGREEMENT June 8, 2022 June 8, 2022 Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters named in Schedule I attached hereto, c/o Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue, 4th Floor New York, New York 10019 Ladies and Gentlemen: Oxford Lane Ca |
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| June 16, 2022 |
Exhibit a.3 OXFORD LANE CAPITAL CORP. ARTICLES SUPPLEMENTARY ESTABLISHING AND FIXING THE RIGHTS AND PREFERENCES OF TERM PREFERRED SHARES DATED AS OF JUNE 10, 2022 Oxford Lane Capital Corp. (the ?Corporation?), a Maryland corporation, certifies to the State Department of Assessments and Taxation of Maryland that: RECITALS FIRST: The Corporation is authorized under Article V of the Corporation?s Art |
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| June 16, 2022 |
As filed with the Securities and Exchange Commission on June 16, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 16, 2022 |
Specimen 7.125% Series 2029 Term Preferred Stock Certificate* Exhibit d.11 No. OXFORD LANE CAPITAL CORP. Shares Incorporated under the Laws of the State of Maryland CUSIP NO. [] Preferred Stock Par Value $.01 Per Share SEE REVERSE FOR CERTAIN DEFINITIONS AND OTHER INFORMATION THIS CERTIFIES THAT IS THE OWNER OF FULLY PAID AND NON-ASSESSABLE SHARES OF 7.125% SERIES 2029 TERM PREFERRED STOCK, WITH A PAR VALUE OF $.01 PER SHARE, OF OXFORD LANE CAPITAL CORP. (th |
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| June 10, 2022 |
PROSPECTUS SUPPLEMENT (to Prospectus dated June 1, 2020) Filed pursuant to Rule 424(b)(5) File No. |
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| June 9, 2022 |
Oxford Lane Capital Corp. $500,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, as supplemented by the Prospectus Supplement dated June 4, 2020, the Prospectus Supplement dated August 7, 2020, the Prospectus Supplement dated November 6, 2020, the Prospectus Supplement dated February 5, 2021, the Prospectus Supplement dated August 11, 2021, the Prospectus Supplement da |
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| June 9, 2022 |
Oxford Lane Capital Corp. 7.125% Term Preferred Stock Final Pricing Term Sheet June 8, 2022 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated June 8, 2022 Relating to Preliminary Prospectus Supplement dated June 8, 2022 and Prospectus dated June 1, 2020 Registration No. |
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| June 8, 2022 |
PRELIMINARY PROSPECTUS SUPPLEMENT, SUBJECT TO COMPLETION, DATED JUNE 8, 2022 Filed pursuant to Rule 424(b)(5) File No. 333-236574 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities |
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| May 18, 2022 |
Oxford Lane Capital Corp. $500,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, as supplemented by the Prospectus Supplement dated June 4, 2020, the Prospectus Supplement dated August 7, 2020, the Prospectus Supplement dated November 6, 2020, the Prospectus Supplement dated February 5, 2021, the Prospectus Supplement dated August 11, 2021, the Prospectus Supplement da |
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| March 7, 2022 |
Oxford Lane Capital Corp. $500,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, as supplemented by the Prospectus Supplement dated June 4, 2020, the Prospectus Supplement dated August 7, 2020, the Prospectus Supplement dated November 6, 2020, the Prospectus Supplement dated February 5, 2021, the Prospectus Supplement dated August 11, 2021, the Prospectus Supplement da |
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| February 14, 2022 |
Oxford Lane Capital Corp. / Eagle Point Credit Management LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Oxford Lane Capital Corp. (Name of Issuer) Preferred Stock (Title of Class of Securities) 691543 508 691543 607 691543 805 (CUSIP Number(s)) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| February 7, 2022 |
Oxford Lane Capital Corp. $500,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, as supplemented by the Prospectus Supplement dated June 4, 2020, the Prospectus Supplement dated August 7, 2020, the Prospectus Supplement dated November 6, 2020, the Prospectus Supplement dated February 5, 2021, the Prospectus Supplement dated August 11, 2021 and the Prospectus Supplement |
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| February 2, 2022 |
OXFORD LANE CAPITAL CORP. SCHEDULE OF INVESTMENTS DECEMBER 31, 2021 OXFORD LANE CAPITAL CORP. SCHEDULE OF INVESTMENTS DECEMBER 31, 2021 (Unaudited) COMPANY/INVESTMENT(1)(13)(14) ACQUISITION DATE(15) PRINCIPAL AMOUNT COST FAIR VALUE(2) % of Net Assets Collateralized Loan Obligation - Debt Investments Structured Finance - Debt Investments(3)(6) Allegro CLO II-S, Ltd. CLO secured notes - Class E(3)(6), 7.95% (LIBOR + 7.82%, due October 21, 2028) 06/24/2020 $ 5,500,00 |
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| January 13, 2022 |
Exhibit h.3 $87,000,000 Principal Amount OXFORD LANE CAPITAL CORP. 5.00% NOTES DUE 2027 UNDERWRITING AGREEMENT January 5, 2022 January 5, 2022 Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters named in Schedule I attached hereto, c/o Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue, 4th Floor New York, New York 10019 Ladies and Gentlemen: Oxford Lane Capital Corp., a corpor |
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| January 13, 2022 |
As filed with the Securities and Exchange Commission on January 13, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 13, 2022 |
As filed with the Securities and Exchange Commission on January 13, 2022 As filed with the Securities and Exchange Commission on January 13, 2022 Securities Act File No. |
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| January 13, 2022 |
Opinion and Consent of Eversheds Sutherland (US) LLP Exhibit l.1 January 13, 2022 Oxford Lane Capital Corp. 8 Sound Shore Drive, Suite 255 Greenwich, Connecticut 06830 Re: Oxford Lane Capital Corp. Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as counsel to Oxford Lane Capital Corp., a Maryland corporation (the ?Company?), in connection with the preparation and filing by the Company with the Securities and Exchange Commissio |
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| January 13, 2022 |
Exhibit d.9 SECOND SUPPLEMENTAL INDENTURE between OXFORD LANE CAPITAL CORP. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of January 13, 2022 SECOND SUPPLEMENTAL INDENTURE THIS SECOND SUPPLEMENTAL INDENTURE (this ?Second Supplemental Indenture?), dated as of January 13, 2022, is between Oxford Lane Capital Corp., a Maryland corporation (the ?Company?), and U.S. Bank National Association, |
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| January 6, 2022 |
Oxford Lane Capital Corp. 5.00% Notes Due 2027 Pricing Term Sheet January 5, 2022 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated January 5, 2022 Relating to Preliminary Prospectus Supplement dated January 4, 2022 and Prospectus dated June 1, 2020 Registration No. |
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| January 6, 2022 |
Oxford Lane Capital Corp. 5.00% Notes Due 2027 Pricing Term Sheet January 5, 2022 FWP 1 s134946fwp.htm FWP Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated January 5, 2022 Relating to Preliminary Prospectus Supplement dated January 4, 2022 and Prospectus dated June 1, 2020 Registration No. 333-236574 and 811-22432 Oxford Lane Capital Corp. $87,000,000 5.00% Notes Due 2027 Pricing Term Sheet January 5, 2022 The following sets forth the final terms of the 5.00% Not |
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| January 6, 2022 |
Oxford Lane Capital Corp. $87,000,000 5.00% Notes due 2027 Filed pursuant to Rule 424(b)(5) File No. 333-236574 PROSPECTUS SUPPLEMENT (to Prospectus dated June 1, 2020) Oxford Lane Capital Corp. $87,000,000 5.00% Notes due 2027 We are a non-diversified, closed-end management investment company that has registered as an investment company under the Investment Company Act of 1940, or the ?1940 Act.? Our investment objective is to maximize our portfolio?s ri |
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| January 4, 2022 |
PRELIMINARY PROSPECTUS SUPPLEMENT, SUBJECT TO COMPLETION, DATED JANUARY 4, 2022 Filed pursuant to Rule 424(b)(5) File No. 333-236574 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities |
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| December 6, 2021 |
Oxford Lane Capital Corp. $500,000,000 Common Stock 424B3 1 s134646424b3.htm 424B3 Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, as supplemented by the Prospectus Supplement dated June 4, 2020, the Prospectus Supplement dated August 7, 2020, the Prospectus Supplement dated November 6, 2020, the Prospectus Supplement dated February 5, 2021, the Prospectus Supplement dated August 11, 202 |
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| November 4, 2021 |
Oxford Lane Capital Corp. $500,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, as supplemented by the Prospectus Supplement dated June 4, 2020, the Prospectus Supplement dated August 7, 2020, the Prospectus Supplement dated November 6, 2020, the Prospectus Supplement dated February 5, 2021, and the Prospectus Supplement dated August 11, 2021) November 4, 2021 Oxford |
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| October 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of |
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| September 8, 2021 |
Oxford Lane Capital Corp. $500,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, as supplemented by the Prospectus Supplement dated June 4, 2020, the Prospectus Supplement dated August 7, 2020, the Prospectus Supplement dated February 5, 2021, and the Prospectus Supplement dated August 11, 2021) September 8, 2021 Oxford Lane Capital Corp. $500,000,000 Common Stock This |
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| September 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of |
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| September 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of |
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| August 19, 2021 |
Oxford Lane Capital Corp. / Eagle Point Credit Management LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Oxford Lane Capital Corp. (Name of Issuer) Preferred Stock (Title of Class of Securities) 691543 508 691543 607 691543 805 (CUSIP Number(s)) August 17, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| August 17, 2021 |
Specimen 6.00% Series 2029 Term Preferred Stock Certificate Exhibit d.9 OXFORD LANE CAPITAL CORP. No. Incorporated under the Laws of the State of Maryland Shares CUSIP NO. [] Preferred Stock Par Value $.01 Per Share SEE REVERSE FOR CERTAIN DEFINITIONS AND OTHER INFORMATION THIS CERTIFIES THAT IS THE OWNER OF FULLY PAID AND NON-ASSESSABLE SHARES OF 6.00% SERIES 2029 TERM PREFERRED STOCK, WITH A PAR VALUE OF $.01 PER SHARE, OF OXFORD LANE CAPITAL CORP. (the |
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| August 17, 2021 |
As filed with the Securities and Exchange Commission on August 17, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 17, 2021 |
As filed with the Securities and Exchange Commission on August 17, 2021 As filed with the Securities and Exchange Commission on August 17, 2021 Securities Act File No. |
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| August 17, 2021 |
Exhibit a.3 OXFORD LANE CAPITAL CORP. ARTICLES SUPPLEMENTARY ESTABLISHING AND FIXING THE RIGHTS AND PREFERENCES OF TERM PREFERRED SHARES DATED AS OF AUGUST 12, 2021 Oxford Lane Capital Corp. (the ?Corporation?), a Maryland corporation, certifies to the State Department of Assessments and Taxation of Maryland that: RECITALS FIRST: The Corporation is authorized under Article V of the Corporation?s A |
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| August 17, 2021 |
Opinion and Consent of Eversheds Sutherland (US) LLP* Exhibit l.4 August 17, 2021 Oxford Lane Capital Corp. 8 Sound Shore Drive, Suite 255 Greenwich, Connecticut 06830 Re: Oxford Lane Capital Corp. Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as counsel to Oxford Lane Capital Corp., a Maryland corporation (the ?Company?), in connection with the preparation and filing by the Company with the Securities and Exchange Commission |
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| August 17, 2021 |
Exhibit h.4 2,400,000 Shares OXFORD LANE CAPITAL CORP. Series 2029 Term Preferred Stock, $0.01 par value per Share UNDERWRITING AGREEMENT August 9, 2021 August 9, 2021 Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters named in Schedule I attached hereto, c/o Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue, 4th Floor New York, New York 10019 Ladies and Gentlemen: Oxford Lan |
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| August 11, 2021 |
Filed pursuant to Rule 424(b)(5) File No. 333-236574 PROSPECTUS SUPPLEMENT (to Prospectus dated June 1, 2020) $60,000,000 Oxford Lane Capital Corp. Preferred Stock Shares, 6.00% Series 2029 Liquidation Preference $25 per Share We are a non-diversified, closed-end management investment company that has registered as an investment company under the Investment Company Act of 1940, or the ?1940 Act.? |
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| August 11, 2021 |
Oxford Lane Capital Corp. $500,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, Prospectus Supplement dated June 4, 2020, Prospectus Supplement dated August 7, 2020, Prospectus Supplement dated September 9, 2020, Prospectus Supplement dated November 6, 2020, Prospectus Supplement dated December 4, 2020, Prospectus Supplement dated February 5, 2021, Prospectus Suppleme |
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| August 10, 2021 |
Oxford Lane Capital Corp. 6.00% Term Preferred Series 2029 Final Pricing Term Sheet August 9, 2021 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated August 9, 2021 Relating to Preliminary Prospectus Supplement dated August 9, 2021 and Prospectus dated June 1, 2020 Registration No. |
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| August 9, 2021 |
PRELIMINARY PROSPECTUS SUPPLEMENT, SUBJECT TO COMPLETION, DATED AUGUST 9, 2021 Filed pursuant to Rule 424(b)(5) File No. 333-236574 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities |
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| August 4, 2021 |
NPORT-EX 2 oxlc.htm SCHEDULE OF INVESTMENTS OXFORD LANE CAPITAL CORP. SCHEDULE OF INVESTMENTS June 30, 2021 (Unaudited) COMPANY/INVESTMENT(1)(13)(14) ACQUISITION DATE(15) PRINCIPAL AMOUNT COST FAIR VALUE(2) % of Net Assets Collateralized Loan Obligation - Debt Investments Structured Finance - Debt Investments Allegro CLO II-S, Ltd. CLO secured notes - Class E(3)(6), 8.01% (LIBOR + 7.82%, due Octob |
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| June 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) * Oxford Lane Capital Corp. (Name of Issuer) Cumulative Preferred (Title of Class of Securities) 691543607, 691543508 (CUSIP Number) May 31, 2021 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursu |
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| June 7, 2021 |
Oxford Lane Capital Corp. $500,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, Prospectus Supplement dated June 4, 2020, Prospectus Supplement dated August 7, 2020, Prospectus Supplement dated September 9, 2020, Prospectus Supplement dated November 6, 2020, Prospectus Supplement dated December 4, 2020, Prospectus Supplement dated February 5, 2021, Prospectus Suppleme |
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| May 14, 2021 |
Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated May 14, 2021 Relating to Registration Statement No. 333-236574 and 811-22432 |
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| May 14, 2021 |
Oxford Lane Capital Corp. $500,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, Prospectus Supplement dated June 4, 2020, Prospectus Supplement dated August 7, 2020, Prospectus Supplement dated September 9, 2020, Prospectus Supplement dated November 6, 2020, Prospectus Supplement dated December 4, 2020, Prospectus Supplement dated February 5, 2021, and Prospectus Supp |
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| May 12, 2021 |
Financial Statements and Exhibits, Other Events 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 12, 2021 OXFORD LANE CAPITAL CORP. (Exact name of Registrant as specified in its charter) Maryland 001-35041 27-2859071 (State or other jurisdiction of incorporation) (Commission |
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| April 19, 2021 |
SC 13G/A 1 s131659sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Amendment No. 4)* Under the Securities Exchange Act of 1934 Oxford Lane Capital Corp. (Name of Issuer) Preferred Stock (Title of Class of Securities) 691543 508 691543 607 (CUSIP Number(s)) April 15, 2021 (Date of Event Which Requires Filing of this Statement) Check the appro |
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| March 16, 2021 |
As filed with the Securities and Exchange Commission on March 16, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 16, 2021 |
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): March 16, 2021 OXFORD LANE CAPITAL CORP. (Exact name of Registrant as specified in its charter) Maryland 001-35041 27-2859071 (State or other jurisdiction of incorporation) (Commissio |
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| March 16, 2021 |
Exhibit 4.2 FIRST SUPPLEMENTAL INDENTURE between OXFORD LANE CAPITAL CORP. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of March 16, 2021 FIRST SUPPLEMENTAL INDENTURE THIS FIRST SUPPLEMENTAL INDENTURE (this ?First Supplemental Indenture?), dated as of March 16, 2021, is between Oxford Lane Capital Corp., a Maryland corporation (the ?Company?), and U.S. Bank National Association, as trus |
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| March 16, 2021 |
Exhibit 4.1 OXFORD LANE CAPITAL CORP. Issuer and U.S. BANK NATIONAL ASSOCIATION Trustee Indenture Dated as of March 16, 2021 Providing for the Issuance Of Debt Securities OXFORD LANE CAPITAL CORP. Reconciliation and tie between Trust Indenture Act of 1939 and Indenture, dated as of March 16, 2021 Trust Indenture Act Section Indenture Section ? 310 (a)(1) 607 (a)(2) 607 (b) 609 ? 312 (c) 701 ? 314 |
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| March 16, 2021 |
Exhibit 99.1 NOTICE OF REDEMPTION To the Holders of Oxford Lane Capital Corp. 7.50% Series 2023 Term Preferred Stock (CUSIP: 691543300) NOTICE IS HEREBY GIVEN that, pursuant to the Articles Supplementary Establishing and Fixing the Rights and Preferences of Term Preferred Shares, dated as of February 6, 2020 (the ?Articles Supplementary?), which supplement the Articles of Amendment and Restatement |
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| March 11, 2021 |
Oxford Lane Capital Corp. 6.75% Notes due 2031 Filed pursuant to Rule 424(b)(5) File No. 333-236574 PROSPECTUS SUPPLEMENT (to Prospectus dated June 1, 2020) Oxford Lane Capital Corp. $87,000,000 6.75% Notes due 2031 We are a non-diversified, closed-end management investment company that has registered as an investment company under the Investment Company Act of 1940, or the ?1940 Act.? Our investment objective is to maximize our portfolio?s ri |
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| March 11, 2021 |
$87,000,000 Principal Amount OXFORD LANE CAPITAL CORP. 6.75% NOTES DUE 2031 UNDERWRITING AGREEMENT Exhibit 1.1 $87,000,000 Principal Amount OXFORD LANE CAPITAL CORP. 6.75% NOTES DUE 2031 UNDERWRITING AGREEMENT March 9, 2021 March 9, 2021 Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters named in Schedule I attached hereto, c/o Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue, 4th Floor New York, New York 10019 Ladies and Gentlemen: Oxford Lane Capital Corp., a corporatio |
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| March 11, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): March 9, 2021 OXFORD LANE CAPITAL CORP. (Exact name of Registrant as specified in its charter) Maryland 001-35041 27-2859071 (State or other jurisdiction of incorporation) (Commission |
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| March 10, 2021 |
Oxford Lane Capital Corp. $500,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, Prospectus Supplement dated June 4, 2020, Prospectus Supplement dated August 7, 2020, Prospectus Supplement dated September 9, 2020, Prospectus Supplement dated November 6, 2020, Prospectus Supplement dated December 4, 2020, and Prospectus Supplement dated February 5, 2021) March 10, 2021 |
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| March 10, 2021 |
Oxford Lane Capital Corp. 6.75% Notes Due 2031 Pricing Term Sheet March 9, 2021 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated March 9, 2021 Relating to Preliminary Prospectus Supplement dated March 9, 2021 and Prospectus dated June 1, 2020 Registration No. |
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| March 9, 2021 |
PRELIMINARY PROSPECTUS SUPPLEMENT, SUBJECT TO COMPLETION, DATED MARCH 9, 2021 Filed pursuant to Rule 424(b)(5) File No. 333-236574 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities |
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| February 5, 2021 |
Oxford Lane Capital Corp. $500,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, Prospectus Supplement dated June 4, 2020, Prospectus Supplement dated August 7, 2020, Prospectus Supplement dated September 9, 2020, Prospectus Supplement dated November 6, 2020, and Prospectus Supplement dated December 4, 2020) February 5, 2021 Oxford Lane Capital Corp. $500,000,000 Commo |
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| February 5, 2021 |
Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated February 5, 2021 Relating to Registration Statement No. 333-236574 and 811-22432 |
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| February 4, 2021 |
OXFORD LANE CAPITAL CORP. SCHEDULE OF INVESTMENTS DECEMBER 31, 2020 OXFORD LANE CAPITAL CORP. SCHEDULE OF INVESTMENTS DECEMBER 31, 2020 (Unaudited) COMPANY/INVESTMENT(1)(13)(14) ACQUISITION DATE(15) PRINCIPAL AMOUNT COST FAIR VALUE(2) % of Net Assets Collateralized Loan Obligation - Debt Investments Structured Finance - Debt Investments(3)(6) Allegro CLO II-S, Ltd. CLO secured notes - Class E, 8.03% (LIBOR + 7.82%, due October 21, 2028) 06/24/2020 $ 2,000,000 $ 1, |
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| January 11, 2021 |
SC 13G/A 1 eaglepoint13ga01112021.htm SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No 1)* Oxford Lane Capital Corp. (Name of Issuer) Preferred Stock (Title of Class of Securities) 691543 300 691543 508 691543 607 (CUSIP Number) November 30, 2020 (Date of Event Which Requires Filing of this S |
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| January 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) * Oxford Lane Capital Corp. (Name of Issuer) Cumulative Preferred (Title of Class of Securities) 691543607, 691543300, 691543508 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designat |
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| December 4, 2020 |
Oxford Lane Capital Corp. $500,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, Prospectus Supplement dated June 4, 2020, Prospectus Supplement dated August 7, 2020, Prospectus Supplement dated September 9, 2020, and Prospectus Supplement dated November 6, 2020) December 4, 2020 Oxford Lane Capital Corp. $500,000,000 Common Stock This prospectus supplement supplements |
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| November 6, 2020 |
FWP 1 s128499fwp.htm FWP Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated November 6, 2020 Relating to Registration Statement No. 333-236574 and 811-22432 |
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| November 6, 2020 |
Oxford Lane Capital Corp. $500,000,000 Common Stock 424B3 1 s128498424b3.htm 424B3 Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, Prospectus Supplement dated June 4, 2020, Prospectus Supplement dated August 7, 2020, and Prospectus Supplement dated September 9, 2020) November 6, 2020 Oxford Lane Capital Corp. $500,000,000 Common Stock This prospectus supplement supplements the prospectus |
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| September 9, 2020 |
Oxford Lane Capital Corp. $500,000,000 Common Stock Filed pursuant to Rule 424(b)(3) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020, Prospectus Supplement dated June 4, 2020, and Prospectus Supplement dated August 7, 2020) September 9, 2020 Oxford Lane Capital Corp. $500,000,000 Common Stock This prospectus supplement supplements the prospectus supplement, dated June 4, 2020 (the “First Prospectus Supplement”), the pros |
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| September 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant S Filed by a Party other than the Registrant £ Check the appropriate box: £ Preliminary Proxy Statement £ Confidential, for Use of |
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| September 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant S Filed by a Party other than the Registrant £ Check the appropriate box: £ Preliminary Proxy Statement £ Confidential, for Use of |
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| August 7, 2020 |
OXFORD LANE CAPITAL CORP. SCHEDULE OF INVESTMENTS JUNE 30, 2020 OXFORD LANE CAPITAL CORP. SCHEDULE OF INVESTMENTS JUNE 30, 2020 (Unaudited) COMPANY/INVESTMENT(1)(13)(14) ACQUISITION DATE PRINCIPAL AMOUNT COST FAIR VALUE(2) % of Net Assets Collateralized Loan Obligation - Debt Investments Structured Finance - Debt Investments(3)(6) Allegro CLO II-S, Ltd. CLO secured notes - Class E, 8.93% (LIBOR + 7.82%, due October 21, 2028) 06/24/2020 $2,000,000 $1,246,242 $1 |
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| August 7, 2020 |
Oxford Lane Capital Corp. $500,000,000 Common Stock 424B5 1 s126777424b5.htm 424B5 Filed pursuant to Rule 424(b)(5) File No. 333-236574 PROSPECTUS SUPPLEMENT (To Prospectus dated June 1, 2020 and Prospectus Supplement dated June 4, 2020) August 7, 2020 Oxford Lane Capital Corp. $500,000,000 Common Stock This prospectus supplement supplements the prospectus supplement, dated June 4, 2020 (the “First Prospectus Supplement”), and the accompanying pros |
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| June 22, 2020 |
OXLCO / Oxford Lane Capital Corp. / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13 G Under the Securities Exchange Act of 1934 (Amendment No. 1) * Oxford Lane Capital Corp (OXLC) (Name of Issuer) Cumulative Preferred (Title of Class of Securities) 691254433, 691543508, 691543607 (CUSIP Number) June 19, 2020 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to desig |
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| June 4, 2020 |
As filed with the Securities and Exchange Commission on June 4, 2020 Securities Act File No. |
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| June 4, 2020 |
Consent of the Independent Registered Public Accounting Firm* EX-99.N.2 4 s125561ex99-n2.htm EXHIBIT N.2 Exhibit n.2 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-2 of Oxford Lane Capital Corp. of our report dated May 8, 2020, relating to the financial statements of Oxford Lane Capital Corp., which appears in such Registration Statement. We also consent to the use of our report |
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| June 4, 2020 |
Opinion and Consent of Eversheds Sutherland (US) LLP* Exhibit l.2 [Letterhead of Eversheds Sutherland (US) LLP] June 4, 2020 Oxford Lane Capital Corp. 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830 Re: Oxford Lane Capital Corp. Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as counsel to Oxford Lane Capital Corp., a Maryland corporation (the “Company”), in connection with the preparation and filing by the Company with the |
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| June 4, 2020 |
Exhibit h.2 OXFORD LANE CAPITAL CORP. Common Stock, $.01 par value per share EQUITY DISTRIBUTION AGREEMENT Dated June 4, 2020 Table of Contents Page SECTION 1. Description of Securities 2 SECTION 2. Placements 3 SECTION 3. Sale of Placement Securities by Ladenburg 4 SECTION 4. Suspension of Sales 4 SECTION 5. Representations and Warranties 5 SECTION 6. Representations and Warranties of the Adviser |
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| May 28, 2020 |
[Letterhead of Eversheds Sutherland (US) LLP] May 28, 2020 VIA EDGAR Jeffrey A. Foor, Esq. Christina DiAngelo Fettig Division of Investment Management, Disclosure Review Office U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Dear Mr. Foor and Ms. Fettig: On behalf of Oxford Lane Capital Corp. (the “Company”), set forth below are the Company’s responses to the oral |
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| May 28, 2020 |
OXLCO / Oxford Lane Capital Corp. / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 7) 1 Oxford Lane Capital Corp (Name of Issuer) Cumulative Preferred (Title of Class of Securities) 691254433, 691543508, 691543607 (CUSIP Number) Jodi He |
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| May 22, 2020 |
[Letterhead of Eversheds Sutherland (US) LLP] May 22, 2020 VIA EDGAR Jeffrey A. Foor, Esq. Christina DiAngelo Fettig Division of Investment Management, Disclosure Review Office U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Dear Mr. Foor and Ms. Fettig: On behalf of Oxford Lane Capital Corp. (the “Company”), set forth below are the Company’s responses to the comm |
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| May 22, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G* Under the Securities Exchange Act of 1934 (Amendment No )* Oxford Lane Capital Corp. (Name of Issuer) Preferred Stock (Title of Class of Securities) 691543 300 691543 508 691543 607 (CUSIP Number) May 12, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| April 2, 2020 |
OXLCO / Oxford Lane Capital Corp. / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 6) 1 Oxford Lane Capital Corp (Name of Issuer) Cumulative Preferred (Title of Class of Securities) 691254433, 691543508, 691543607 (CUSIP Number) Jodi He |
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| March 17, 2020 |
OXLC / Oxford Lane Capital Corp. / Frantz Leroy Scott - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Amendment No. 3)* Under the Securities Exchange Act of 1934 Oxford Lane Capital Corp. (Name of Issuer) Preferred Stock (Title of Class of Securities) 691543 300 691543 508 691543 607 (CUSIP Number(s)) March 12, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
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| March 9, 2020 |
OXLCO / Oxford Lane Capital Corp. / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 5) 1 Oxford Lane Capital Corp (Name of Issuer) Cumulative Preferred (Title of Class of Securities) 691254433, 691543508, 691543607 (CUSIP Number) Jodi He |
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| February 11, 2020 |
OXLCO / Oxford Lane Capital Corp. / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 4) 1 Oxford Lane Capital Corp (Name of Issuer) Cumilative Preferred (Title of Class of Securities) 691543300, 691543508, 691543607 (CUSIP Number) Jodi Hedb |
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| February 7, 2020 |
Underwriting Agreement, dated February 5, 2020* EX-99.H.6 6 s123153ex99-h6.htm EXHIBIT H.6 Exhibit h.6 3,500,000 Shares OXFORD LANE CAPITAL CORP. Series 2027 Term Preferred Stock, $0.01 par value per Share UNDERWRITING AGREEMENT February 5, 2020 February 5, 2020 Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters named in Schedule I attached hereto, c/o Ladenburg Thalmann & Co. Inc. 277 Park Avenue, 26th Floor New York, |
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| February 7, 2020 |
Exhibit h.5 OXFORD LANE CAPITAL CORP. Common Stock, $.01 par value per share AMENDMENT NO. 3 TO AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT This Amendment No. 3, dated February 5, 2020 (the “Amendment”), is to the Amended and Restated Equity Distribution Agreement, dated August 10, 2018, amended by Amendment No. 1 dated May 8, 2019 and Amendment No. 2 dated November 4, 2019, by and among Ox |
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| February 7, 2020 |
Amendment to the Articles of Amendment Increasing Authorized Shares, dated January 31, 2020 Exhibit a.2 Articles of Amendment OF OxFORD LANE CAPITAL CORP. Oxford Lane Capital Corp., a Maryland corporation (the “Corporation”), having its principal office in the State of Maryland, hereby certifies to the State Department of Assessments and Taxation of Maryland (the “Department”) that: FIRST: The Corporation desires to, and does hereby, amend its Articles of Amendment and Restatement (the “ |
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| February 7, 2020 |
Opinion and Consent of Eversheds Sutherland (US) LLP* EX-99.L.5 7 s123153ex99-l5.htm EXHIBIT L.5 Exhibit l.5 [Letterhead of Eversheds Sutherland (US) LLP] February 7, 2020 Oxford Lane Capital Corp. 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830 Re: Oxford Lane Capital Corp. Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as counsel to Oxford Lane Capital Corp., a Maryland corporation (the “Company”), in connection with the |
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| February 7, 2020 |
OXLC / Oxford Lane Capital Corp. POS EX - - POS EX POS EX 1 s123153pos-ex.htm POS EX As filed with the Securities and Exchange Commission on February 7, 2020 Securities Act File No. 333-225462 Investment Company Act File No. 811-22432 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ☒ (Check appropriate box or boxes) Pre-Effective Amendment No. ☐ Post-Effective Amendmen |
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| February 7, 2020 |
As filed with the Securities and Exchange Commission on February 7, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 7, 2020 |
Specimen 6.25% Series 2027 Term Preferred Stock Certificate EX-99.D.5 4 s123153ex99-d5.htm EXHIBIT D.5 Exhibit d.5 No. OXFORD LANE CAPITAL CORP. Shares CUSIP NO. [] Incorporated under the Laws of the State of Maryland Preferred Stock Par Value $.01 Per Share SEE REVERSE FOR CERTAIN DEFINITIONS AND OTHER INFORMATION THIS CERTIFIES THAT IS THE OWNER OF FULLY PAID AND NON-ASSESSABLE SHARES OF 6.25% SERIES 2027 TERM PREFERRED STOCK, WITH A PAR VALUE OF $.01 PE |
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| February 7, 2020 |
Exhibit a.3 OXFORD LANE CAPITAL CORP. ARTICLES SUPPLEMENTARY ESTABLISHING AND FIXING THE RIGHTS AND PREFERENCES OF TERM PREFERRED SHARES DATED AS OF FEBRUARY 6, 2020 Oxford Lane Capital Corp. (the “Corporation”), a Maryland corporation, certifies to the State Department of Assessments and Taxation of Maryland that: RECITALS FIRST: The Corporation is authorized under Article V of the Corporation’s |
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| February 5, 2020 |
OXLC / Oxford Lane Capital Corp. N-2MEF - - N-2MEF N-2MEF 1 s123094n2mef.htm N-2MEF As filed with the Securities and Exchange Commission on February 5, 2020 Securities Act File No. 333- Investment Company Act File No. 811-22432 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 (Check appropriate box or boxes) REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ☒ (Check appropriate box or boxes) Pre-Effective Amendment No. |
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| February 5, 2020 |
Opinion and Consent of Eversheds Sutherland (US) LLP, Counsel for Oxford Lane Capital Corp.* Exhibit (1)(5) [Letterhead of Eversheds Sutherland (US) LLP] February 5, 2020 Oxford Lane Capital Corp. |
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| February 4, 2020 |
OXLC / Oxford Lane Capital Corp. N-Q - Quarterly Schedule of Portfolio Holdings - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22432 Oxford Lane Capital Corp. (Exact name of registrant as specified in charter) 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830 (Address of principal executive offices) (Zip code) Jonathan |
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| February 4, 2020 |
EX-99.906CERT 3 s122746ex99-906cert.htm EXHIBIT 99.906CERT Exhibit 99.906CERT Exhibit 12(b) Rule 30a-2(b) Certification In connection with the Report on Form N-Q for the quarter ended December 31, 2019 (the “Report”) of Oxford Lane Capital Corp. (the “Registrant”), as filed with the Securities and Exchange Commission on the date hereof, I, Jonathan H. Cohen, the Chief Executive Officer of the Regi |
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| February 4, 2020 |
EX-99.CERT 2 s122746ex99cert.htm EXHIBIT 99.CERT Exhibit 99.Cert Exhibit 12(a)(2) Rule 30a-2(a) Certification I, Jonathan H. Cohen, Chief Executive Officer of Oxford Lane Capital Corp., certify that: 1. I have reviewed this report on Form N-Q of Oxford Lane Capital Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact |
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| November 14, 2019 |
OXLCO / Oxford Lane Capital Corp. / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 3) 1 Oxford Lane Capital Corp (Name of Issuer) Preferred Securities (Title of Class of Securities) 691543300, 691543508 (CUSIP Number) Daniel L. Lippincott |
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| November 4, 2019 |
Exhibit h.4 OXFORD LANE CAPITAL CORP. Common Stock, $.01 par value per share AMENDMENT NO. 2 TO AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT This Amendment No. 2, dated November 4, 2019 (the “Amendment”), is to the Amended and Restated Equity Distribution Agreement, dated August 10, 2018, and amended by Amendment No. 1 dated May 8, 2019, by and among Oxford Lane Capital Corp., a Maryland cor |
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| November 4, 2019 |
Opinion and Consent of Eversheds Sutherland (US) LLP* EX-99.L.4 3 s120971ex99-l4.htm EXHIBIT L.4 Exhibit l.4 [Letterhead of Eversheds Sutherland (US) LLP] November 4, 2019 Oxford Lane Capital Corp. 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830 Re: Oxford Lane Capital Corp. Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as counsel to Oxford Lane Capital Corp., a Maryland corporation (the “Company”), in connection with the |
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| November 4, 2019 |
OXLC / Oxford Lane Capital Corp. POS EX - - POS EX As filed with the Securities and Exchange Commission on November 4, 2019 Securities Act File No. |
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| September 10, 2019 |
OXLCO / Oxford Lane Capital Corp. / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 2) 1 Oxford Lane Capital Corp (Name of Issuer) Preferred Securities (Title of Class of Securities) 691543300, 691543508 (CUSIP Number) Daniel L. Lippincott |
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| September 5, 2019 |
OXLC / Oxford Lane Capital Corp. DEFA14A - - DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant S Filed by a Party other than the Registrant £ Check the appropriate box: £ Preliminary Proxy Statement £ Confidential, for Use of |
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| September 5, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant S Filed by a Party other than the Registrant £ Check the appropriate box: £ Preliminary Proxy Statement £ Confidential, for Use of |
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| August 1, 2019 |
OXLC / Oxford Lane Capital Corp. N-Q - Quarterly Schedule of Portfolio Holdings - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22432 Oxford Lane Capital Corp. (Exact name of registrant as specified in charter) 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830 (Address of principal executive offices) (Zip code) Jonathan |
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| August 1, 2019 |
EX-99.CERT 2 s115900ex99-cert.htm EXHIBIT 99.CERT Exhibit 99.Cert Exhibit 12(a)(2) Rule 30a-2(a) Certification I, Jonathan H. Cohen, Chief Executive Officer of Oxford Lane Capital Corp., certify that: 1. I have reviewed this report on Form N-Q of Oxford Lane Capital Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fac |
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| August 1, 2019 |
Exhibit 99.906CERT Exhibit 12(b) Rule 30a-2(b) Certification In connection with the Report on Form N-Q for the quarter ended June 30, 2019 (the “Report”) of Oxford Lane Capital Corp. (the “Registrant”), as filed with the Securities and Exchange Commission on the date hereof, I, Jonathan H. Cohen, the Chief Executive Officer of the Registrant, hereby certify, to the best of my knowledge, that: (1) |
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| July 18, 2019 |
OXLC / Oxford Lane Capital Corp. POS 8C - - POST-EFFECTIVE AMENDMENT NO. 4 TO FORM N-2 As filed with the Securities and Exchange Commission on July 18, 2019 Securities Act File No. |
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| July 18, 2019 |
Consent of Independent Registered Public Accounting Firm(13) EX-99.N5 2 pos8ca4exn-5oxfordlane.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit n.5 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-2 of Oxford Lane Capital Corp. of our report dated May 7, 2019 relating to the financial statements of Oxford Lane Capital Corp., which appears in this Registration S |
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| July 18, 2019 |
OXLC / Oxford Lane Capital Corp. CORRESP - - CORRESP 1 filename1.htm [Letterhead of Eversheds Sutherland (US) LLP] July 18, 2019 VIA EDGAR Jeffrey A. Foor, Esq. Kathy Churko Division of Investment Management, Disclosure Review Office U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Dear Mr. Foor and Ms. Churko: On behalf of Oxford Lane Capital Corp. (the “Company”), set forth below are the Company’s responses |
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| May 29, 2019 |
As filed with the Securities and Exchange Commission on May 29, 2019 Securities Act File No. |
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| May 29, 2019 |
OXLC / Oxford Lane Capital Corp. CORRESP - - [Letterhead of Eversheds Sutherland (US) LLP] May 29, 2019 VIA EDGAR James E. O’Connor, Esq. Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Oxford Lane Capital Corp. Post-Effective Amendment No. 3 to the Registration Statement on Form N-2 (File Nos. 333-225462 and 811-22432) filed on May 29, 2019 Dear Mr. O’Connor: On behalf |
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| May 8, 2019 |
Consent of Independent Registered Public Accounting Firm(12) EX-99.N.3 4 s117809exn-3.htm EXHIBIT N.3 Exhibit n.3 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-2 of Oxford Lane Capital Corp. of our report dated May 7, 2019, relating to the financial statements of Oxford Lane Capital Corp., which appears in such Registration Statement. We also consent to the use of our report da |
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| May 8, 2019 |
Opinion and Consent of Eversheds Sutherland (US) LLP(12) EX-99.L.3 3 s117809exl-3.htm EXHIBIT L.3 Exhibit l.3 [Letterhead of Eversheds Sutherland (US) LLP] May 8, 2019 Oxford Lane Capital Corp. 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830 Re: Oxford Lane Capital Corp. Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as counsel to Oxford Lane Capital Corp., a Maryland corporation (the “Company”), in connection with the prepara |
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| May 8, 2019 |
Exhibit h.3 OXFORD LANE CAPITAL CORP. Common Stock, $.01 par value per share AMENDMENT NO. 1 TO AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT This Amendment No. 1, dated May 8, 2019 (the “Amendment”), is to the Amended and Restated Equity Distribution Agreement, dated August 10, 2018, by and among Oxford Lane Capital Corp., a Maryland corporation (the “Company”), Oxford Lane Management, LLC, |
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| May 8, 2019 |
Report of Independent Registered Public Accounting Firm on the senior securities table(12) Exhibit n.4 Report of Independent Registered Public Accounting Firm To the Board of Directors and Shareholders of Oxford Lane Capital Corp. We have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States), the statement of assets and liabilities, including the schedule of investments, of Oxford Lane Capital Corp. (the “Fund”) as of March 31, 2019 a |
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| May 8, 2019 |
POS EX 1 s117809posex.htm POS EX As filed with the Securities and Exchange Commission on May 8, 2019 Securities Act File No. 333-225462 Investment Company Act File No. 811-22432 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x (Check appropriate box or boxes) Pre-Effective Amendment No. ¨ Post-Effective Amendment No. |
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| February 27, 2019 |
OXLCO / Oxford Lane Capital Corp. / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 1) 1 Oxford Lane Capital Corp (Name of Issuer) Preferred (Title of Class of Securities) 691543300 691543508 (CUSIP Number) Daniel L. Lippincott, CFA, Senio |
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| February 11, 2019 |
Exhibit 99.Cert Exhibit 12(a)(2) Rule 30a-2(a) Certification I, Jonathan H. Cohen, Chief Executive Officer of Oxford Lane Capital Corp., certify that: 1. I have reviewed this report on Form N-Q of Oxford Lane Capital Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light |
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| February 11, 2019 |
EX-99.906 CERT 3 s115900ex99-906cert.htm EXHIBIT 99.906 CERT Exhibit 99.906CERT Exhibit 12(b) Rule 30a-2(b) Certification In connection with the Report on Form N-Q for the quarter ended December 31, 2018 (the “Report”) of Oxford Lane Capital Corp. (the “Registrant”), as filed with the Securities and Exchange Commission on the date hereof, I, Jonathan H. Cohen, the Chief Executive Officer of the Re |
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| February 11, 2019 |
Oxford Lane Capital Corp. - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22432 Oxford Lane Capital Corp. (Exact name of registrant as specified in charter) 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830 (Address of principal executive offices) (Zip code) Jonathan |
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| August 28, 2018 |
OXLC / Oxford Lane Capital Corp. DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of |
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| August 10, 2018 |
OXLC / Oxford Lane Capital Corp. POS EX As filed with the Securities and Exchange Commission on August 10, 2018 Securities Act File No. |
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| August 10, 2018 |
Opinion and Consent of Eversheds Sutherland (US) LLP(11) EX-99.L.2 3 s111983ex99l2.htm EXHIBIT L.2 Exhibit l.2 [Letterhead of Eversheds Sutherland (US) LLP] August 10, 2018 Oxford Lane Capital Corp. 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830 Re: Oxford Lane Capital Corp. Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as counsel to Oxford Lane Capital Corp., a Maryland corporation (the “Company”), in connection with the pr |
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| August 10, 2018 |
Form of Amended and Restated Equity Distribution Agreement, dated August 10, 2018(11) Exhibit h.2 OXFORD LANE CAPITAL CORP. Common Stock, $.01 par value per share AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT Dated August 10, 2018 Table of Contents Page SECTION 1. Description of Securities 2 SECTION 2. Placements 3 SECTION 3. Sale of Placement Securities by Ladenburg 4 SECTION 4. Suspension of Sales 4 SECTION 5. Representations and Warranties 4 SECTION 6. Representations and W |
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| August 10, 2018 |
Consent of Independent Registered Public Accounting Firm(11) Exhibit n.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-2 of Oxford Lane Capital Corp. of our report dated May 17, 2018, relating to the financial statements of Oxford Lane Capital Corp., which appears in such Registration Statement. We also consent to the use of our report dated May 17, 2018 relating to the senior |
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| August 7, 2018 |
Exhibit 99.Cert Exhibit 12(a)(2) Rule 30a-2(a) Certification I, Jonathan H. Cohen, Chief Executive Officer of Oxford Lane Capital Corp., certify that: 1. I have reviewed this report on Form N-Q of Oxford Lane Capital Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light |
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| August 7, 2018 |
OXLC / Oxford Lane Capital Corp. N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22432 Oxford Lane Capital Corp. (Exact name of registrant as specified in charter) 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830 (Address of principal executive offices) (Zip code) Jonathan |
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| August 7, 2018 |
Exhibit 99.906CERT Exhibit 12(b) Rule 30a-2(b) Certification In connection with the Report on Form N-Q for the quarter ended June 30, 2018 (the “Report”) of Oxford Lane Capital Corp. (the “Registrant”), as filed with the Securities and Exchange Commission on the date hereof, I, Jonathan H. Cohen, the Chief Executive Officer of the Registrant, hereby certify, to the best of my knowledge, that: (1) |
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| August 1, 2018 |
OXLC / Oxford Lane Capital Corp. CORRESP [Letterhead of Eversheds Sutherland (US) LLP] August 1, 2018 VIA EDGAR James E. O’Connor, Esq. Kathy Churko Division of Investment Management, Disclosure Review Office U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Dear Mr. O’Connor and Ms.Churko: On behalf of Oxford Lane Capital Corp. (the “Company”), set forth below are the Company’s responses to the comments p |
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| August 1, 2018 |
OXLC / Oxford Lane Capital Corp. CORRESP CORRESP 1 filename1.htm OXFORD LANE CAPITAL CORP. 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830 (203) 983-5275 August 1, 2018 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, DC 20549 Attn: James E. O’Connor and Kathy Churko Re: Oxford Lane Capital Corp. Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2 Fil |
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| May 23, 2018 |
Report of Independent Registered Public Accounting Firm EX-99.77(B) 2 s110361ex99-77b.htm EXHIBIT 99.77(B) Exhibit 99.77B Report of Independent Registered Public Accounting Firm To the Board of Directors and Shareholders of Oxford Lane Capital Corp In planning and performing our audit of the financial statements of Oxford Lane Capital Corp. (“the Company”) as of and for the year ended March 31, 2018, in accordance with the standards of the Public Compa |
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| May 23, 2018 |
COMPLIANCE WITH SECTION 16 (a) OF THE SECURITIES EXCHANGE ACT OF 1934 EX-99.77(Q)(2) 3 s110361ex99-77q2.htm EXHIBIT 99.77(Q)(2) Exhibit 99.77Q2 COMPLIANCE WITH SECTION 16 (a) OF THE SECURITIES EXCHANGE ACT OF 1934 Section 16(a) of the Securities Exchange Act of 1934 and Section 30(h) of the Investment Company Act of 1940 require Oxford Lane Capital Corp.’s (the “Fund”) directors, officers and persons who beneficially own more than 10 percent of the Fund’s shares of |
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| May 21, 2018 |
OXLC / Oxford Lane Capital Corp. POS EX As filed with the Securities and Exchange Commission on May 21, 2018 Securities Act File No. |
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| May 21, 2018 |
Consent of Independent Registered Public Accounting Firm* Exhibit n.3 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-2 of Oxford Lane Capital Corp. of our report dated May 17, 2018, relating to the financial statements of Oxford Lane Capital Corp., which appears in such Registration Statement. We also consent to the use of our report dated May 17, 2018 relating to the senior |
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| May 21, 2018 |
Report of Independent Registered Public Accounting Firm on the Senior Securities table* Exhibit n.4 Report of Independent Registered Public Accounting Firm To the Board of Directors of Oxford Lane Capital Corp.: We have audited the financial statements of Oxford Lane Capital Corp. (the “Fund”) as of and for the year ended March 31, 2018 appearing in the accompanying registration statement on Form N-2. We have also previously audited the financial statements of the Fund as of and for |
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| April 11, 2018 |
SC 13G/A 1 sc13ga041118.htm SCHEDULE 13G AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Oxford Lane Capital Corporation (Name of Issuer) Preferred (Title of Class of Securities) 69181V206 (CUSIP Number) March 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the a |
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| April 10, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Oxford Lane Capital Corporation (Name of Issuer) Preferred (Title of Class of Securities) 69181V206 (CUSIP Number) March 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| February 13, 2018 |
OXLCO / Oxford Lane Capital Corp. / HERZFELD THOMAS J Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Oxford Lane Capital Corporation (Name of Issuer) Preferred Stock (Title of Class of Securities) 691543300 691543508 (CUSIP Number(s)) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| February 12, 2018 |
Exhibit k.2 Securities Industry and Financial Markets Association The logo on this form may have been updated. The content of this document has not been modified since its original website posting. In light of rapidly changing business and regulatory environments, current accuracy cannot be assured. Master Repurchase Agreement September 1996 Version Dated as of December 20, 2017 Between: Nomura Se |
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| February 12, 2018 |
OXLC / Oxford Lane Capital Corp. POS EX As filed with the Securities and Exchange Commission on February 12, 2018 Securities Act File No. |
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| February 12, 2018 |
Opinion and Consent of Eversheds Sutherland (US) LLP(10) Exhibit l.6 [Letterhead of Eversheds Sutherland (US) LLP] February 12, 2018 Oxford Lane Capital Corp. 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830 Re: Oxford Lane Capital Corp. Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as counsel to Oxford Lane Capital Corp., a Maryland corporation (the ?Company?), in connection with the preparation and filing by the Company with |
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| February 12, 2018 |
EX-99.H.6 2 s108979ex99h-6.htm EXHIBIT H.6 Exhibit h.6 OXFORD LANE CAPITAL CORP. Common Stock, $.01 par value per share AMENDMENT NO. 3 TO EQUITY DISTRIBUTION AGREEMENT This Amendment No. 3, dated February 12, 2018 (the “Amendment”), is to the Equity Distribution Agreement, dated March 7, 2016, and amended by Amendment No. 1 dated November 21, 2016 and Amendment No. 2 dated May 23, 2017 by and amo |
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| February 9, 2018 |
OXLCO / Oxford Lane Capital Corp. / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) Oxford Lane Capital Corp (Name of Issuer) Preferred (Title of Class of Securities) 691543300 691543508 (CUSIP Number) Daniel Lippincott, Senior Tax-Sensitive Manager Karp |
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| February 8, 2018 |
EX-99.CERT 2 s108930ex99-cert.htm EXHIBIT 99.CERT Exhibit 99.Cert Exhibit 12(a)(2) Rule 30a-2(a) Certification I, Jonathan H. Cohen, Chief Executive Officer of Oxford Lane Capital Corp., certify that: 1. I have reviewed this report on Form N-Q of Oxford Lane Capital Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fac |
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| February 8, 2018 |
Oxford Lane Capital Corp. - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22432 Oxford Lane Capital Corp. (Exact name of registrant as specified in charter) 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830 (Address of principal executive offices) (Zip code) Jonathan |
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| February 8, 2018 |
Exhibit 99.906CERT Exhibit 12(b) Rule 30a-2(b) Certification In connection with the Report on Form N-Q for the quarter ended December 31, 2017 (the “Report”) of Oxford Lane Capital Corp. (the “Registrant”), as filed with the Securities and Exchange Commission on the date hereof, I, Jonathan H. Cohen, the Chief Executive Officer of the Registrant, hereby certify, to the best of my knowledge, that: |
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| January 24, 2018 |
OXLC / Oxford Lane Capital Corp. / Frantz Leroy Scott - SC 13G/A Passive Investment SC 13G/A 1 s10880313ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Amendment No. 2)* Under the Securities Exchange Act of 1934 Oxford Lane Capital Corp. (Name of Issuer) Preferred Stock (Title of Class of Securities) 691543 300 691543 508 (CUSIP Number(s)) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appr |
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| January 19, 2018 |
OXLCO / Oxford Lane Capital Corp. / Selz Capital LLC - SCHEDULE 13G Passive Investment Schedule 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) OXFORD LANE CAPITAL CORP. (Name of Issuer) Common Stock (Title of Class of Securities) 6915431020 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
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| November 9, 2017 |
Second Amended and Restated Bylaws(8) Exhibit 99.77Q1(a) OXFORD LANE CAPITAL CORP. SECOND AMENDED AND RESTATED BYLAWS November 1, 2017 ARTICLE I OFFICES Section 1. PRINCIPAL OFFICE. The principal office of the Corporation in the State of Maryland shall be located at such place as the Board of Directors may designate. Section 2. ADDITIONAL OFFICES. The Corporation may have additional offices, including a principal executive office, at |
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| August 23, 2017 |
OXLC / Oxford Lane Capital Corp. CORRESP [Letterhead of Eversheds Sutherland (US) LLP] August 23, 2017 VIA EDGAR James E. O’Connor, Esq. Kathy Churko Division of Investment Management, Disclosure Review Office U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Oxford Lane Capital Corp. Post-Effective Amendment No. 9 to the Registration Statement on Form N-2 filed on June 19, 2017 (File Nos: 333-205405; |
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| August 23, 2017 |
As filed with the Securities and Exchange Commission on August 23, 2017 Securities Act File No. |
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| August 23, 2017 |
OXLC / Oxford Lane Capital Corp. CORRESP OXFORD LANE CAPITAL CORP. 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830 (203) 983-5275 August 23, 2017 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, DC 20549 Attn: James E. O’Connor and Kathy Churko Re: Oxford Lane Capital Corp. Post Effective Amendment No. 10 to the Registration Statement on Form N-2 Filed on August 23, 2017 |
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| August 23, 2017 |
Consent of Independent Registered Public Accounting Firm(13) EX-99.N.1 2 v473134ex99-n1.htm EXHIBIT N.1 Exhibit n.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-2 of Oxford Lane Capital Corp. of our report dated May 18, 2017, relating to the financial statements of Oxford Lane Capital Corp., which appears in such Registration Statement. We also consent to the use of our report |
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| August 22, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of |
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| August 11, 2017 |
EX-99.906 CERT 3 s107120ex99-906cert.htm Exhibit 99.906CERT Exhibit 12(b) Rule 30a-2(b) Certification In connection with the Report on Form N-Q for the quarter ended June 30, 2017 (the “Report”) of Oxford Lane Capital Corp. (the “Registrant”), as filed with the Securities and Exchange Commission on the date hereof, I, Jonathan H. Cohen, the Chief Executive Officer of the Registrant, hereby certify |
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| August 11, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22432 Oxford Lane Capital Corp. (Exact name of registrant as specified in charter) 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830 (Address of principal executive offices) (Zip code) Jonathan |
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| August 11, 2017 |
OXLCO / Oxford Lane Capital Corp. / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13 G Under the Securities Exchange Act of 1934 (Amendment No. 1) Oxford Lane Capital Corp (OXLC) (Name of Issuer) Cumulative Preferred (Title of Class of Securities) 691543300, 691543508 (CUSIP Number) July 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| August 11, 2017 |
Exhibit 12(a)(2) Rule 30a-2(a) Certification EX-99.CERT 2 s107120ex99cert.htm Exhibit 99.Cert Exhibit 12(a)(2) Rule 30a-2(a) Certification I, Jonathan H. Cohen, Chief Executive Officer of Oxford Lane Capital Corp., certify that: 1. I have reviewed this report on Form N-Q of Oxford Lane Capital Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to ma |
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| August 10, 2017 |
OXLCO / Oxford Lane Capital Corp. / Thomas J. Herzfeld Advisors, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Oxford Lane Capital Corporation (Name of Issuer) Preferred Stock (Title of Class of Securities) 691543409 691543300 691543508 (CUSIP Number(s)) July 14, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate t |
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| July 10, 2017 |
OXLCO / Oxford Lane Capital Corp. / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13 G Under the Securities Exchange Act of 1934 Oxford Lane Capital Corp (OXLC) (Name of Issuer) Cumulative Preferred (Title of Class of Securities) 691543300, 691543508 (CUSIP Number) June 30, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| June 19, 2017 |
OXLC / Oxford Lane Capital Corp. CORRESP [Letterhead of Eversheds Sutherland (US) LLP] June 19, 2017 VIA EDGAR James E. O’Connor, Esq. Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Oxford Lane Capital Corp. Post-Effective Amendment No. 9 to the Registration Statement on Form N-2 (File Nos. 333-205405 and 811-22432) filed June 19, 2017 Dear Mr. O’Connor: On behalf o |
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| June 19, 2017 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit n.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-2 of Oxford Lane Capital Corp. of our report dated May 18, 2017, relating to the financial statements of Oxford Lane Capital Corp., which appears in such Registration Statement. We also consent to the use of our report dated May 18, 2017 relating to the senior |
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| June 19, 2017 |
As filed with the Securities and Exchange Commission on June 19, 2017 Securities Act File No. |
