UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD 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)
Jonathan H. Cohen
Chief Executive Officer
Oxford Lane Capital Corp.
8 Sound Shore Drive, Suite 255
Greenwich, CT 06830
(Name and address of agent for service)
Registrant’s telephone number, including area code: (203) 983-5275
Date of fiscal year end: March 31
Date of reporting period: July 1, 2017 – June 30, 2018
Item 1. Proxy Voting Record.
Issuer Name: Telos CLO 2013-3 | |||||
Meeting Date: July 17, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 87974GAA1 | |||||
Proposal No. | Proposal |
Proposed By |
Oxford Lane Capital Corp. (“OXLC”) Rec |
Vote Cast | Sponsor |
1 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: Telos CLO 2013-3 | |||||
Meeting Date: July 17, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: US87974GAB95 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
2 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: Telos CLO 2013-3 | |||||
Meeting Date: July 17, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: USG87562AA56 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
3 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: CIFC Funding 2014-III | |||||
Meeting Date: July 19, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: US12549TAA79 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
4 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: CIFC Funding 2014-III | |||||
Meeting Date: July 19, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: USG2206CAA20 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
5 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: Ares XLIII CLO | |||||
Meeting Date: July 27, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 04017AAC4 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
6 | This Supplemental Indenture request amended the indenture for several definitions to relating to Section 1.1 of the Indenture. | Manager | For | Consented | Manager |
Issuer Name: Venture XIV CLO | |||||
Meeting Date: August 15, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: US92328HAC88 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
7 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: OFSI Fund VII | |||||
Meeting Date: August 22, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 67107GAC9 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
8 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: AMMC CLO XII | |||||
Meeting Date: August 30, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: US00176EAE77 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
9 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: Atrium XII | |||||
Meeting Date: September 5, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 04964YAE1 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
10 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: Carlyle Global Market Strategies CLO 2013-2 | |||||
Meeting Date: September 8, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 14310EAG0 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
11 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: Carlyle Global Market Strategies CLO 2013-2 | |||||
Meeting Date: September 8, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: USG19129AD03 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
12 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: Telos CLO 2013-4 | |||||
Meeting Date: September 14, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 87974JAA5 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
13 | OXLC elected in favor of an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: Venture XXI CLO | |||||
Meeting Date: September 18, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: US92330LAE11 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
14 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: Venture XXI CLO | |||||
Meeting Date: September 18, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: USG93505AC29 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
15 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: Race Point IX CLO | |||||
Meeting Date: September 21, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 74981G300 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
16 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: Telos CLO 2013-4 | |||||
Meeting Date: September 26, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 87974JAA5 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
17 | OXLC elected in favor of amending the Notice of Refinancing | Manager | For | Consented | Manager |
Issuer Name: Ivy Hill Middle Market Credit Fund VII | |||||
Meeting Date: September 27, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 46602YAC4 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
18 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: OFSI Fund VII | |||||
Meeting Date: October 3, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 67107GAC9 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
19 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: Venture XXI CLO | |||||
Meeting Date: October 16, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: US92330LAE11 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
20 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: Venture XXI CLO | |||||
Meeting Date: October 16, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: USG93505AC29 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
21 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: Ivy Hill Middle Market Credit Fund VII | |||||
Meeting Date: October 20, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 46602YAC4 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
22 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: Atrium XII | |||||
Meeting Date: November 6, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 04964YAE1 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
23 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: AMMC CLO XII | |||||
Meeting Date: November 10, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: US00176EAE77 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
24 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: Carlyle Global Market Strategies CLO 2013-2 | |||||
Meeting Date: November 30, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 14310EAG0 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
25 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: Carlyle Global Market Strategies CLO 2013-2 | |||||
Meeting Date: November 30, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: USG19129AD03 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
26 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: Ares XXVI CLO | |||||
Meeting Date: December 8, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: US04014MAC10 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
27 | OXLC elected in favor of an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: Ares XXVI CLO | |||||
Meeting Date: December 8, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: USG3292RAB09 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
28 | OXLC elected in favor of an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: CIFC Funding 2015-I | |||||
Meeting Date: December 18, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 12548NAG8 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
29 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: CIFC Funding 2015-I | |||||
Meeting Date: December 18, 2017 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: USG2201KAA90 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
30 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: Telos CLO 2013-4 | |||||
Meeting Date: January 15, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 87974JAA5 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
31 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: Battalion CLO VII | |||||
Meeting Date: March 8, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 07131YAC6 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
32 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: Mountain Hawk II CLO | |||||
Meeting Date: March 12, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 62405UAA2 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
33 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: Blue Hill CLO | |||||
Meeting Date: March 12, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: US095559AC43 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
34 | OXLC elected in favor of an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: Mountain Hawk II CLO | |||||
Meeting Date: March 28, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 62405UAA2 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
35 | OXLC elected in favor of withdrawing the Notice of Refinancing | Manager | For | Consented | Manager |
Issuer Name: Battalion CLO VII | |||||
Meeting Date: April 2, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 07131YAC6 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
36 | OXLC elected in favor of withdrawing the Notice of Refinancing | Manager | For | Consented | Manager |
Issuer Name: Venture XVII CLO | |||||
Meeting Date: April 3, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: USG93472AB78 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
37 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: Venture XVII CLO | |||||
Meeting Date: April 3, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: US92330CAB72 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
38 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: Apex Credit CLO 2015-II | |||||
Meeting Date: May 17, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: US46618PAC59 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
39 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
Issuer Name: OZLM XII | |||||
Meeting Date: May 17, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: US67109XAE67 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
40 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: Battalion CLO VII | |||||
Meeting Date: May 31, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 07131YAC6 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
41 | OXLC elected in favor of amending the Notice of Refinancing | Manager | For | Consented | Manager |
Issuer Name: Apidos CLO XXI | |||||
Meeting Date: June 4, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: US03765RAE99 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
42 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: Mountain Hawk II CLO | |||||
Meeting Date: June 13, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 62405UAA2 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
43 | OXLC elected in favor of amending the Notice of Refinancing | Manager | For | Consented | Manager |
Issuer Name: Jamestown CLO III | |||||
Meeting Date: June 14, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: USG82292AC03 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
44 | OXLC elected in favor of an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: Jamestown CLO III | |||||
Meeting Date: June 14, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: US47047AAE38 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
45 | OXLC elected in favor of an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: Shackleton 2015-VII CLO | |||||
Meeting Date: June 15, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 81882CAC0 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
46 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: CIFC Funding 2014-III | |||||
Meeting Date: June 19, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: US12549TAA79 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
47 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: CIFC Funding 2014-III | |||||
Meeting Date: June 19, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: USG2206CAA20 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
48 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
Issuer Name: Shackleton 2015-VII CLO | |||||
Meeting Date: June 21, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: 81882CAC0 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
49 | OXLC elected in favor of partially withdrawing the Notice of Refinancing | Manager | For | Consented | Manager |
Issuer Name: Apidos CLO XXI | |||||
Meeting Date: June 25, 2018 (Record Date) Meeting Type: Written Consent | |||||
Ticker: N/A CUSIP: US03765RAE99 | |||||
Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
50 | This Supplemental Indenture request amended the indenture for several definitions to reflect the terms of the refinancing executed via Optional Redemption. | Manager | For | Consented | Manager |
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
OXFORD LANE CAPITAL CORP.
By: /s/ Jonathan H. Cohen
Jonathan H. Cohen
Chief Executive Officer
Date: August 27, 2018