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, 2019 – June 30, 2020
Item 1. Proxy Voting Record.
| Issuer Name: Venture XV CLO | |||||
|
Meeting Date: July 3, 2019 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 92328LAB1 | |||||
| Proposal No. | Proposal |
Proposed By |
Oxford Lane Capital Corp. (“OXLC”) Rec |
Vote Cast | Sponsor |
| 1 | This Supplemental Indenture, in conjunction with the Reset, amended the Indenture to reflect the terms of the Reset. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: Ocean Trails CLO VI | |||||
|
Meeting Date: July 3, 2019 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 67515TAE3 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 2 | This Supplemental Indenture, in conjunction with the Reset, amended the Indenture to reflect the terms of the Reset. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: Madison Park Funding XXIV | |||||
|
Meeting Date: August 8, 2019 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 55820QAC8 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 3 | This Supplemental Indenture, in conjunction with the Refinancing, amended the Indenture to reflect the terms of the Refinancing. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: HPS Loan Management 10-2016 | |||||
|
Meeting Date: August 26, 2019 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 40436UAC7 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 4 | This Supplemental Indenture, in conjunction with the Refinancing, amended the Indenture to reflect the terms of the Refinancing. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: OZLM XIV | |||||
|
Meeting Date: September 19, 2019 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 67110JAE4 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 5 | This Supplemental Indenture, in conjunction with the Refinancing, amended the Indenture to reflect the terms of the Refinancing. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: OZLM Funding III | |||||
|
Meeting Date: October 10, 2019 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 67108GAC8 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 6 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: Shackleton 2017-X CLO | |||||
|
Meeting Date: October 24, 2019 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 81883CAC9 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 7 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: Shackleton 2017-X CLO | |||||
|
Meeting Date: November 1, 2019 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 81883CAC9 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 8 | OXLC elected to withdraw its notice of Optional Redemption pursuant to the deal indenture. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: OZLM Funding III | |||||
|
Meeting Date: November 7, 2019 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 67108GAC8 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 9 | This Supplemental Indenture, in conjunction with the Refinancing, amended the Indenture to reflect the terms of the Refinancing. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: Madison Park Funding XXII | |||||
|
Meeting Date: January 13, 2020 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 55819VAC0 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 10 | OXLC elected in favor of a reset of this deal via an Optional Redemption pursuant to the deal indenture. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: Figueroa CLO 2013-2 | |||||
|
Meeting Date: January 14, 2020 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: G34735AB9 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 11 | OXLC elected in favor of a call of this deal via an Optional Redemption pursuant to the deal indenture. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: Shackleton 2017-X CLO | |||||
|
Meeting Date: January 14, 2020 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 81883CAC9 | |||||
| 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. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: Venture XIV CLO | |||||
|
Meeting Date: January 27, 2020 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 92328HAC8 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 13 | OXLC elected in favor of a refinancing of this deal via an Optional Redemption pursuant to the deal indenture. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: Shackleton 2017-X CLO | |||||
|
Meeting Date: February 7, 2020 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 81883CAC9 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 14 | This Supplemental Indenture, in conjunction with the Refinancing, amended the Indenture to reflect the terms of the Refinancing. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: Madison Park Funding XXII | |||||
|
Meeting Date: February 19, 2020 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 55819VAC0 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 15 | This Supplemental Indenture, in conjunction with the Reset, amended the Indenture to reflect the terms of the Reset. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: Bristol Park CLO | |||||
|
Meeting Date: February 21, 2020 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 11015TAA4 / G1382AA0 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 16 | This Supplemental Indenture, in conjunction with the Refinancing, amended the Indenture to reflect the terms of the Refinancing. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: Venture XIV CLO | |||||
|
Meeting Date: February 27, 2020 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 92328HAC8 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 17 | This Supplemental Indenture, in conjunction with the Refinancing, amended the Indenture to reflect the terms of the Refinancing. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: Figueroa CLO 2013-2 | |||||
|
Meeting Date: March 18, 2020 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: G34735AB9 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 18 | OXLC approved an acknowledgement and consent allowing the remaining assets in Figueroa CLO 2013-2 to be distributed on any business day, rather than only on a Payment Date. | CLO Manager | For | Consented | CLO Manager |
| Issuer Name: AMMC CLO XII | |||||
|
Meeting Date: April 8, 2020 (Record Date) Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 00176EAE7 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 19 | This Supplemental Indenture amended the Indenture's definition of "Collection Period" to include the last day of the month prior to the Payment Date. | CLO Manager | For | Consented | CLO 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 25, 2020 | ||