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, 2016 – June 30, 2017
Item 1. Proxy Voting Record.
| Issuer Name: THL Credit Wind River 2014-3 CLO | |||||
|
Meeting Date: June 6, 2017 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 88432JAA9 | |||||
| Proposal No. | Proposal |
Proposed By |
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: June 1, 2017 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 87974GAA1 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 2 | OXLC elected in favor of an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
| Issuer Name: Jamestown CLO III | |||||
|
Meeting Date: May 12, 2017 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: G8229AC0 | |||||
| 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: Ares XXV CLO | |||||
|
Meeting Date: April 20, 2017 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 00191EAC2 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 4 | OXLC elected in favor of an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
| Issuer Name: Jamestown CLO III | |||||
|
Meeting Date: April 4, 2017 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: G8229AC0 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 5 | 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: THL Credit Wind River 2014-3 CLO | |||||
|
Meeting Date: March 28, 2017 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 88432JAA9 | |||||
| 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. | Manager | For | Consented | Manager |
| Issuer Name: Battalion CLO VII | |||||
|
Meeting Date: March 21, 2017 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 07131YAC6 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 7 | OXLC elected in favor of withdrawing the Notice of Refinancing solely with respect to the Class C Notes. | Manager | For | Consented | Manager |
| Issuer Name: Shackleton II CLO | |||||
|
Meeting Date: March 16, 2017 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 81881RAA2 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 8 | OXLC elected in favor of an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
| Issuer Name: Battalion CLO VII | |||||
|
Meeting Date: March 2, 2017 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 07131YAC6 | |||||
| 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: Battalion CLO VII | |||||
|
Meeting Date: March 2, 2017 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 07131YAC6 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 10 | 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 XXIX CLO | |||||
|
Meeting Date: February 13, 2017 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 04014XAE3 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 11 | 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: Hull Street CLO | |||||
|
Meeting Date: February 9, 2017 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 444837AE8 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 12 | This supplemental indenture request amended the indenture to affect a Key Person succession on behalf of the Collateral Manager. | Manager | For | Consented | Manager |
| Issuer Name: Carlyle Global Market Strategies CLO 2014-4 | |||||
|
Meeting Date: January 18, 2017 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 14310YAE1 | |||||
| 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. | Manager | For | Consented | Manager |
| Issuer Name: Ares XXIX CLO | |||||
|
Meeting Date: January 13, 2017 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 04014XAE3 | |||||
| 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: Shackleton 2015-VII CLO | |||||
|
Meeting Date: December 20, 2016 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 81882CAC0 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 15 | 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: Neuberger Berman CLO XII | |||||
|
Meeting Date: December 5, 2016 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 64129DAB9 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 16 | OXLC elected in favor of an Optional Redemption pursuant to the deal indenture. | Manager | For | Consented | Manager |
| Issuer Name: Jamestown CLO III | |||||
|
Meeting Date: November 8, 2016 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: G8229AC0 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 17 | This supplemental indenture request amended the indenture to affect a Key Person succession on behalf of the Collateral Manager. | Manager | For | Consented | Manager |
| Issuer Name: Jamestown CLO IV | |||||
|
Meeting Date: November 8, 2016 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 47047UAE9 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 18 | This supplemental indenture request amended the indenture to affect a Key Person succession on behalf of the Collateral Manager. | Manager | For | Consented | Manager |
| Issuer Name: Octagon Investment Partners XXI | |||||
|
Meeting Date: October 27, 2016 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 67590UAE8 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 19 | 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 II CLO | |||||
|
Meeting Date: October 20, 2016 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 81881RAA2 | |||||
| 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 and increase the likelihood that the CLO will not constitute a “covered fund” under Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act and make the CLO “Volcker compliant”. | Manager | For | Consented | Manager |
| Issuer Name: Shackleton II CLO | |||||
|
Meeting Date: September 19, 2016 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 81881RAA2 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 21 | 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: Ares XXV CLO | |||||
|
Meeting Date: August 17, 2016 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 00191EAC2 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 22 | This request amended the indenture to reflect the terms of the refinancing and amended several definitions to increase the likelihood that the CLO will not constitute a “covered fund” under Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act and make the CLO “Volcker compliant”. | Manager | For | Consented | Manager |
| Issuer Name: Ares XXV CLO | |||||
|
Meeting Date: August 11, 2016 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 00191EAC2 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 23 | 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: Longfellow Place CLO | |||||
|
Meeting Date: July 15, 2016 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 54303NAD2 | |||||
| Proposal No. | Proposal |
Proposed By |
OXLC Rec |
Vote Cast | Sponsor |
| 24 | This supplemental indenture request amended the indenture to affect a Key Person succession on behalf of the Collateral Manager. | 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 18, 2017