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, 2014 – June 30, 2015
Item 1. Proxy Voting Record.
| Issuer Name: SHACKLETON II CLO, LTD. | |||||
|
Meeting Date: August 7, 2014 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 81881RAA2 | |||||
| Proposal No. | Proposal |
Proposed By |
Mgt Rec | Vote Cast | Sponsor |
| 1 | To Amend the Fee Sharing Letter as set forth in the Amended and Restated Fee Sharing Letter | Mgt | For | Consented | Mgt |
| Issuer Name: Neuberger Berman CLO XIII, Ltd | |||||
|
Meeting Date: August 25, 2014 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 64129DAB9 | |||||
| Proposal No. | Proposal |
Proposed By |
Mgt Rec | Vote Cast | Sponsor |
| 1 | To Amend the Indenture as set forth in the Supplemental Indenture | Mgt | For | Consented | Mgt |
| Issuer Name: Neuberger Berman CLO XIII, Ltd | |||||
|
Meeting Date: August 25, 2014 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 64129DAF0 | |||||
| Proposal No. | Proposal |
Proposed By |
Mgt Rec | Vote Cast | Sponsor |
| 1 | To Amend the Indenture as set forth in the Supplemental Indenture | Mgt | For | Consented | Mgt |
| Issuer Name: Carlyle Global Market Strategies CLO 2013-2, Ltd. | |||||
|
Meeting Date: October 31, 2014 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 14310EAC9 | |||||
| Proposal No. | Proposal |
Proposed By |
Mgt Rec | Vote Cast | Sponsor |
| 1 | To Amend the Indenture as set forth in the Supplemental Indenture | Mgt | For | Consented | Mgt |
| Issuer Name: Carlyle Global Market Strategies CLO 2013-2, Ltd. | |||||
|
Meeting Date: October 31, 2014 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 14310EAG0 | |||||
| Proposal No. | Proposal |
Proposed By |
Mgt Rec | Vote Cast | Sponsor |
| 1 | To Amend the Indenture as set forth in the Supplemental Indenture | Mgt | For | Consented | Mgt |
| Issuer Name: Ares XXV CLO LTD. | |||||
|
Meeting Date: April 16, 2015 Meeting Type: Written Consent | |||||
|
Ticker: N/A ISIN: USG3291KAB64 | |||||
| Proposal No. | Proposal |
Proposed By |
Mgt Rec | Vote Cast | Sponsor |
| 1 | To Amend the Indenture as set forth in the Supplemental Indenture | Mgt | For | Consented | Mgt |
| Issuer Name: Ares XXVI CLO LTD. | |||||
|
Meeting Date: May 20, 2015 Meeting Type: Written Consent | |||||
|
Ticker: N/A CUSIP: 04014MAC1 | |||||
| Proposal No. | Proposal |
Proposed By |
Mgt Rec | Vote Cast | Sponsor |
| 1 | To Amend the Indenture as set forth in the Supplemental Indenture | Mgt | For | Consented | Mgt |
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 17, 2015