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Section 1: NSAR-B (NSAR-B)

PAGE 1 000 B000000 03/31/2018 000 C000000 0001495222 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 OXFORD LANE CAPITAL CORP. 001 B000000 811-22432 001 C000000 2039835275 002 A000000 8 SOUND SHORE DRIVE, SUITE 255 002 B000000 GREENWICH 002 C000000 CT 002 D010000 06830 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 021 000000 0 022 A000001 Citi 022 B000001 11-2418191 022 C000001 63838 022 D000001 26289 022 A000002 Credit Suisse 022 B000002 13-3442768 022 C000002 53815 022 D000002 26827 022 A000003 Nomura 022 B000003 13-2642206 022 C000003 35090 022 D000003 31689 022 A000004 Goldman Sachs 022 B000004 13-5108880 022 C000004 43054 022 D000004 14925 022 A000005 Barclays 022 B000005 30-6324196 022 C000005 21347 022 D000005 23709 022 A000006 US Bank 022 B000006 41-0255900 022 C000006 30000 022 D000006 15000 022 A000007 Morgan Stanley 022 B000007 36-3145972 022 C000007 16323 022 D000007 19534 PAGE 2 022 A000008 Bank of America - PE Group 022 B000008 56-0906609 022 C000008 17917 022 D000008 16720 022 A000009 Jefferies 022 B000009 95-4719745 022 C000009 43594 022 D000009 1391 022 A000010 R.W. BAIRD 022 B000010 39-6037917 022 C000010 8410 022 D000010 13573 023 C000000 333388 023 D000000 189657 026 A000000 N 026 B000000 N 026 C000000 N 026 D000000 N 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 N 055 A000000 N 055 B000000 N 061 000000 0 062 A000000 Y 062 B000000 0.0 062 C000000 0.0 062 D000000 0.0 062 E000000 0.0 062 F000000 0.0 062 G000000 0.0 062 H000000 0.0 062 I000000 0.0 062 J000000 0.0 062 K000000 0.0 062 L000000 7.0 062 M000000 0.0 062 N000000 0.0 062 O000000 0.0 062 P000000 0.0 062 Q000000 4.4 062 R000000 162.1 063 B000000 10.3 064 A000000 N 066 A000000 N 070 A010000 Y 070 A020000 Y 070 B010000 N PAGE 3 070 B020000 N 070 C010000 N 070 C020000 N 070 D010000 N 070 D020000 N 070 E010000 N 070 E020000 N 070 F010000 N 070 F020000 N 070 G010000 N 070 G020000 N 070 H010000 N 070 H020000 N 070 I010000 N 070 I020000 N 070 J010000 N 070 J020000 N 070 K010000 N 070 K020000 N 070 L010000 N 070 L020000 N 070 M010000 N 070 M020000 N 070 N010000 N 070 N020000 N 070 O010000 N 070 O020000 N 070 P010000 N 070 P020000 N 070 Q010000 N 070 Q020000 N 070 R010000 N 070 R020000 N 071 A000000 391928 071 B000000 239723 071 C000000 399411 071 D000000 53 072 A000000 12 072 B000000 1600 072 C000000 71119 072 D000000 0 072 E000000 2097 072 F000000 18646 072 G000000 71 072 H000000 529 072 I000000 73 072 J000000 64 072 K000000 0 072 L000000 0 072 M000000 289 072 N000000 0 PAGE 4 072 O000000 0 072 P000000 13400 072 Q000000 0 072 R000000 366 072 S000000 249 072 T000000 0 072 U000000 0 072 V000000 0 072 W000000 775 072 X000000 34462 072 Y000000 0 072 Z000000 40354 072AA000000 625 072BB000000 1709 072CC010000 0 072CC020000 1264 072DD010000 0 072DD020000 0 072EE000000 0 073 A010000 1.3607 073 A020000 0.0000 073 B000000 0.2443 073 C000000 0.0000 074 A000000 20334 074 B000000 0 074 C000000 0 074 D000000 0 074 E000000 0 074 F000000 0 074 G000000 0 074 H000000 0 074 I000000 482573 074 J000000 5603 074 K000000 0 074 L000000 5334 074 M000000 345 074 N000000 514189 074 O000000 23973 074 P000000 5169 074 Q000000 0 074 R010000 42494 074 R020000 0 074 R030000 0 074 R040000 152623 074 S000000 0 074 T000000 289930 074 U010000 26769 074 U020000 0 074 V010000 10.08 074 V020000 0.00 074 W000000 0.0000 PAGE 5 074 X000000 103 074 Y000000 0 075 B000000 254893 076 000000 10.13 077 A000000 Y 077 B000000 Y 077 C000000 N 077 D000000 N 077 E000000 N 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 N 077 Q020000 Y 077 Q030000 N 078 000000 N 080 A000000 Indian Harbor Insurance Company 080 C000000 1000 081 A000000 N 082 A000000 N 083 A000000 N 084 A000000 N 085 A000000 Y 085 B000000 N 086 A010000 6017 086 A020000 61619 086 B010000 0 086 B020000 0 086 C010000 2729 086 C020000 66078 086 D010000 2020 086 D020000 50504 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 087 A010000 6.75% Series 2024 Term Preferred Shares 087 A020000 691543508 087 A030000 OXLCM SIGNATURE Bruce L. Rubin TITLE Chief Financial Officer (Back To Top)

Section 2: EX-99.77(B) (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 Company Accounting Oversight Board (United States), we considered the Company’s internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Company’s internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Company’s internal control over financial reporting.

 

The management of the Company is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company’s assets that could have a material effect on the financial statements.

 

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

 

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Company’s annual or interim financial statements will not be prevented or detected on a timely basis.

 

Our consideration of the Company’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control over financial reporting that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Company’s internal control over financial reporting and its operation, including controls over safeguarding securities that we consider to be material weaknesses as defined above as of March 31, 2018.

 

PricewaterhouseCoopers LLP, 300 Madison Avenue, New York, NY 10017

T: (646) 471 3000, F: (646) 471 8320, www.pwc.com/us

 

 

 

 

 

This report is intended solely for the information and use of management and the Board of Directors of Oxford Lane Capital Corp. and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

 

 
May 17, 2018  

 

 

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Section 3: EX-99.77(Q)(2) (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 common stock to file reports of ownership of the Fund’s shares of common stock and changes in such ownership on Forms 3, 4, and 5 with the Securities and Exchange Commission (“SEC”). Such persons are required by SEC regulations to furnish the Fund with copies of all such filings. Based solely upon a review of the copies of such forms furnished, the Fund does not know of any director, officer or person who beneficially owns more than 10 percent of the Fund’s shares of common stock who, during the Fund’s last fiscal year, failed to file on a timely basis the required reports.

 

 

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