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Section 1: N-PX (N-PX)

 

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



   

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