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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, 2018 – June 30, 2019

 

 

Item 1. Proxy Voting Record.

 

Issuer Name:  Battalion CLO VII

Meeting Date: July 6, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 07131YAC6

Proposal No. Proposal

Proposed

By

Oxford Lane Capital Corp. (“OXLC”)

Rec

Vote Cast Sponsor
1 This Supplemental Indenture in conjunction with the Reset, would amend the Indenture to reflect the terms of the Reset. Manager For Consented Manager

 

Issuer Name:  Octagon Investment Partners 27

Meeting Date: July 11, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 67591CAC1

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
2 This Supplemental Indenture in conjunction with the Reset, would amend the Indenture to reflect the terms of the Reset. Manager For Consented Manager

 

Issuer Name:  Dryden 42 Senior Loan Fund

Meeting Date: July 11, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 26245AAA5

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
3 This Supplemental Indenture in conjunction with the Reset, would amend the Indenture to reflect the terms of the Reset. Manager For Consented Manager

 

 

 

 

Issuer Name:  Mountain Hawk II CLO

Meeting Date: July 16, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 62405UAA2

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
4 This Supplemental Indenture in conjunction with the Refinancing, would amend the Indenture to reflect the terms of the Refinancing. Manager For Consented Manager

 

Issuer Name:  Shackleton 2017-X CLO

Meeting Date: July 20, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 81883CAC9

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
5 This Supplemental Indenture request amended the indenture for several definitions to reflect the updated Collateral Quality Matrix. Manager For Consented Manager

 

Issuer Name:  MidOcean Credit CLO VIII

Meeting Date: July 30, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 59801NAE6

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
6 This Supplemental Indenture request amended the indenture for several definitions to reflect the updated Concentration Limitations. Manager For Consented Manager

 

 

 

 

Issuer Name:  Covenant Credit Partners CLO II

Meeting Date: August 15, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 22284GAE5

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
7 OXLC elected in favor of a call of this deal via an Optional Redemption pursuant to the deal indenture. Manager For Consented Manager

 

Issuer Name:  OZLM XII

Meeting Date: August 31, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 67109XAE6

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
8 This Supplemental Indenture in conjunction with the Refinancing, would amend the Indenture to reflect the terms of the Refinancing. Manager For Consented Manager

 

Issuer Name:  OZLM XIII

Meeting Date: August 31, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 67110CAE9

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
9 This Supplemental Indenture in conjunction with the Refinancing, would amend the Indenture to reflect the terms of the Refinancing. Manager For Consented Manager

 

 

 

 

Issuer Name:  THL Credit Wind River 2014-3 CLO

Meeting Date: September 4, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 88432JAA9

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. Manager For Consented Manager

 

Issuer Name:  Halcyon Loan Advisors Funding 2015-2

Meeting Date: September 24, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 40538LAC4

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:  Jamestown CLO V

Meeting Date: September 28, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 47047VAC1

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
12 OXLC elected in favor of a call 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: October 1, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 88432JAA9

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
13 This Supplemental Indenture in conjunction with the Reset, would amend the Indenture to reflect the terms of the Reset. Manager For Consented Manager

 

Issuer Name:  CIFC Funding 2014-III

Meeting Date: October 17, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: G2206CAA2

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
14 This Supplemental Indenture request, in conjunction with the Reset, amended the indenture to reflect the terms of the Reset. Manager For Consented Manager

 

Issuer Name:  CIFC Funding 2014-III

Meeting Date: October 17, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 12549TAA7

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
15 This Supplemental Indenture request, in conjunction with the Reset, amended the indenture to reflect the terms of the Reset. Manager For Consented Manager

 

 

 

 

Issuer Name:  Sound Point CLO VI

Meeting Date: October 19, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 83608YAE7

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
16 This Agreement Among Holders of Subordinated Notes will redeem the assets of Sound Point CLO VI, Ltd. and merge them with the assets of Sound Point CLO VI-R, Ltd. Manager For Consented Manager

 

Issuer Name:  Halcyon Loan Advisors Funding 2015-2

Meeting Date: October 24, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 40538LAC4

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
17 This Supplemental Indenture in conjunction with the Refinancing, would amend the Indenture to reflect the terms of the Refinancing. Manager For Consented Manager

 

Issuer Name:  Wellfleet CLO 2016-2

Meeting Date: October 30, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 94949MAC2

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
18 This Supplemental Indenture in conjunction with the Refinancing, would amend the Indenture to reflect the terms of the Refinancing. Manager For Consented Manager

 

 

 

 

Issuer Name:  Ares XL CLO

Meeting Date: December 6, 2018 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 04016HAB2

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
19 This Supplemental Indenture request, in conjunction with the Reset, amended the indenture to reflect the terms of the Reset. Manager For Consented Manager

 

Issuer Name:  Telos CLO 2014-6

Meeting Date: March 13, 2019 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 87970XAA8

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
20 OXLC elected in favor of a re-issue of this deal via an Optional Redemption pursuant to the deal indenture. Manager For Consented Manager

 

Issuer Name:  Telos CLO 2014-6

Meeting Date: April 3, 2019 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 87970XAA8

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
21 OXLC elected to withdraw its notice of Optional Redemption pursuant to the deal indenture. Manager For Consented Manager

 

 

 

 

Issuer Name:  Telos CLO 2013-3

Meeting Date: April 18, 2019 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 87974GAA1

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
22 This Notice of Assignment provides notice that the Existing Collateral Servicer intends to assign the Collateral Servicing Agreement to the Successor Collateral Servicer pursuant to an assignment agreement. Manager For Consented Manager

 

Issuer Name:  Telos CLO 2013-4

Meeting Date: April 18, 2019 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 87974JAA5

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
23 This Notice of Assignment provides notice that the Existing Collateral Servicer intends to assign the Collateral Servicing Agreement to the Successor Collateral Servicer pursuant to an assignment agreement. Manager For Consented Manager

 

Issuer Name:  Telos CLO 2014-6

Meeting Date: April 18, 2019 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 87970XAA8

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
24 This Notice of Assignment provides notice that the Existing Collateral Servicer intends to assign the Collateral Servicing Agreement to the Successor Collateral Servicer pursuant to an assignment agreement. Manager For Consented Manager

 

 

 

Issuer Name:  OHA Loan Funding 2012-1

Meeting Date: May 2, 2019 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 67103NAB0

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
25 OXLC elected in favor of a call of this deal via an Optional Redemption pursuant to the deal indenture. Manager For Consented Manager

 

Issuer Name:  MidOcean Credit CLO VI

Meeting Date: May 3, 2019 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 59802WAC9

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
26 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:  MidOcean Credit CLO VI

Meeting Date: May 22, 2019 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 59802WAC9

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
27 This Supplemental Indenture in conjunction with the Refinancing, would amend the Indenture to reflect the terms of the Refinancing. Manager For Consented Manager

  

Issuer Name:  Venture XV CLO

Meeting Date: June 13, 2019 (Record Date)

Meeting Type: Written Consent

Ticker: N/A

CUSIP: 92328LAB1

Proposal No. Proposal

Proposed

By

OXLC

Rec

Vote Cast Sponsor
28 OXLC elected in favor of a reset of this deal via an Optional Redemption pursuant to the deal indenture. 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, 2019

 

 

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