Welcome to our dedicated page for Oxford Lane Capital SEC filings (Ticker: OXLCP), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
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Oxford Lane Capital Corp. is soliciting proxies for its annual meeting with proxy materials made available by internet on or about September 4, 2025. The Board recommends voting FOR the director nominees, which include Jonathan H. Cohen, Saul B. Rosenthal, Mark J. Ashenfelter, John Reardon and David S. Shin, and notes directors' backgrounds in investment management, law and corporate leadership. The company disclosed governance committees (including an Audit Committee chaired by Mr. Shin) and valuation procedures, including potential use of third-party valuation firms.
The filing announces a proposed 1-for-5 reverse stock split effective September 5, 2025 (trading split-adjusted beginning September 8, 2025) and states there is no guarantee it will be effective. The company has applied for exemptive relief for certain co-investments with affiliates and recommends PricewaterhouseCoopers LLP as independent auditor for fiscal year ending March 31, 2026. Proxy voting instructions, shareholder nomination procedures and privacy/data-access rights are described in the filing.
Eagle Point Credit Management LLC and Thomas P. Majewski jointly report beneficial ownership of preferred shares of Oxford Lane Capital Corp. The filing shows EPCM may be deemed to beneficially own 1,900,338 preferred shares, or approximately 21.69% of the class, while Mr. Majewski is reported with shared beneficial ownership of 1,905,838 shares, or 21.75%. All reported shares were acquired in multiple secondary market transactions using each account's available investment capital. The amendment lists detailed purchases and sales by series and date, showing active trading across May–August 2025. EPCM states the shares are held for investment purposes and that it may increase or decrease holdings over time.
Karpus Management, Inc. reports beneficial ownership of 160,430 Oxford Lane Capital Corp. preferred shares, representing 1.04% of the class. The shares are owned directly by accounts managed by Karpus and Karpus reports sole voting and dispositive power over the shares. Karpus identifies itself as a registered investment adviser and states it operates independently of its parent, City of London Investment Group, through established informational barriers. The filing certifies the shares are held in the ordinary course of business and not for the purpose of influencing control of the issuer.
Karpus Management, Inc. reports beneficial ownership of 256,265 Oxford Lane Capital Corp. preferred shares (CUSIP 691543805), representing 1.67% of the class. The filing, an Amendment No. 4 to Schedule 13G, states the shares are owned directly by accounts managed by Karpus and that Karpus has sole voting and dispositive power over the shares. Karpus is a New York-registered investment adviser controlled by City of London Investment Group plc but notes informational barriers prevent attribution of ownership to CLIG. The filing includes a certification that the shares are held in the ordinary course of business.
Karpus Management, Inc. reports ownership of 456,338 preferred shares of Oxford Lane Capital Corp., representing 2.97% of the class. Karpus states it has sole voting and dispositive power over these shares and holds them in accounts it manages. Karpus is a registered investment adviser organized in New York and notes that it is controlled by City of London Investment Group plc but asserts informational barriers mean voting and investment decisions are made independently by Karpus. The shares are owned directly by accounts managed by Karpus.
Karpus Management, Inc. reported beneficial ownership of 825,914 preferred shares of Oxford Lane Capital Corp. (CUSIP 691543854), representing 5.38% of the class. Karpus states it has sole voting and dispositive power over these shares and that the securities are owned directly by accounts it manages. Karpus is a New York-registered investment adviser controlled by City of London Investment Group plc, but says effective informational barriers are in place so Karpus exercises voting and investment power independently. The filing certifies the shares were acquired and are held in the ordinary course of business and not to influence control of the issuer.