Filing Details

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

SCHEDULE 13G*

Under the Securities Exchange Act of 1934

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☐ Rule 13d-1(b)

☒ Rule 13d-1(c)

☐ Rule 13d-1(d)

*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

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CUSIP Nos.

691543 300 691543 508 691543 607

 

CUSIP Nos.

691543 300 691543 508 691543 607

 

Item 1(a).

Name of Issuer:

Oxford Lane Capital Corp.

Item 1(b).

Address of Issuer's Principal Executive Offices:

8 Sound Shore Drive, Suite 255

Greenwich, CT 06830

Item 2(a).

Name of Person(s) Filing:

Item 2(b).

Address of Principal Business Office or, if none, Residence:

Item 2(c).

Citizenship:

Item 2(d).

Title of Class of Securities:

Item 2(e).

CUSIP Number:

691543 300 (7.50% Series 2023 Term Preferred Shares)

691543 508 (6.75% Series 2024 Term Preferred Shares)

691543 607 (6.25% Series 2027 Term Preferred Shares)

Item 3.

If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

(a)

☐ Broker or dealer registered under Section 15 of the Act;

(b)

☐ Bank as defined in Section 3(a)(6) of the Act;

(c)

☐ Insurance company as defined in Section 3(a)(19) of the Act;

(d)

☐ Investment company registered under Section 8 of the Investment Company Act of 1940;

(e)

☐ Investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);

(f)

☐ An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);

(g)

☐ A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);

(h)

☐ A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

(i)

☐ A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940;

(j)

☐ A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J);

(k)

☐ Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ____________________________ .

 

Item 4.

Ownership.

Eagle Point Credit Management LLC: 0 shares

Eagle Point Credit GP I LP⁴: 397,231 shares

Thomas Philip Majewski⁵: 397,231 shares

Daniel Michael Spinner⁶: 397,231 shares 

Eagle Point Credit Management LLC: 397,231 shares

Eagle Point Credit GP I LP: 0 shares

Thomas Philip Majewski: 21,994 shares

Daniel Michael Spinner: 25,652 shares 

Eagle Point Credit Management LLC: 0 shares

Eagle Point Credit GP I LP: 397,231 shares

Thomas Philip Majewski: 397,231 shares

Daniel Michael Spinner: 397,231 shares 

 

Item 5.

Ownership of Five Percent or Less of a Class.

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☐.

Item 6.

Ownership of More Than Five Percent on Behalf of Another Person.

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.

Not applicable.

Item 8.

Identification and Classification of Members of the Group.

Item 9.

Notice of Dissolution of Group.

Not applicable.

 

Exhibit A

Joint Filing Agreement

We, the undersigned, hereby express our agreement that the attached Schedule 13G is, and any further amendments thereto signed by each of the undersigned shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended. This agreement may be terminated with respect to the obligations to jointly file future amendments to such statement on Schedule 13G as to any of the undersigned upon such person giving written notice thereof to each of the other persons signatory hereto, at the principal office thereof.

Dated: May 22, 2020

	EAGLE POINT CREDIT MANAGEMENT LLC
	By:	/s/ Thomas P. Majewski
		Name:  Thomas P. Majewski
		Title:     Managing Partner