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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1495222	Oxford Lane Capital Corp.	OXLC	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1268529	B Saul Rosenthal	C/O Oxford Lane Capital Corp. 8 Sound Shore Drive, Suite 255 Greenwich CT 06830	President	Yes	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2020-03-12	31,000	$5.00	161,000	No	4	P	Direct
7.50% Series 2023 Term Preferred Stock	Disposition	2020-03-12	14,011	$25.06	28,211	No	4	J	Direct
Common Stock	Acquisiton	2020-03-13	1,700	$5.05	162,700	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	P	Direct
No	4	J	Direct
No	4	P	Direct

Footnotes

The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $4.89 to $5.05, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
On March 12, 2020 (the "Redemption Date"), Oxford Lane Capital Corp. (the "Issuer") redeemed 1,200,000 of the outstanding shares of the Issuer's 7.50% Series 2023 Term Preferred Stock (the "Shares"), which is traded on the NASDAQ Global Select Market under the ticker OXLCO, for a redemption price of $25.05729167, which represents the liquidation preference price of $25 per Share plus accrued but unpaid dividends of $0.05729167 per Share. 14,011 Shares beneficially owned by Mr. Rosenthal were redeemed as part of this redemption by the Issuer.
The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.04 to $5.05, inclusive. the reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Excange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.