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Filing Details

Accession Number:: 0001104659-21-049821
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-04-13 17:17:42
Reporting Period:: 2021-04-09

Accepted Time:: 2021-04-13 17:17:42
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1495222	Oxford Lane Capital Corp.	OXLC	()	272859071

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1607203	Eagle Point Credit Management Llc	600 Steamboat Rd, Suite 202 Greenwich CT 06830	No	No	Yes	No
1607205	Eagle Point Credit Gp I Lp	600 Steamboat Rd, Suite 202 Greenwich CT 06830	No	No	Yes	No
1617694	P. Thomas Majewski	600 Steamboat Rd, Suite 202 Greenwich CT 06830	No	No	Yes	No
1836609	Eagle Point Dif Gp I Llc	600 Steamboat Road, Suite 202 Greenwich CT 06830	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
6.75% Notes Due 2031, Issued In Denominations Of $25.00	Disposition	2021-04-09	168,375	$170,447.52	23,617,500	No	4	S	Indirect	See Footnotes
6.75% Notes Due 2031, Issued In Denominations Of $25.00	Disposition	2021-04-12	175,000	$177,146.90	23,442,500	No	4	S	Indirect	See Footnotes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Preferred Stock, $0.01 Par Value Per Share	21,994	Direct
Preferred Stock, $0.01 Par Value Per Share	782,357	Indirect	See Footnotes

Footnotes

The amount reported reflects the aggregate principal amount of the 6.75% Notes due 2031 ("Notes").
The price reported in Column 4 reflects the aggregate purchase price. These securities were sold in multiple transactions at prices ranging from $25.29 to $25.35 per Note, inclusive, at a weighted average price of $25.31 per Note. Upon request by the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, the reporting person undertakes to provide full information regarding the number of shares purchased at each separate price within the range set forth in in footnotes (1) and (2) to this Form 4.
The price reported in Column 4 reflects the aggregate purchase price. These securities were sold in multiple transactions at prices ranging from $25.27 to $25.39 per Note, inclusive, at a weighted average price of $25.31 per Note.
The Notes are directly owned by certain private investment funds (the "Funds") and certain separately-managed client accounts (the "Accounts"). Eagle Point Credit GP I LP and Eagle Point DIF GP I LLC (together, the "General Partners") serve as general partner to one or more of the Funds. Accordingly, the General Partners could be deemed to have an indirect pecuniary interest in the securities held by the Fund(s) for which they serve as general partner. Eagle Point Credit Management LLC ("EPCM") serves as investment manager to the Accounts and, due to the nature of the advisory relationship, could be deemed to have an indirect pecuniary interest in the securities held by each of the Accounts.
Eagle Point Holdings LP ("EP Holdings") is the parent company of each of the General Partners and EPCM. Thomas P. Majewski has certain economic rights with respect to EP Holdings (and EPCM) that could be deemed to give rise to an indirect pecuniary interest in the securities held by the Funds and the Accounts. Among the Reporting Persons, each of Eagle Point Credit GP I LP and Mr. Majewski could be deemed to have an indirect pecuniary interest in the Notes reported in Column 4.
Thomas P. Majewski directly owns the preferred stock par value $0.01 per share ("Preferred Stock") in his personal capacity. None of the other Reporting Persons has a pecuniary interest in these securities.
The Preferred Stock is directly owned by the Funds. Accordingly, for the reasons described above in footnote 1, the General Partners and Mr. Majewski could be deemed to have an indirect pecuniary interest in the Preferred Stock.
Each of the Reporting Persons hereby disclaims beneficial ownership of the securities described in this report pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934 (except, with respect to Mr. Majewski, to the extent of his direct pecuniary interest therein) and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of any of the reported securities for purposes of Section 16 or for any other purpose.