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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

 

FORM 8-K

 

 

 

CURRENT REPORT

 

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported): May 29, 2024

 

 

 

OXFORD LANE CAPITAL CORP.

(Exact name of Registrant as specified in its charter)

 

 

 

Maryland   001-35041   27-2859071
(State or other jurisdiction
of incorporation)		   (Commission File Number)   (I.R.S. Employer Identification No.)

 

8 Sound Shore Drive, Suite 255, Greenwich, CT 06830

(Address of Principal Executive Offices) (Zip Code)

 

Registrant’s telephone number, including area code: (203) 983-5275

 

 

 

(Former name or former address, if changed since last report)

 

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

  ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

  ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

  ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

  ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class   Trading
Symbol(s)		   Name of each exchange on which registered
Common Stock, par value $0.001 per share   OXLC   The Nasdaq Global Select Market
6.25% Series 2027 Term Preferred Shares   OXLCP   The Nasdaq Global Select Market
6.00% Series 2029 Term Preferred Shares   OXLCO   The Nasdaq Global Select Market
7.125% Series 2029 Term Preferred Shares   OXLCN   The Nasdaq Global Select Market
5.00% Notes due 2027   OXLCZ   The Nasdaq Global Select Market
6.75% Notes due 2031   OXLCL   The Nasdaq Global Select Market
8.75% Notes due 2030   OXLCI   The Nasdaq Global Select Market

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.

 

☐ Emerging growth company

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

 

 

 

 

 

Item 8.01. Other Events.

 

On May 29, 2024, Royce Family Investments, LLC purchased 250,000 shares of the Company’s common stock, par value $0.01 per share (the “Shares”). Charles M. Royce, managing member of Royce Family Investments, LLC, is a non-managing member of Oxford Lane Capital Corp.’s (the “Company”) investment adviser, Oxford Lane Management, LLC. As of the date hereof, Mr. Royce may be deemed to beneficially own 1,139,785 Shares, which includes 490,735 shares held by Royce Family Investments, LLC and 641,252 Shares held by Royce Family Fund, Inc. Mr. Royce disclaims beneficial ownership of any Shares held directly by Royce Family Fund, Inc.

 

1

 

 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, Oxford Lane Capital Corp. has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  Oxford Lane Capital Corp.
   
Date: July 31, 2024 By: /s/ Bruce L. Rubin
    Bruce L. Rubin
    Chief Financial Officer, Corporate Secretary and Treasurer

 

2

 

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May 29, 2024
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Document Period End Date May 29, 2024
Entity File Number 001-35041
Entity Registrant Name OXFORD LANE CAPITAL CORP.
Entity Central Index Key 0001495222
Entity Tax Identification Number 27-2859071
Entity Incorporation, State or Country Code MD
Entity Address, Address Line One 8 Sound Shore Drive
Entity Address, Address Line Two Suite 255
Entity Address, City or Town Greenwich
Entity Address, State or Province CT
Entity Address, Postal Zip Code 06830
City Area Code 203
Local Phone Number 983-5275
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Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Entity Emerging Growth Company false
Common Stock, par value $0.001 per share  
Title of 12(b) Security Common Stock, par value $0.001 per share
Trading Symbol OXLC
Security Exchange Name NASDAQ
6.25% Series 2027 Term Preferred Shares  
Title of 12(b) Security 6.25% Series 2027 Term Preferred Shares
Trading Symbol OXLCP
Security Exchange Name NASDAQ
6.00% Series 2029 Term Preferred Shares  
Title of 12(b) Security 6.00% Series 2029 Term Preferred Shares
Trading Symbol OXLCO
Security Exchange Name NASDAQ
7.125% Series 2029 Term Preferred Shares  
Title of 12(b) Security 7.125% Series 2029 Term Preferred Shares
Trading Symbol OXLCN
Security Exchange Name NASDAQ
5.00% Notes due 2027  
Title of 12(b) Security 5.00% Notes due 2027
Trading Symbol OXLCZ
Security Exchange Name NASDAQ
6.75% Notes due 2031  
Title of 12(b) Security 6.75% Notes due 2031
Trading Symbol OXLCL
Security Exchange Name NASDAQ
8.75% Notes due 2030  
Title of 12(b) Security 8.75% Notes due 2030
Trading Symbol OXLCI
Security Exchange Name NASDAQ
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