Oxford Lane Capital Corp. — Director's Dealing 2021

Apr 19, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Oxford Lane Capital Corp. (OXLC)
CIK: 0001495222
Period of Report: 2021-04-15

Reporting Person: Frantz Leroy Scott (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-04-15	7.50% Series 2023 Term Preferred Stock	J	292404	$25.07	Disposed	0	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
6.25% Series 2027 Term Preferred Stock	400000	Direct
6.75% Series 2024 Term Preferred Stock	200000	Direct
6.75% Series 2024 Term Preferred Stock	11750	Indirect
Common Stock	1012	Direct

Footnotes

F1: On April 15, 2021 (the "Redemption Date"), Oxford Lane Capital Corp. (the "Issuer") redeemed all 2,281,395 issued and outstanding shares of the Issuer's 7.50% Series 2023 Term Preferred Stock (the "Shares"), which was traded on the NASDAQ Global Select Market under the ticker OXLCO, for a redemption price of $25.07291667, which represents the liquidation preference price of $25 per Share plus accrued but unpaid dividends of $0.07291667 per Share. As a result of the foregoing, all 292,404 Shares beneficially owned by Mr. Frantz were redeemed as part of this redemption by the Issuer.

F2: Reflects shares held by the Trust under agreement dated 7/10/58 for the benefit of L. Scott Frantz. Mr. Frantz disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission for purposes of Section 16 or for any other purpose.