Company: OXLCZ
Filing Date: 2025-09-04
Form Type: DEF 14A
Source: 0001213900-25-084505
Chunk: 20

Company: Oxford Lane Capital Corp.
Filing Date: 2025-09-04
Form: DEF 14A
Chunk 20
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with our affiliates if a “required majority” (as defined in Section 57(o) of the 1940 Act) of our independent directors make certain conclusions in connection with a co -investmenttransaction, including, but not limited to, that (1) the terms of the potential co -investmenttransaction, including the consideration to be paid, are reasonable and fair to us and our stockholders and do not involve overreaching in respect of us or our stockholders on the part of any person concerned, and (2) the potential co -investmenttransaction is consistent with the interests of our stockholders and is consistent with our then -currentinvestment objective and strategies. The Company and Oxford Lane Management have applied for a new exemptive relief order which, if granted, would supersede the Exemptive Order with respect to negotiated co -investmenttransactions alongside affiliates of Oxford Lane Management. There can be no assurance that the SEC will grant such exemptive relief. Review, Approval or Ratification of Transactions with Related Persons We have also adopted a Code of Business Conduct and Ethics which applies to, among others, our senior officers, including our Chief Executive Officer and Chief Financial Officer, as well as every officer, director and employee of Oxford Lane Capital. Our Code of Business Conduct and Ethics requires that all employees and directors avoid any conflict, or the appearance of a conflict, between an individual’s personal interests and the interests of Oxford Lane Capital. Pursuant to our Code of Business Conduct and Ethics, each employee and director must disclose any conflicts of interest, or actions or relationships that might give rise to a conflict. Our Audit Committee is charged with approving any waivers under our Code of Business Conduct and Ethics. As required by the NASDAQ Stock Market corporate governance listing standards, the Audit Committee of our Board of Directors is also required to review and approve any transactions with related parties (as such term is defined in Item 404 of Regulation S -Kof the Exchange Act). Corporate Governance Corporate Governance Documents Our corporate governance documents are available on our website at http://www.oxfordlanecapital.comand are also available to any stockholder who requests them by writing to Oxford Lane Capital Corp., c/o Bruce L. Rubin, Corporate Secretary, 8 Sound Shore Drive, Suite 255, Greenwich, Connecticut 06830. Code of Ethics We have adopted a Code of Business Conduct and Ethics which applies to, among others, our senior officers, including our Chief Executive Officer and Chief Financial Officer, as well as every officer, director and employee of the Company. Our