Company: OXLCZ
Filing Date: 2025-09-04
Form Type: DEF 14A
Source: 0001213900-25-084505
Chunk: 21

Company: Oxford Lane Capital Corp.
Filing Date: 2025-09-04
Form: DEF 14A
Chunk 21
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 Code of Business Conduct and Ethics, as well as our Code of Ethics and Insider Trading Policy, adopted in compliance with Rule 17j -1under the 1940 Act, can be accessed via our website at http://www.oxfordlanecapital.com. Director Independence In accordance with rules of the NASDAQ Stock Market, our Board of Directors will annually determine each director’s independence. We do not consider a director independent unless the Board of Directors has determined that he or she has no material relationship with us. We will monitor the relationships of our directors and officers through a questionnaire each director completes no less frequently than annually and updates periodically as information provided in the most recent questionnaire changes. 13 In order to evaluate the materiality of any such relationship, the Board of Directors uses the definition of director independence set forth in the rules promulgated by the NASDAQ Stock Market. Rule 5605(a)(2) provides that a director of an investment company shall be considered to be independent if he or she is not an “interested person” of Oxford Lane Capital, as defined in Section 2(a)(19) of the 1940 Act. The Board of Directors has determined that each of the directors is independent and has no relationship with us, except as a director and stockholder, with the exception of Jonathan H. Cohen and Saul B. Rosenthal, as a result of their respective positions as Chief Executive Officer and President of Oxford Lane Capital and Oxford Lane Management and as the managing member and non -managingmember, respectively, of Oxford Funds. Evaluation The Company’s directors perform an evaluation and assessment, no less frequently than annually, of the effectiveness of the Board of Directors and its committees. Communication with the Board of Directors Stockholders with questions about Oxford Lane Capital are encouraged to contact Oxford Lane Capital Corp.’s Investor Relations Department. However, if stockholders believe that their questions have not been addressed, they may communicate with our Board of Directors by sending their communications to Oxford Lane Capital Corp., c/o Saul B. Rosenthal, President, 8 Sound Shore Drive, Suite 255, Greenwich, Connecticut 06830. All stockholder communications received in this manner will be delivered to one or more members of the Board of Directors, as appropriate. Insider Trading Policy The Company’s insider trading policy(the “Insider Trading Policy”) governs the purchase, sale, and/or any other dispositions of its securities by directors, officers, employees and other covered persons and is designed to promote compliance with insider trading laws, rules and regulations