# EDGAR Filing Document

**Accession Number:** 0001495222
**File Stem:** 0000894189-26-017674
**Filing Date:** 2026-6
**Character Count:** 22445
**Document Hash:** 9dd7589655168a92a44ebb8b3198f340
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000894189-26-017674.hdr.sgml**: 20260608

**ACCESSION NUMBER**: 0000894189-26-017674

**CONFORMED SUBMISSION TYPE**: N-CEN

**PUBLIC DOCUMENT COUNT**: 3

**CONFORMED PERIOD OF REPORT**: 20260331

**FILED AS OF DATE**: 20260608

**DATE AS OF CHANGE**: 20260608

**EFFECTIVENESS DATE**: 20260608

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Oxford Lane Capital Corp.
- **CENTRAL INDEX KEY:** 0001495222

**ORGANIZATION NAME:**
- **EIN:** 272859071
- **STATE OF INCORPORATION:** MD
- **FISCAL YEAR END:** 0331

**FILING VALUES:**
- **FORM TYPE:** N-CEN
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-22432
- **FILM NUMBER:** 261073652

**BUSINESS ADDRESS:**
- **STREET 1:** 8 SOUND SHORE DRIVE
- **STREET 2:** SUITE 255
- **CITY:** GREENWICH
- **STATE:** CT
- **ZIP:** 06830
- **BUSINESS PHONE:** (203) 983-5275

**MAIL ADDRESS:**
- **STREET 1:** 8 SOUND SHORE DRIVE
- **STREET 2:** SUITE 255
- **CITY:** GREENWICH
- **STATE:** CT
- **ZIP:** 06830

## Internal

**** 

<br> **Report of Independent Registered Public Accounting Firm**

To the Board of Directors and Stockholders of Oxford Lane Capital Corp.

In planning and performing our audit of the financial statements of Oxford Lane Capital Corp. (the "Fund") as of and for the year ended March 31, 2026, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Fund's internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Fund's internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Fund's internal control over financial reporting.

The management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company's assets that could have a material effect on the financial statements.

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company's annual or interim financial statements will not be prevented or detected on a timely basis.

Our consideration of the Fund's internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control over financial reporting that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Fund's internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of

March 31, 2026.

This report is intended solely for the information and use of the Board of Directors of Oxford Lane Capital Corp. and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.<br>

/s/ PricewaterhouseCoopers LLP

May 22, 2026

## Other

#### OFFICIAL PROXY COMMITTEE BALLOT

#### CERTIFICATE AND REPORT OF INSPECTOR(S) OF ELECTION

#### October 24, 2025

#### <br>

#### OXFORD LANE CAPITAL CORP.

#### <br>
The undersigned duly appointed Inspector of Election for the Annual Meeting of Stockholders (the "***Meeting***") of Oxford Lane Capital Corp. (the "***Company***") does hereby report as follows:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. That the Meeting was held at 8:30 a.m. Eastern Time on October 24, 2025, in the second floor conference room of the Company's corporate headquarters located at 8 Sound Shore Drive, Greenwich, Connecticut 06830, pursuant to due notice.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2. That at said Meeting, I canvassed the stockholders present and examined and counted the proxies presented and found and declared that out of 482,902,319 shares of Common Stock of the Company entitled to vote at such Annual Meeting, the holders of 303,346,233.289 shares were present in person or by proxy.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3. That at said Meeting I canvassed the stockholders present and examined and counted the proxies presented and found and declared that out of 8,761,706 shares of Preferred Stock of the Company entitled to vote at such Annual Meeting, the holders of 5,301,177.000 shares were present in person or by proxy.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4. That at said Annual Meeting a vote was taken by ballot and the following person received the specified number of votes and percentage of shares voted at the meeting as follows:

---

| | | |
|:---|:---|:---|
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Nominee for<br> a Three-Year Term<br>| **FOR**<br>| **WITHHELD** |
|  | Number % <br>| Number&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; % |

---

---

| | | | | |
|:---|:---|:---|:---|:---|
| Jonathan H. Cohen\* | **252256408.289** | **83.158%** | **51089825.000** | **16.842%** |
| Mark J. Ashenfelter\*\* | **4009701.000** | **75.638%** | &nbsp;&nbsp; **1291476.000**  | &nbsp;&nbsp; **24.362%**  |

---

\*&nbsp;&nbsp;&nbsp;&nbsp; Based on all shares of Common Stock and Preferred Stock voting together as a single class.

\*\* Based on all shares of Preferred Stock voting as a single class.

# Form N-CEN: Annual Report for Registered Investment Companies

## N-CEN: Filer Information
**Submission Type:** N-CEN
**CIK:** 0001495222

## N-CEN: Series/Class (Contract) Information

### N-CEN: Part A: General Information

**Item A.1.a - Report for period ending:** 2026-03-31

**Item A.1.b - Does this report cover a period of less than 12 months?:** No

## N-CEN: Part B: Information About the Registrant

- **Item B.1.a - Full name of Registrant:** Oxford Lane Capital Corp.

- **Item B.1.b - Investment Company Act file number:** 811-22432

- **Item B.1.c - CIK:** 0001495222

- **Item B.1.d - LEI:** 549300G3KO4JNQQD7Z72

- **Item B.2.a - Street 1:** 8 Sound Shore Dr

- **Item B.2.a - Street 2:** Suite 255

- **Item B.2.b - City:** Greenwich

- **Item B.2.c - State:** CT

- **Item B.2.e - Zip Code:** 06830

- **Item B.2.f - Telephone:** 2039835275

- **Item B.2.g - Public Website:** www.oxfordlanecapital.com

### Item B.3 - Location of books and records

**Location books Record: 1**

- **a. Name of person (e.g., a custodian of records):** U.S. Bank, N.A.

- **b. Street 1:** 8 Greenway Plaza

- **Street 2:** Suite 1100

- **c. City:** Houston

- **d. State, if applicable:** TX

- **e. Foreign country, if applicable:** US

- **f. Zip code and zip code extension, or foreign postal code:** 77046

- **g. Telephone number:** 713-212-3709

- **h. Briefly describe the books and records kept at this location:** Certain firm records and other documents for historical records

**Location books Record: 2**

- **a. Name of person (e.g., a custodian of records):** U.S. Bank Global Fund Services

- **b. Street 1:** 622 N Cass Street

- **c. City:** Milwaukee

- **d. State, if applicable:** WI

- **e. Foreign country, if applicable:** US

- **f. Zip code and zip code extension, or foreign postal code:** 53202

- **g. Telephone number:** 800-300-3863

- **h. Briefly describe the books and records kept at this location:** Certain firm records and other documents for historical records

- **Item B.4.a - Is this the first filing by the Registrant?:** No

- **Item B.4.b - Is this the last filing by the Registrant?:** No

### Item B.6 - Organization

- [ ] a. Open-end management investment company registered under the Act on Form N-1A

- [x] b. Closed-end management investment company registered under the Act on Form N-2

- [ ] c. Separate account offering variable annuity contracts which is registered under the Act as a management investment company on Form N-3

- [ ] d. Separate account offering variable annuity contracts which is registered under the Act as a unit investment trust on Form N-4

- [ ] e. Small business investment company registered under the Act on Form N-5

- [ ] f. Separate account offering variable insurance contracts which is registered under the Act as a unit investment trust on Form N-6

- [ ] g. Unit investment trust registered under the Act on Form N-8B-2

- **Item B.6.i - Total number of Series:** —

- **Item B.7 - Is the Registrant the issuer of a class of securities registered under the Securities Act?:** Yes

### Item B.8 - Directors

| Name                | Is Interested Person?   | Other Investment Company File Numbers   |
|:---|:---|:---|
| John Reardon        | No                      | N/A                                     |
| David S. Shin       | No                      | N/A                                     |
| Mark J. Ashenfelter | No                      | N/A                                     |
| Saul B. Rosenthal   | Yes                     | N/A                                     |
| Jonathan H. Cohen   | Yes                     | N/A                                     |

### Item B.9. Chief compliance officer.

**Chief compliance officer Record: 1**

- **a. Full Name:** Gerald Cummins

- **b. CRD Number, if any:** 001322563

- **c. Street Address 1:** 8 Sound Shore Drive

- **   Street Address 2:** Suite 255

- **d. City:** Greenwich

- **e. State, if applicable:** CT

- **f. Foreign country, if applicable:** US

- **g. Zip code:** 06830

- **h. Telephone number:** XXXXXX

- **i. Has the chief compliance officer changed since the last filing?:** No

If the chief compliance officer is compensated or employed by any person other than the Registrant, provide:

**CCO employer Record: 1**

- **i. Name of the person:** —

- **ii. Person’s IRS Employer Identification Number:** —

### Item B.10. Matters for security holder vote.

- **Were any matters submitted by the Registrant for its security holders’ vote during the reporting period?** —

- **Item B.11.a - Have there been any material legal proceedings?:** No

- **Item B.11.b - Has any proceeding previously reported been terminated?:** No

- **Item B.12.a - Were any claims with respect to the Registrant filed under a fidelity bond?:** No

- **Item B.13.a - Are the Registrant's officers or directors covered under any insurance policy?:** Yes

- **Item B.13.a.i - If yes, were any claims filed under the policy during the reporting period?:** No

- **Item B.14 - Did an affiliated person provide any form of financial support to the Registrant?:** No

- **Item B.15.a.i - Release numbers:**
  - IC-32680

### Item B.16. Principal underwriters.

**Principal underwriter Record: 1**

- **i. Full name:** Lucid Capital Markets, LLC

- **ii. SEC file number:** 8-67305

- **iii. CRD number:** 000140345

- **iv. LEI, if any:** 254900UGQ42WC2993X52

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Is the principal underwriter an affiliated person...?:** No

- **b. Have any principal underwriters been hired or terminated during the reporting period?** No

### Item B.17. Independent public accountant.

**Public accountant Record: 1**

- **a. Full Name:** Pricewaterhouse Coopers LLP

- **b. PCAOB Number:** 238

- **c. LEI, if any:** 5493002GVO7EO8RNNS37

- **d. State, if applicable:** NY

- **e. Foreign country, if applicable:** US

- **f. Has the independent public accountant changed since the last filing?** No

- **Item B.18 - Did an independent public accountant's report on internal control note any material weaknesses?:** No

- **Item B.19 - Did an independent public accountant issue an opinion other than an unqualified opinion?:** No

- **Item B.20 - Have there been material changes in the method of valuation?:** No

- **Item B.21 - Have there been any changes in accounting principles or practices?:** No

- **Item B.23 - Did the Registrant pay any dividend or make any distribution required to be accompanied by a written statement?:** No

## Part C: Additional Questions for Management Investment Companies

### Management Investment Record: 1 - Oxford Lane Capital Corp.

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Oxford Lane Capital Corp.

- **c. LEI:** 549300G3KO4JNQQD7Z72

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** —

- **g. Provide the net income from securities lending activities:** —

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Oxford Lane Management, LLC

- **ii. SEC file number:** 801-71654

- **iii. CRD number:** 000154380

- **iv. LEI, if any:** N/A

- **v. State, if applicable:** CT

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Computershare Trust Company, N.A.

- **ii. SEC file number:** 85-11340

- **iii. LEI, if any:** 2549001YYB62BVMSAO13

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bank of America Merrill Lynch Valuations LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 54930015EWCI4VNCZP82

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** U.S. Bank National Association

- **ii. LEI, if any:** 6BYL5QZYBDK8S7L73M02

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

No Shareholder Servicing Agents reported.

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Oxford Funds, LLC

- **ii. LEI, if any, or other identifying number:** N/A

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                                    | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| MIZUHO SECURITIES USA LLC               | 8-37710           |    000019647 | 7TK5RJIZDFROZCA6XF66 | NY      | US        | $125,961,937.00           |
| DEUTSCHE BANK SECURITIES INC.           | 8-17822           |    000002525 | 9J6MBOOO7BECTDTUZW19 | NY      | US        | $97,277,870.69            |
| GOLDMAN SACHS & CO. LLC                 | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $147,584,285.00           |
| JEFFERIES LLC                           | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $83,551,260.00            |
| CITIGROUP GLOBAL MARKETS INC.           | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $50,061,358.00            |
| NOMURA SECURITIES/FIXED INCOME          | 8-15255-1         |    000004297 | OXTKY6Q8X53C9ILVV871 | NY      | US        | $758,265,814.55           |
| BNP PARIBAS SECURITIES CORP.            | 8-32682           |    000015794 | RCNB6OTYUAMMP879YW96 | NY      | US        | $109,706,771.50           |
| PERFORMANCE TRUST CAPITAL PARTNERS, LLC | 8-47035           |    000036155 | 549300F8NR5Q23JRIY74 | IL      | US        | $178,830,280.00           |
| ROBERT W. BAIRD & CO. INCORPORATED      | 8-497             |    000008158 | 549300772UJAHRD6LO53 | WI      | US        | $214,103,860.00           |
| BOFA Securities, Inc.                   | 8-69787           |    000283942 | 549300HN4UKV1E2R3U73 | NY      | US        | $134,625,000.00           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,899,968,436.74

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,768,852,265.08

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

## Part E: Additional Questions for ETFs and ETMFs

## N-CEN: Part G: Attachments

**Item G.1a. Attachments.**

Attachments applicable to all Registrants. All Registrants shall file the following attachments, as applicable, with the current report. Indicate the attachments filed with the current report by checking the applicable items below:

- [ ] i. Legal proceedings

- [ ] ii. Provision of financial support

- [x] iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only)

- [ ] iv. Change in accounting principles and practices

- [ ] v. Information required to be filed pursuant to exemptive orders

- [ ] vi. Other information required to be included as an attachment pursuant to Commission rules and regulations

## N-CEN: Signature

Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to a be signed on its behalf by the undersigned hereunto duly authorized.

**Registrant:** Oxford Lane Capital Corp.

**Date:** 2026-06-08

**Signature:** /s/ Bruce L. Rubin

**Title:** Chief Financial Officer