Oxford Lane Capital Corp. Sample Contracts

FORM OF CUSTODY AGREEMENT] CUSTODY AGREEMENT dated as of August 28, 2014 by and between Oxford Lane Capital Corp. (“Company”) and U.S. BANK NATIONAL ASSOCIATION (“Custodian”)
Custody Agreement • September 3rd, 2014 • Oxford Lane Capital Corp. • New York

This CUSTODY AGREEMENT (this “Agreement”) is dated as of August 28, 2014, and is by and between OXFORD LANE CAPITAL CORP. (and any successor or permitted assign, the “Company”), a corporation organized under the laws of the State of Maryland, having its principal place of business at 8 Sound Shore Drive, Suite 255, Greenwich, CT 06830, and U.S. BANK NATIONAL ASSOCIATION (and any successor or permitted assign acting as custodian hereunder, the “Custodian”), a national banking association having a place of business at One Federal Street, 3rd Floor, Boston, MA 02110.

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Form of Custodian Agreement] Custodian Agreement
Custodian Agreement • November 30th, 2010 • Oxford Lane Capital Corp. • Massachusetts

This Agreement, dated as of August 19, 2010, is between Oxford Lane Capital Corp. a corporation organized and existing under the laws of Maryland (the “Fund”), and State Street Bank and Trust Company, a Massachusetts trust company (the “Custodian”).

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87,000,000 Principal Amount OXFORD LANE CAPITAL CORP.
Oxford Lane Capital Corp. • January 13th, 2022 • New York

Oxford Lane Capital Corp., a corporation incorporated under the laws of the State of Maryland (the “Fund”), is a non-diversified closed-end management investment company that has registered as an investment company under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Fund proposes to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) $87,000,000 in aggregate principal amount of its 5.00% Notes Due 2027 (the “Notes”). The Fund also proposes to sell to the several Underwriters up to an additional $13,000,000 aggregate principal amount of Notes (the “Additional Notes” and, together with the Notes, the “Securities”) if and to the extent that Ladenburg Thalmann & Co. Inc., as the representative of the Underwriters in the offering (the “Representative”), shall have determined to exercise, on behalf of the Underwriters, the right to purchase such Additional Notes granted to the Underwriters in Section 3 hereof. The Se

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2,400,000 ShARES OXFORD LANE CAPITAL CORP. Series 2029 Term Preferred Stock, $0.01 par value per Share UNDERWRITING AGREEMENT
Underwriting Agreement • June 16th, 2022 • Oxford Lane Capital Corp. • New York
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OXFORD LANE CAPITAL CORP. Common Stock, $.01 par value per share EQUITY DISTRIBUTION AGREEMENT
Equity Distribution Agreement • June 4th, 2020 • Oxford Lane Capital Corp. • New York
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FORM OF DEALER MANAGER AGREEMENT] OXFORD LANE CAPITAL CORP. Up to 2,522,077 Shares of Common Stock Issuable Upon Exercise of Non-transferable Rights to Subscribe for Such Shares of Common Stock DEALER MANAGER AGREEMENT
Dealer Manager Agreement • January 7th, 2013 • Oxford Lane Capital Corp. • New York

Oxford Lane Capital Corp., a Maryland corporation (the “Company”), Oxford Lane Management, LLC, a Connecticut limited liability company (the “ Adviser ”), and the Adviser’s managing member, BDC Partners, LLC, a Delaware limited liability company (“ BDC Partners ”), each confirms its agreement with and appointment of Ladenburg Thalmann & Co, Inc. (“Ladenburg” ) to act as dealer manager (the “Dealer Manager ”) in connection with the issuance by the Company to the holders of record (the “Holders ”) at 5:00 p.m. (New York City time) on January 18, 2013 (the “Record Date ”) or such other date as is established as the record date for such purpose of shares of common stock, par value $.01 per share (the “Common Stock ”), of the Company, of non-transferable rights entitling Holders to subscribe collectively for up to an aggregate of up to 2,522,077 whole shares (each, a “Share ” and, collectively, the “Shares ”) of Common Stock (the “Rights Offering ”). Pursuant to the terms of the Rights Offe

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FORM OF SUBSCRIPTION AGENT AGREEMENT] SUBSCRIPTION AGENT AGREEMENT
Subscription Agent Agreement • January 23rd, 2014 • Oxford Lane Capital Corp. • New York

This Subscription Agent Agreement (this "Agreement") is made as of January 23, 2014, by and among Oxford Lane Capital Corp., a Maryland corporation (the "Company"), Computershare, Inc., a Delaware corporation ("Computershare"), its fully owned subsidiary Computershare Trust Company, N.A., a national banking association (the "Trust Company" and, together with Computershare, the "Agent"), and relates to the registration statement on Form N-2, File No. 333-189805, filed by the Company with the Securities and Exchange Commission (the "Commission") on July 3, 2013, and as amended on August 21, 2013 (in the form such registration statement was declared effective by the Commission on August 22, 2013, the "Registration Statement") and the related prospectus supplement, dated January 23, 2013, and the accompanying base prospectus contained therein, dated August 22, 2013 (collectively, the "Prospectus"). Capitalized terms not otherwise defined herein shall have the meanings given to them in the

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INVESTMENT ADVISORY AGREEMENT BETWEEN OXFORD LANE CAPITAL CORP. AND OXFORD LANE MANAGEMENT, LLC
Investment Advisory Agreement • November 30th, 2010 • Oxford Lane Capital Corp. • New York

Agreement made this 9th day of September, 2010, by and between OXFORD LANE CAPITAL CORP., a Maryland corporation (the “Corporation”), and OXFORD LANE MANAGEMENT, LLC, a Connecticut limited liability company (the “Adviser”).

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SECOND SUPPLEMENTAL INDENTURE between OXFORD LANE CAPITAL CORP. and as Trustee Dated as of January 13, 2022 SECOND SUPPLEMENTAL INDENTURE
Second Supplemental Indenture • January 13th, 2022 • Oxford Lane Capital Corp. • New York

THIS SECOND SUPPLEMENTAL INDENTURE (this “Second Supplemental Indenture”), dated as of January 13, 2022, is between Oxford Lane Capital Corp., a Maryland corporation (the “Company”), and U.S. Bank National Association, as trustee (the “Trustee”). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

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OXFORD LANE CAPITAL CORP. Common Stock, $.01 par value per share [FORM OF AMENDMENT NO. 2 TO EQUITY DISTRIBUTION AGREEMENT]
Equity Distribution Agreement • May 23rd, 2017 • Oxford Lane Capital Corp.

This Amendment No. 2, dated May 23, 2017 (the “Amendment”), is to the Equity Distribution Agreement, dated March 7, 2016, as amended on November 21, 2016, by and among Oxford Lane Capital Corp., a Maryland corporation (the “Company”), Oxford Lane Management, LLC, a limited liability company organized under the laws of the State of Connecticut (the “Adviser”), and BDC Partners, LLC, a limited liability company organized under the laws of the State of Delaware (“BDC Partners”), on the one hand, and Ladenburg Thalmann & Co. Inc. (“Ladenburg”) on the other hand (the “Equity Distribution Agreement”).

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FORM OF DEALER MANAGER AGREEMENT] OXFORD LANE CAPITAL CORP. Up to 4,021,373 Shares of Common Stock Issuable Upon Exercise of Non-transferable Rights to Subscribe for Such Shares of Common Stock DEALER MANAGER AGREEMENT
Administration Agreement • January 23rd, 2014 • Oxford Lane Capital Corp. • New York

Oxford Lane Capital Corp., a Maryland corporation (the “Company”), Oxford Lane Management, LLC, a Connecticut limited liability company (the “Adviser”), and the Adviser’s managing member, BDC Partners, LLC, a Delaware limited liability company (“BDC Partners”), each confirms its agreement with and appointment of Deutsche Bank Securities Inc. (“Deutsche Bank”) and Ladenburg Thalmann & Co. Inc. (“Ladenburg” ) to act as dealer managers (each a “Dealer Manager” and together, the “Dealer Managers”) in connection with the issuance by the Company to the holders of record (the “Holders ”) at 5:00 p.m. (New York City time) on February 4, 2014 (the “Record Date ”) or such other date as is established as the record date for such purpose of shares of common stock, par value $.01 per share (the “Common Stock”), of the Company, of non-transferable rights entitling Holders to subscribe collectively for up to an aggregate of up to 4,021,373 whole shares (each, a “Share” and, collectively, the “Shares”

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FORM OF SUBSCRIPTION AGREEMENT]
Subscription Agreement • September 8th, 2014 • Oxford Lane Capital Corp. • New York

The undersigned understands that pursuant to a prospectus supplement, dated as of September 5, 2014 (together with the base prospectus, dated as of June 23, 2014, attached thereto, the “Prospectus”), Oxford Lane Capital Corp., a Maryland corporation (the “Company”), is offering (the “Offering”) for sale its 7.50% Series 2023 term preferred stock, par value $0.01 per share (the “Series 2023 Term Preferred Shares”). The Series 2023 Term Preferred Shares are being offered for sale at a purchase price of $24.50 per share.

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ADMINISTRATION AGREEMENT
Administration Agreement • November 30th, 2010 • Oxford Lane Capital Corp. • New York

AGREEMENT made as of September 9, 2010 by and between Oxford Lane Capital Corp., a Maryland corporation (hereinafter referred to as the "Corporation"), and BDC Partners, LLC, a Delaware limited liability company, (hereinafter referred to as the "Administrator").

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FORM OF INFORMATION AGENT AGREEMENT]
Letter of Agreement • July 28th, 2011 • Oxford Lane Capital Corp. • New York
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OXFORD LANE CAPITAL CORP. Common Stock, $0.01 par value per share AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT
Equity Distribution Agreement • September 9th, 2022 • Oxford Lane Capital Corp. • New York
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Securities Industry and Financial Markets Association
Oxford Lane Capital Corp. • February 12th, 2018 • New York

The logo on this form may have been updated. The content of this document has not been modified since its original website posting. In light of rapidly changing business and regulatory environments, current accuracy cannot be assured.

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a Maryland corporation) AMENDMENT NO. 1 TO AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT
Equity Distribution Agreement • November 15th, 2023 • Oxford Lane Capital Corp.

This Amendment No. 1, dated November 15, 2023 (the “Amendment”), is to the Amended and Restated Equity Distribution Agreement, dated September 9, 2022 (the “Equity Distribution Agreement”), by and among Oxford Lane Capital Corp., a Maryland corporation (the “Company”), Oxford Lane Management, LLC, a limited liability company organized under the laws of the State of Connecticut (the “Adviser”), Oxford Funds LLC, a limited liability company organized under the laws of Delaware (the “Administrator”) and Ladenburg Thalmann & Co. Inc. (“Ladenburg”).

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OXFORD LANE CAPITAL CORP. Common Stock, $.01 par value per share AMENDMENT NO. 1 TO AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT
Equity Distribution Agreement • May 8th, 2019 • Oxford Lane Capital Corp.

This Amendment No. 1, dated May 8, 2019 (the “Amendment”), is to the Amended and Restated Equity Distribution Agreement, dated August 10, 2018, by and among Oxford Lane Capital Corp., a Maryland corporation (the “Company”), Oxford Lane Management, LLC, a limited liability company organized under the laws of the State of Connecticut (the “Adviser”), and Oxford Funds, LLC, a limited liability company organized under the laws of the State of Delaware (“Oxford Funds”), on the one hand, and Ladenburg Thalmann & Co. Inc. (“Ladenburg”) on the other hand (the “Equity Distribution Agreement”).

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FORM OF INFORMATION AGENT AGREEMENT] March __, 2011
Letter of Agreement • March 27th, 2012 • Oxford Lane Capital Corp. • New York
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FIRST SUPPLEMENTAL INDENTURE between OXFORD LANE CAPITAL CORP. and as Trustee Dated as of March 16, 2021 FIRST SUPPLEMENTAL INDENTURE
First Supplemental Indenture • March 16th, 2021 • Oxford Lane Capital Corp. • New York

THIS FIRST SUPPLEMENTAL INDENTURE (this “First Supplemental Indenture”), dated as of March 16, 2021, is between Oxford Lane Capital Corp., a Maryland corporation (the “Company”), and U.S. Bank National Association, as trustee (the “Trustee”). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

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OXFORD LANE CAPITAL CORP. Common Stock, $.01 par value per share AMENDMENT NO. 3 TO AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT
Equity Distribution Agreement • February 7th, 2020 • Oxford Lane Capital Corp.

This Amendment No. 3, dated February 5, 2020 (the “Amendment”), is to the Amended and Restated Equity Distribution Agreement, dated August 10, 2018, amended by Amendment No. 1 dated May 8, 2019 and Amendment No. 2 dated November 4, 2019, by and among Oxford Lane Capital Corp., a Maryland corporation (the “Company”), Oxford Lane Management, LLC, a limited liability company organized under the laws of the State of Connecticut (the “Adviser”), and Oxford Funds, LLC, a limited liability company organized under the laws of the State of Delaware (“Oxford Funds”), on the one hand, and Ladenburg Thalmann & Co. Inc. (“Ladenburg”) on the other hand (the “Equity Distribution Agreement”).

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Georgeson Inc.
Letter of Agreement • January 23rd, 2014 • Oxford Lane Capital Corp. • New York
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OXFORD LANE CAPITAL CORP. Common Stock, $.01 par value per share AMENDMENT NO. 3 TO EQUITY DISTRIBUTION AGREEMENT
Equity Distribution Agreement • February 12th, 2018 • Oxford Lane Capital Corp.

This Amendment No. 3, dated February 12, 2018 (the “Amendment”), is to the Equity Distribution Agreement, dated March 7, 2016, and amended by Amendment No. 1 dated November 21, 2016 and Amendment No. 2 dated May 23, 2017 by and among Oxford Lane Capital Corp., a Maryland corporation (the “Company”), Oxford Lane Management, LLC, a limited liability company organized under the laws of the State of Connecticut (the “Adviser”), and BDC Partners, LLC, a limited liability company organized under the laws of the State of Delaware (“BDC Partners”), on the one hand, and Ladenburg Thalmann & Co. Inc. (“Ladenburg”) on the other hand (the “Equity Distribution Agreement”).

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FORM OF INFORMATION AGENT AGREEMENT]
Letter of Agreement • January 7th, 2013 • Oxford Lane Capital Corp. • New York
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OXFORD LANE CAPITAL CORP. Common Stock, $.01 par value per share AMENDMENT NO. 2 TO AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT
Equity Distribution Agreement • November 4th, 2019 • Oxford Lane Capital Corp.

This Amendment No. 2, dated November 4, 2019 (the “Amendment”), is to the Amended and Restated Equity Distribution Agreement, dated August 10, 2018, and amended by Amendment No. 1 dated May 8, 2019, by and among Oxford Lane Capital Corp., a Maryland corporation (the “Company”), Oxford Lane Management, LLC, a limited liability company organized under the laws of the State of Connecticut (the “Adviser”), and Oxford Funds, LLC, a limited liability company organized under the laws of the State of Delaware (“Oxford Funds”), on the one hand, and Ladenburg Thalmann & Co. Inc. (“Ladenburg”) on the other hand (the “Equity Distribution Agreement”).

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