0001462180-12-000079.txt : 20121130
0001462180-12-000079.hdr.sgml : 20121130
20121130120458
ACCESSION NUMBER: 0001462180-12-000079
CONFORMED SUBMISSION TYPE: SC 13D
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20121130
DATE AS OF CHANGE: 20121130
GROUP MEMBERS: ANDREW DAKOS
GROUP MEMBERS: BROOKLYN CAPITAL MANAGEMENT LLC
GROUP MEMBERS: BULLDOG INVESTORS
GROUP MEMBERS: PHILLIP GOLDSTEIN
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: Oxford Lane Capital Corp.
CENTRAL INDEX KEY: 0001495222
IRS NUMBER: 272859071
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: SC 13D
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-85910
FILM NUMBER: 121233667
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
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Bulldog Investors
CENTRAL INDEX KEY: 0001462180
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: SC 13D
BUSINESS ADDRESS:
STREET 1: PARK 80 WEST PLAZA TWO
STREET 2: SUITE 750
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
BUSINESS PHONE: 201 556-0092
MAIL ADDRESS:
STREET 1: PARK 80 WEST PLAZA TWO
STREET 2: SUITE 750
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
SC 13D
1
third.txt
SCHEDULE 13D
DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT
11/20/12
1. NAME OF REPORTING PERSON
Bulldog Investors, Brooklyn Capital Management,
Phillip Goldstein and Andrew Dakos
2. CHECK THE BOX IF MEMBER OF A GROUP a[X]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
150,000
8. SHARED VOTING POWER
0
9. SOLE DISPOSITIVE POWER
150,000
_______________________________________________________
10. SHARED DISPOSITIVE POWER
0
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
150,000
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
25.00%
14. TYPE OF REPORTING PERSON
IA
_______________________________________________________
Item 1. SECURITY AND ISSUER
This Schedule 13D relates to the shares of Common Stock
of Oxford Lane Capital Corp. 8.50% Series 2017
("OXLCP" or the "Issuer").
The principal executive offices of OXLCP are located at
8 Sound Shore Drive STE 255
Greenwich, CT 06830
Item 2. IDENTITY AND BACKGROUND
This statement is filed on behalf of Bulldog Investors,
Brooklyn Capital Mangement, Phillip Goldstein,
60 Heritage Drive Pleasantville, NY 10570 a principal of Bulldog Investors
and Andrew Dakos, Park 80 West,Saddle Brook, NJ 07663, also a principal
of Bulldog Investors. Mr.Goldstein and Mr. Dakos are self-employed
investment advisors.
On October 17, 2007 the Massachusetts Secretary of State issued a permanent
"obey the law" injunction and fined Bulldog Investors, Messrs. Goldstein and
Dakos and certain related parties (the "Respondents") $25,000 for operating
an open website containing information about certain unregistered
investments and sending an e-mail about such investments to a Massachusetts
resident who requested information. On April 5, 2012, the President signed the
JOBS Act which expressly permits such acts. Consequently, on June 29, 2012,
the Respondents submitted a motion to the Secretary to vacate his order.
ITEM 3. SOURCE AND AMOUNT OF FUNDS AND OTHER CONSIDERATIONS
Shares of the Issuer have been accumulated on behalf of managed
accounts.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
As per Form 497 filed on November 12, 2012 there were 600,000 shares of
common stock outstanding as of 11/20/12 The percentage set forth in item 5
was derived using such number. Bulldog Investors, Brooklyn Capital Management,
Phillip Goldstein and Andrew Dakos beneficially own an aggregate of 150,000
shares of OXLCP or 25.00% of the outstanding shares.Power to dispose of and vote
securities resides either with Mr. Goldstein, Mr. Dakos or with clients.
c) During the past 60 days the following shares of OXLCP were purchased:
Date: Shares: Price:
11/20/12 150,000 25.0000
d) Beneficiaries of managed accounts are entitled to receive any
dividends or sales proceeds.
e) NA
ITEM 6. CONTRACTS,ARRANGEMENTS,UNDERSTANDINGS OR RELATIONSHIPS
WITH RESPECT TO SECURITIES OF THE ISSUER.
None.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
None.
After reasonable inquiry and to the best of my knowledge
and belief, I certify that the information set forth in this
statement is true, complete and correct.
Dated: 11/30/2012
By: /s/ Phillip Goldstein
Name: Phillip Goldstein
By: /S/ Andrew Dakos
Name: Andrew Dakos