Securities Industry and Financial Markets AssociationOxford Lane Capital Corp. • February 12th, 2018 • New York
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OXFORD LANE CAPITAL CORP. Common Stock, $.01 par value per share AMENDMENT NO. 3 TO EQUITY DISTRIBUTION AGREEMENTEquity 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”).
