0001615774-20-001655 Sample Contracts

3,500,000 Shares OXFORD LANE CAPITAL CORP. Series 2027 Term Preferred Stock, $0.01 par value per Share UNDERWRITING AGREEMENT

Underwriting Agreement • February 7th, 2020 • Oxford Lane Capital Corp. • New York

• Contract Type
  Underwriting Agreement
• Filed
  February 7th, 2020
• Company
  Oxford Lane Capital Corp.
• Jurisdiction
  New York

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.

• Contract Type
  Equity Distribution Agreement
• Filed
  February 7th, 2020
• Company
  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”).