Common use of Interested Persons Clause in Contracts

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act) of the Company or an “affiliated person” (as defined in the 1940 Act) of any of the Underwriters.

Appears in 32 contracts

Sources: Purchase Agreement (Ares Capital Corp), Underwriting Agreement (Goldman Sachs BDC, Inc.), Purchase Agreement (Ares Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of the Company or an “affiliated person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of any of the Underwriters.

Appears in 31 contracts

Sources: Purchase Agreement (Ares Capital Corp), Underwriting Agreement (PennantPark Floating Rate Capital Ltd.), Underwriting Agreement (Goldman Sachs BDC, Inc.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act) of the Company or an “affiliated person” (as defined in the 1940 Act) of any of the UnderwritersDistribution Managers.

Appears in 20 contracts

Sources: Equity Distribution Agreement (Ares Capital Corp), Equity Distribution Agreement (Ares Capital Corp), Equity Distribution Agreement (Ares Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and Statement or the Prospectus (Ai) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (Bii) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of the Company or an “affiliated person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of any of the UnderwritersAgent except as otherwise disclosed in the Registration Statement or the Prospectus.

Appears in 11 contracts

Sources: Equity Distribution Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act) of the Company or an “affiliated person” (as defined in the 1940 Act) of any of the UnderwritersSales Agent.

Appears in 11 contracts

Sources: Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.), Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.), Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act1▇▇▇ ▇▇▇) of the Company or an “affiliated person” (as defined in the 1940 Act1▇▇▇ ▇▇▇) of any of the Underwriters.

Appears in 10 contracts

Sources: Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp)

Interested Persons. Except as disclosed in the Registration StatementProspectus, the General Disclosure Package and the Prospectus Registration Statement, (A) no person is serving or acting as an officer, director or investment adviser of the Company, Company except in accordance with the provisions of the 1940 Investment Company Act and the Advisers Act, Act and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Investment Company Act) of the Company or an “affiliated person” (as defined in the 1940 Investment Company Act) of any of the Underwriters.

Appears in 8 contracts

Sources: Debt Underwriting Agreement (THL Credit, Inc.), Underwriting Agreement (THL Credit, Inc.), Debt Underwriting Agreement (THL Credit, Inc.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act1▇▇▇ ▇▇▇) of the Company or an “affiliated person” (as defined in the 1940 Act1▇▇▇ ▇▇▇) of any of the UnderwritersDistribution Managers.

Appears in 8 contracts

Sources: Equity Distribution Agreement (Ares Capital Corp), Equity Distribution Agreement (Ares Capital Corp), Equity Distribution Agreement (Ares Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and Statement or the Prospectus (Ai) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (Bii) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act) of the Company or an “affiliated person” (as defined in the 1940 Act) of any of Agent except as otherwise disclosed in the UnderwritersRegistration Statement or the Prospectus.

Appears in 8 contracts

Sources: Debt Distribution Agreement (Prospect Capital Corp), Debt Distribution Agreement (Prospect Capital Corp), Debt Distribution Agreement (Prospect Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, (A) no person is serving or acting as an officer, director or investment adviser of the Company, Company except in accordance with the provisions of the 1940 Investment Company Act and the Advisers Act, Act and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Investment Company Act) of the Company or an “affiliated person” (as defined in the 1940 Investment Company Act) of any of the Underwriters.

Appears in 7 contracts

Sources: Underwriting Agreement (Garrison Capital Inc.), Underwriting Agreement (WhiteHorse Finance, Inc.), Underwriting Agreement (WhiteHorse Finance, Inc.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of the Company or an “affiliated person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of any of the Underwriters.

Appears in 6 contracts

Sources: Underwriting Agreement (Runway Growth Finance Corp.), Underwriting Agreement (Bain Capital Specialty Finance, Inc.), Underwriting Agreement (TCG Bdc, Inc.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of the Company or an “affiliated person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of any of the UnderwritersDistribution Managers.

Appears in 6 contracts

Sources: Equity Distribution Agreement (Goldman Sachs BDC, Inc.), Equity Distribution Agreement (Goldman Sachs BDC, Inc.), Equity Distribution Agreement (Ares Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and Statement or the Prospectus (Ai) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (Bii) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act1▇▇▇ ▇▇▇) of the Company or an “affiliated person” (as defined in the 1940 Act1▇▇▇ ▇▇▇) of any of the UnderwritersAgent except as otherwise disclosed in the Registration Statement or the Prospectus.

Appears in 5 contracts

Sources: Equity Distribution Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, (A) no person is serving or acting as an officer, director or investment adviser of the Company, Company except in accordance with the provisions of the 1940 Investment Company Act and the Advisers Act, Act and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Investment Company Act) of the Company or an “affiliated person” (as defined in the 1940 Investment Company Act) of any of the Underwriters.

Appears in 5 contracts

Sources: Underwriting Agreement (CION Investment Corp), Underwriting Agreement (CION Investment Corp), Underwriting Agreement (WhiteHorse Finance, Inc.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the CompanyTCP Entities, no director of the Company is an “interested person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of the Company or an “affiliated person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of any of the Underwriters.

Appears in 5 contracts

Sources: Underwriting Agreement (BlackRock TCP Capital Corp.), Underwriting Agreement (BlackRock TCP Capital Corp.), Underwriting Agreement (BlackRock TCP Capital Corp.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an "interested person" (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of the Company or an "affiliated person" (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of any of the Underwriters.

Appears in 4 contracts

Sources: Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an "interested person" (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of the Company or an "affiliated person" (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of any of the Underwriters.

Appears in 4 contracts

Sources: Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of the Company or an “affiliated person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of any of the UnderwritersSales Agent.

Appears in 4 contracts

Sources: Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.), Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.), Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Prospectus and the Prospectus Pre-pricing Prospectus, (Ai) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (Bii) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act) of the Company or an “affiliated person” (as defined in the 1940 Act) of any of the Underwriters.

Appears in 2 contracts

Sources: Purchase Agreement (PennantPark Floating Rate Capital Ltd.), Purchase Agreement (Pennantpark Investment Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act1▇▇▇ ▇▇▇) of the Company or an “affiliated person” (as defined in the 1940 Act1▇▇▇ ▇▇▇) of any of the Underwriters.

Appears in 2 contracts

Sources: Underwriting Agreement (Runway Growth Finance Corp.), Underwriting Agreement (Runway Growth Finance Corp.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and Statement or the Prospectus (Ai) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (Bii) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of the Company or an “affiliated person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of any of Agent except as otherwise disclosed in the UnderwritersRegistration Statement or the Prospectus.

Appears in 2 contracts

Sources: Debt Distribution Agreement (Prospect Capital Corp), Debt Distribution Agreement (Prospect Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act) of the Company or an “affiliated person” (as defined in the 1940 Act) of any of the Underwriters.

Appears in 2 contracts

Sources: Underwriting Agreement (Runway Growth Finance Corp.), Underwriting Agreement (Runway Growth Finance Corp.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, (A) no person is serving or acting as an officer, director or investment adviser of the Company, Company except in accordance with the provisions of the 1940 Act and the Advisers Act, Act and (B) ), to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of the Company or an “affiliated person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of any of the Underwriters.

Appears in 2 contracts

Sources: Underwriting Agreement (WhiteHorse Finance, Inc.), Underwriting Agreement (WhiteHorse Finance, LLC)

Interested Persons. Except as disclosed in the Registration Statement, the General Prospectus and the Disclosure Package and the Prospectus (Ai) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (Bii) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act▇▇▇) of ▇▇ the Company or an “affiliated person” (as defined in the 1940 Act▇▇▇) of any of ▇▇ the UnderwritersPlacement Agent except as otherwise disclosed in the Registration Statement.

Appears in 1 contract

Sources: Placement Agreement (Gladstone Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act1▇▇▇ ▇▇▇) of the Company or an “affiliated person” (as defined in the 1940 Act1▇▇▇ ▇▇▇) of any of the Underwriters.

Appears in 1 contract

Sources: Purchase Agreement (Tortoise Capital Resources Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Preliminary Offering Memorandum and the Prospectus Final Offering Memorandum, (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an "interested person" (as defined in the 1940 Act) of the Company or an "affiliated person" (as defined in the defin▇▇ ▇▇ ▇he 1940 Act) of any of the UnderwritersPurchaser.

Appears in 1 contract

Sources: Purchase Agreement (Tortoise Gas & Oil Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act19▇▇ ▇▇▇) of the Company or an “affiliated person” (as defined in the 1940 Act19▇▇ ▇▇▇) of any of the Underwriters.

Appears in 1 contract

Sources: Purchase Agreement (Ares Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act) of the Company or an “affiliated person” (as defined in the 1940 Act) of any of the UnderwritersDistribution Manager.

Appears in 1 contract

Sources: Equity Distribution Agreement (Goldman Sachs BDC, Inc.)

Interested Persons. Except as disclosed in the Registration StatementProspectus, the General Disclosure Package and the Prospectus Registration Statement, (A) no person is serving or acting as an officer, director or investment adviser of the Company, Company except in accordance with the provisions of the 1940 Act and the Advisers Act, Act and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of the Company or an “affiliated person” (as defined in the 1940 Act▇▇▇▇ ▇▇▇) of any of the Underwriters.

Appears in 1 contract

Sources: Purchase Agreement (THL Credit, Inc.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the CompanyTCP Entities, no director of the Company is an “interested person” (as defined in the 1940 Act) of the Company or an “affiliated person” (as defined in the 1940 Act) of any of the Underwriters.

Appears in 1 contract

Sources: Underwriting Agreement (BlackRock TCP Capital Corp.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, (A) no person is serving or acting as an officer, director or investment adviser of the Company, Company except in accordance with the provisions of the 1940 Act and the Advisers Act, Act and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act) of the Company or an “affiliated person” (as defined in the 1940 Act) of any of the Underwriters.

Appears in 1 contract

Sources: Underwriting Agreement (WhiteHorse Finance, Inc.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus Prospectus, (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 1940 Act) of the Company or an “affiliated person” (as defined in the 1940 Act) of any of the Underwriters.

Appears in 1 contract

Sources: Underwriting Agreement (Runway Growth Finance Corp.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Preliminary Offering Memorandum and the Prospectus Final Offering Memorandum, (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an "interested person" (as defined in the 1940 Act) of the Company or an "affiliated person" (as defined in the define▇ ▇▇ ▇▇▇ 1940 Act) of any of the UnderwritersPlacement Agents.

Appears in 1 contract

Sources: Placement Agreement (Tortoise Gas & Oil Corp)