EXHIBIT 10.2 INDEMNITY AGREEMENT This Indemnity Agreement (this "Agreement") is entered into as of December 22, 2004, by and between PROSPECT ENERGY CORPORATION, a Maryland corporation (the "Indemnitor"), and FIRST AMERICAN BANK, SSB, a state savings...Indemnity Agreement • February 10th, 2005 • Prospect Energy Corp • Texas
PROSPECT CAPITAL CORPORATION, as Issuer, and AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, as Trustee INDENTURE Dated as of December 21, 2012 5.875% SENIOR CONVERTIBLE NOTES DUE 2019Indenture • December 21st, 2012 • Prospect Capital Corp • New York
INDENTURE, dated as of December 21, 2012 (this “Indenture”), between PROSPECT CAPITAL CORPORATION, a corporation organized under the laws of Maryland, as issuer (the “Company”), and AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, a New York limited liability trust company, as trustee hereunder (the “Trustee”).
Exhibit (k)(4) REVOLVING CREDIT AGREEMENTCredit Agreement • August 1st, 2006 • Prospect Energy Corp • New York
SUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto.Prospect Capital Corp • January 19th, 2024 • New York
THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank Trust Company National Association (successor in interest to 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).
AMENDED AND RESTATED Purchase and Sale Agreement by and between GAS SOLUTIONS, LTD., a Texas Limited Partnership ,Purchase and Sale Agreement • November 12th, 2004 • Prospect Energy Corp • Texas
PROSPECT CAPITAL CORPORATION, as Issuer, and AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, as Trustee INDENTURE Dated as of August 14, 2012 5.75% SENIOR CONVERTIBLE NOTES DUE 2018Prospect Capital Corp • August 14th, 2012 • New York
INDENTURE, dated as of August 14, 2012 (this “Indenture”), between PROSPECT CAPITAL CORPORATION, a corporation organized under the laws of Maryland, as issuer (the “Company”), and AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, a New York limited liability trust company, as trustee hereunder (the “Trustee”).
CUSTODY AGREEMENT dated as of October 10, 2014 by and between PROSPECT YIELD CORPORATION, LLCCustody Agreement • October 14th, 2014 • Prospect Capital Corp • New York
SUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto.Supplemental Indenture • July 29th, 2021 • Prospect Capital Corp • New York
THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, 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).
PROSPECT CAPITAL CORPORATION 3.437% Notes due 2028 UNDERWRITING AGREEMENTUnderwriting Agreement • September 24th, 2021 • Prospect Capital Corp • New York
Underwriters Aggregate Principal Amount of Securities RBC Capital Markets, LLC $ 90,000,000 Goldman Sachs & Co. LLC 90,000,000 BNP Paribas Securities Corp. 22,500,000 KeyBanc Capital Markets Inc. 15,000,000 Barclays Capital Inc. 12,000,000 CIBC World Markets Corp. 12,000,000 Mizuho Securities USA LLC 12,000,000 R. Seelaus & Co., LLC 12,000,000 WauBank Securities LLC 9,000,000 M&T Securities, Inc. 7,500,000 Comerica Securities, Inc. 6,000,000 Morgan Stanley & Co. LLC 4,500,000 UBS Securities LLC 4,500,000 Incapital LLC 3,000,000 Total $ 300,000,000
EQUITY DISTRIBUTION AGREEMENTEquity Distribution Agreement • June 15th, 2020 • Prospect Capital Corp • New York
Prospect Capital Corporation, a corporation organized under the laws of Maryland (the “Company”), Prospect Capital Management L.P., a Delaware limited partnership registered as an investment adviser (the “Adviser”) and Prospect Administration LLC, a Delaware limited liability company (the “Administrator”) and RBC Capital Markets, LLC (“Agent”) confirm their agreement in the form of this Equity Distribution Agreement (this “Agreement”) as follows:
Common Stock ($.001 Par Value Per Share) UNDERWRITING AGREEMENTUnderwriting Agreement • July 23rd, 2004 • Prospect Energy Corp • Maryland
Prospect Energy Corporation, a Maryland corporation (the “Company”), proposes to issue and sell an aggregate of shares (the “Firm Shares”) of Common Stock, $.001 par value per share (the “Common Stock”), of the Company. It is understood that, subject to the conditions hereinafter stated, the Firm Shares will be sold by the Company to the several Underwriters named in Schedule A hereto (the “Underwriters”) in connection with the offer and sale of such Firm Shares. Ferris, Baker Watts, Incorporated (“FBW”) has agreed to act as representative of the several Underwriters (in such capacity, the “Representative”) in connection with the offering and sale of the Shares.
SUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto.Indenture • March 7th, 2024 • Prospect Capital Corp • New York
THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank Trust Company National Association (successor in interest to 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).
PROSPECT CAPITAL CORPORATION, as Issuer, and AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, as Trustee INDENTURE Dated as of April 11, 2014 4.75% SENIOR CONVERTIBLE NOTES DUE 2020Prospect Capital Corp • April 16th, 2014 • New York
INDENTURE, dated as of April 11, 2014 (this “Indenture”), between PROSPECT CAPITAL CORPORATION, a corporation organized under the laws of Maryland, as issuer (the “Company”), and AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, a New York limited liability trust company, as trustee hereunder (the “Trustee”).
Up to $100,000,000 Aggregate Principal Amount of Up to $100,000,000 Aggregate Principal Amount of Up to $100,000,000 Aggregate Principal Amount of AMENDED AND RESTATED DEBT DISTRIBUTION AGREEMENTDebt Distribution Agreement • February 20th, 2019 • Prospect Capital Corp • New York
Prospect Capital Corporation, a corporation organized under the laws of Maryland (the “Company”), Prospect Capital Management L.P., a Delaware limited partnership registered as an investment adviser (the “Adviser”), Prospect Administration LLC, a Delaware limited liability company (the “Administrator”), and Comerica Securities, Inc. (the “Agent”) previously entered into a Debt Distribution Agreement dated August 31, 2018 (the “Original Agreement”). The parties hereby amend and restate the Original Agreement and the parties hereto collectively confirm their agreement in the form of this Amended and Restated Debt Distribution Agreement (this “Agreement”), which supersedes and replaces the Original Agreement, as follows:
SELLING AGENT AGREEMENTSelling Agent Agreement • February 13th, 2020 • Prospect Capital Corp • New York
In the event that any Agent that is a Covered Entity becomes subject to a proceeding under a U.S. Special Resolution Regime, the transfer from such Agent of this Agreement, and any interest and obligation in or under this Agreement, will be effective to the same extent as the transfer would be effective under the U.S. Special Resolution Regime if this Agreement, and any such interest and obligation, were governed by the laws of the United States or a state of the United States.
Prospect Capital Corporation 3,250,000 Shares 1 Common Stock ($0.001 par value) Underwriting AgreementProspect Capital Corp • May 30th, 2008 • New York
Prospect Capital Corporation, a corporation organized under the laws of Maryland (the “Company”), proposes to sell to the several underwriters named in Schedule II hereto (the “Underwriters”), for whom you (the “Representatives”) are acting as representatives, the number of shares of common stock, $0.001 par value (“Common Stock”), of the Company set forth in Schedule I hereto (said shares to be issued and sold by the Company being hereinafter called the “Underwritten Securities”). The Company also proposes to grant to the Underwriters an option to purchase up to the number of additional shares of Common Stock set forth in Schedule I hereto to cover over-allotments, if any (the “Option Securities”; the Option Securities, together with the Underwritten Securities, being hereinafter called the “Securities”). To the extent there are no additional Underwriters listed on Schedule II other than you, the term Representatives as used herein shall mean you, as Underwriters, and the terms Repres
INVESTMENT ADVISORY AGREEMENT BETWEEN PROSPECT ENERGY CORPORATION AND PROSPECT CAPITAL MANAGEMENT, LLCInvestment Advisory Agreement • July 6th, 2004 • Prospect Energy Corp • New York
Agreement made this [__] day of June 2004, by and between PROSPECT ENERGY CORPORATION, a Maryland corporation (the “Corporation”), and PROSPECT CAPITAL MANAGEMENT, LLC, a Delaware limited liability company (the “Adviser”).
PROSPECT CAPITAL CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • July 13th, 2021 • Prospect Capital Corp • New York
Prospect Capital Corporation, a corporation organized under the laws of Maryland (the “Company”), Prospect Capital Management L.P., a Delaware limited partnership registered as an investment adviser (the “Adviser”), and Prospect Administration, LLC, a Delaware limited liability company (the “Administrator”), confirm their agreement in the form of this Underwriting Agreement (this “Agreement”) with you as follows:
ADMINISTRATION AGREEMENTAdministration Agreement • July 6th, 2004 • Prospect Energy Corp • New York
AGREEMENT (this “Agreement”) made as of June ___, 2004 by and between Prospect Energy Corporation, a Maryland corporation (hereinafter referred to as the “Corporation”), and Prospect Administration, LLC, a Delaware limited liability company (hereinafter referred to as the “Administrator”).
FIFTH AMENDED AND RESTATED LOAN AND SERVICING AGREEMENTLoan and Servicing Agreement • September 4th, 2014 • Prospect Capital Corp • New York
Alternate Base Rate: On any date, a fluctuating rate of interest per annum determined by the Calculation Agent (each such determination, absent manifest error, to be conclusive and binding on all parties hereto and their assignees) to equal to the higher of (i) the Prime Rate (as provided by KeyBank to the Calculation Agent) or (ii) the Federal Funds Rate plus 0.50%.
PROSPECT CAPITAL CORPORATION PURCHASE AGREEMENTPurchase Agreement • February 18th, 2011 • Prospect Capital Corp • New York
Goldman, Sachs & Co., As Representative of the several Initial Purchasers named in Schedule I attached hereto, c/o Goldman, Sachs & Co. 200 West Street New York, New York 10282
SUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of December 5, 2018Supplemental Indenture • December 6th, 2018 • Prospect Capital Corp • New York
THIS SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of December 5, 2018, is between Prospect Capital Corporation, 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).
PROSPECT CAPITAL CORPORATION, as Issuer, and AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, as Trustee INDENTURE Dated as of February 18, 2011 5.50% SENIOR CONVERTIBLE NOTES DUE 2016Prospect Capital Corp • February 18th, 2011 • New York
INDENTURE, dated as of February 18, 2011 (this “Indenture”), between PROSPECT CAPITAL CORPORATION, a corporation organized under the laws of Maryland, as issuer (the “Company”), and AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, a New York limited liability trust company, as trustee hereunder (the “Trustee”).
FIRST AMENDMENT TO SEVENTH AMENDED AND RESTATED LOAN AND SERVICING AGREEMENTLoan and Servicing Agreement • September 7th, 2022 • Prospect Capital Corp • New York
EXHIBIT A-1 Form of Borrower Notice (Advances) EXHIBIT A-2 Form of Borrower Notice (Facility Amount Reductions) EXHIBIT A-3 Form of Borrower Notice (Prepayments) EXHIBIT B Form of Note[reserved] EXHIBIT C-1 Form of Assignment and Acceptance EXHIBIT C-2 Form of Joinder Agreement EXHIBIT C-3 Form of Commitment Increase Agreement EXHIBIT D Form of Monthly Report EXHIBIT E Form of Servicer’s Certificate EXHIBIT F Form of Assignment of Mortgage EXHIBIT G Form of Account Control Agreement EXHIBIT H-1 Form of Purchase of Transferred Loan Agreement EXHIBIT H-2 Form of Sale of Transferred Loan Agreement EXHIBIT I Form of Independent Accountant Report
SUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of September 30, 2021Supplemental Indenture • September 30th, 2021 • Prospect Capital Corp • New York
THIS SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of September 30, 2021, is between Prospect Capital Corporation, 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).
PROSPECT CAPITAL CORPORATION as Issuer and American Stock Transfer & Trust Company, LLC as Trustee Indenture Dated as of February 16, 2012 Providing for the Issuance of Debt SecuritiesIndenture • March 1st, 2012 • Prospect Capital Corp • New York
INDENTURE, dated as of February 16, 2012, between PROSPECT CAPITAL CORPORATION, a Maryland corporation (hereinafter called the “Company”), having its principal office at 10 East 40th Street, 44th Floor, New York, NY 10016, and American Stock Transfer & Trust Company, LLC, as Trustee (hereinafter called the “Trustee”), having its Corporate Trust Office at 110 Wall Street, 5th Floor, , New York, NY 10005.
SUBSCRIPTION ESCROW AGREEMENTSubscription Escrow Agreement • February 23rd, 2022 • Prospect Capital Corp • New York
THIS SUBSCRIPTION ESCROW AGREEMENT dated as of February 18, 2022 (this “Agreement”), is entered into among Prospect Capital Corporation (the “Issuer”) and UMB Bank, National Association, a national banking association, as escrow agent (the “Escrow Agent”).
PROSPECT CAPITAL CORPORATION STOCK PURCHASE AGREEMENT Dated as of September 21, 2009Stock Purchase Agreement • September 24th, 2009 • Prospect Capital Corp • New York
The undersigned, Prospect Capital Corporation, a Maryland corporation (the "Corporation"), hereby agrees with you as follows:
PROSPECT CAPITAL CORPORATION AMENDMENT NO. 4 TO AMENDED AND RESTATED DEALER MANAGER AGREEMENTDealer Manager Agreement • December 29th, 2023 • Prospect Capital Corp
This amendment (this “Amendment No. 4”) to the Amended and Restated Dealer Manager Agreement (the “A&R Dealer Manager Agreement”) dated as of February 25, 2021 is by and between Prospect Capital Corporation, a corporation organized under the laws of Maryland (the “Company”), and Preferred Capital Securities, LLC, a Georgia limited liability company (the “Dealer Manager”), and shall be effective as of the date hereof (the “Effective Date”).
AMENDED AND RESTATED DEALER MANAGER AGREEMENT by and among Prospect Capital Corporation, Prospect Capital Management L.P., Prospect Administration LLC, InspereX LLC and such other Agents added from time to time February 18, 2022Dealer Manager Agreement • February 23rd, 2022 • Prospect Capital Corp • Illinois
In the event that any Agent is a Covered Entity and becomes subject to a proceeding under a U.S. Special Resolution Regime, the transfer from such Agent of this Agreement, and any interest and obligation in or under this Agreement, will be effective to the same extent as the transfer would be effective under the U.S. Special Resolution Regime if this Agreement, and any such interest and obligation, were governed by the laws of the United States or a state of the United States.
PROSPECT CAPITAL CORPORATION AMENDED AND RESTATED DEALER MANAGER AGREEMENT February 25, 2021Dealer Manager Agreement • February 25th, 2021 • Prospect Capital Corp • New York
REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • September 24th, 2009 • Prospect Capital Corp • New York
THIS REGISTRATION RIGHTS AGREEMENT (this "Agreement"), dated as of September 21, 2009, among Prospect Capital Corporation, a Maryland corporation (the "Corporation"), and the persons identified on the signature page hereof (referred to collectively herein as the "Purchasers" and each individually as a "Purchaser").
Prospect Capital Corporation 6,750,000 Shares 1 Common Stock ($0.001 par value) Underwriting AgreementProspect Capital Corp • May 20th, 2009 • New York
Prospect Capital Corporation, a corporation organized under the laws of Maryland (the “Company”), proposes to sell to the several underwriters named in Schedule II hereto (the “Underwriters”), for whom you (the “Representatives”) are acting as representatives, the number of shares of common stock, $0.001 par value (“Common Stock”), of the Company set forth in Schedule I hereto (said shares to be issued and sold by the Company being hereinafter called the “Underwritten Securities”). The Company also proposes to grant to the Underwriters an option to purchase up to the number of additional shares of Common Stock set forth in Schedule I hereto to cover over-allotments, if any (the “Option Securities”; the Option Securities, together with the Underwritten Securities, being hereinafter called the “Securities”). To the extent there are no additional Underwriters listed on Schedule II other than you, the term Representatives as used herein shall mean you, as Underwriters, and the terms Repres
SUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto.Indenture • March 21st, 2024 • Prospect Capital Corp • New York
THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank Trust Company National Association (successor in interest to 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).
PROSPECT CAPITAL CORPORATION AMENDMENT NO. 3 TO AMENDED AND RESTATED DEALER MANAGER AGREEMENTDealer Manager Agreement • February 13th, 2023 • Prospect Capital Corp
This amendment (this “Amendment No. 3”) to the Amended and Restated Dealer Manager Agreement (the “A&R Dealer Manager Agreement”) dated as of February 25, 2021 is by and between Prospect Capital Corporation, a corporation organized under the laws of Maryland (the “Company”), and Preferred Capital Securities, LLC, a Georgia limited liability company (the “Dealer Manager”), and shall be effective as of the date hereof (the “Effective Date”).
