EXHIBIT (k)(4) EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT entered into as of this ________ day of July, 2005, by and between Patriot Capital Funding, Inc. (the "Company"), a Delaware corporation, and Richard P. Buckanavage, an individual (the...Employment Agreement • July 13th, 2005 • Patriot Capital Funding, Inc. • Connecticut
AGREEMENTCustodial Agreement • July 13th, 2005 • Patriot Capital Funding, Inc. • New York
SECOND AMENDED AND RESTATED LOAN FUNDING AND SERVICING AGREEMENT by and among PATRIOT CAPITAL FUNDING LLC I, as the Borrower PATRIOT CAPITAL FUNDING, INC., as the Servicer EACH OF THE CONDUIT LENDERS AND INSTITUTIONAL LENDERS FROM TIME TO TIME PARTY...Loan Funding and Servicing Agreement • April 16th, 2008 • Patriot Capital Funding, Inc. • New York
THIS SECOND AMENDED AND RESTATED LOAN FUNDING AND SERVICING AGREEMENT (such agreement as amended, modified, waived, supplemented or restated from time to time, the “Agreement”) is made as of this 11th day of April, 2008, by and among:
EMPLOYMENT AGREEMENTEmployment Agreement • January 9th, 2009 • Patriot Capital Funding, Inc. • Connecticut
THIS EMPLOYMENT AGREEMENT entered into as of the 5th day of January, 2009, by and between Patriot Capital Funding, Inc. (the “Company”), a Delaware corporation, and Richard P. Buckanavage, an individual (the “Executive”) (hereinafter collectively referred to as the “Parties”).
EMPLOYMENT AGREEMENTEmployment Agreement • December 21st, 2005 • Patriot Capital Funding, Inc. • Connecticut
2005, by and between Patriot Capital Funding, Inc. (the “Company”), a Delaware corporation, and Matthew R. Colucci, an individual (the “Executive”) (hereinafter collectively referred to as the “Parties”).
Shares Patriot Capital Funding, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • December 14th, 2006 • Patriot Capital Funding, Inc. • New York
Introductory. Patriot Capital Funding, Inc., (the “Company”) a Delaware corporation, proposes to issue and sell to the several underwriters named in Schedule A (the “Underwriters”) an aggregate of [___] shares (the “Company Offered Shares”) of its common stock, par value $0.01 per share (the “Shares”); and the stockholders of the Company named in Schedule B (each a “Selling Stockholder” and collectively the “Selling Stockholders”) propose to sell to the Underwriters an aggregate of [___] Shares. The [___] Shares to be sold by the Company and the [___] Shares to be sold by the Selling Stockholders are collectively called the “Firm Shares.” In addition, the Company and the Selling Stockholders have granted to the Underwriters an option to purchase up to an additional [___] Shares (the “Optional Shares”), as provided in Section 2. The Firm Shares and, if and to the extent such option is exercised, the Optional Shares are collectively called the “Offered Shares.” [___] has agreed to act as
2,000,000 Shares Patriot Capital Funding, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • September 28th, 2007 • Patriot Capital Funding, Inc. • New York
The Company has prepared and filed with the Securities and Exchange Commission (the “Commission”) a registration statement on Form N-2 (File No. 333-137856), which contains a form of prospectus to be used in connection with the public offering and sale of the Offered Shares. The registration statement, as amended, including the financial statements, exhibits and schedules thereto, in the form in which it was declared effective by the Commission under the Securities Act of 1933, as amended, and the rules and regulations promulgated thereunder (collectively, the “Securities Act”), including any information contained in a prospectus subsequently filed with the Commission pursuant to Rule 497 under the Securities Act and deemed to be a part of the registration statement at the time of effectiveness pursuant to Rule 430C under the Securities Act, is called the “Registration Statement.” Any registration statement filed by the Company pursuant to Rule 462(b) under the Securities Act is called
FORM OF TERMINATION OF CONSULTING AGREEMENTTermination of Consulting Agreement • July 27th, 2005 • Patriot Capital Funding, Inc.
This TERMINATION AGREEMENT (“Agreement”) is made and entered into as of the ___day of ___, 2005, by and among PATRIOT CAPITAL FUNDING, INC. (“Patriot”), a Delaware corporation, and PHILAN LLC (“Philan”), a Connecticut limited liability company.
Patriot Capital Funding, Inc. Employee Restricted Stock Plan Restricted Stock Agreement for Executive Officers Date of Grant:Patriot Capital Funding, Inc. • March 16th, 2009
CONSENT AND FIRST AMENDMENTConsent And • July 13th, 2005 • Patriot Capital Funding, Inc. • New York
THIS CONSENT AND FIRST AMENDMENT, dated as of November 7, 2003 (this “Agreement”) is between WILTON FUNDING, LLC, a Delaware limited liability company (“Borrower”), and iSTAR FINANCIAL INC., a Maryland corporation (“Lender”).
SECOND AMENDMENT TO CREDIT AGREEMENTCredit Agreement • July 13th, 2005 • Patriot Capital Funding, Inc. • New York
THIS SECOND AMENDMENT TO CREDIT AGREEMENT, dated as of June 10, 2004 (this “Amendment”) is between WILTON FUNDING, LLC, a Delaware limited liability company (“Borrower”), and iSTAR FINANCIAL INC., a Maryland corporation (“Lender”).
FORM OF AGREEMENT OF MERGERForm of Agreement of Merger • July 27th, 2005 • Patriot Capital Funding, Inc. • Delaware
THIS AGREEMENT OF MERGER (the “Agreement”), is made and entered into as of __________________, 2005 by and between Patriot Capital Funding, Inc., a Delaware corporation (the “Corporation”), and Wilton Funding, LLC, a Delaware limited liability company (the “Company”).
FIRST AMENDMENT TO EMPLOYMENT AGREEMENTEmployment Agreement • July 28th, 2009 • Patriot Capital Funding, Inc. • Connecticut
THIS FIRST AMENDMENT (the “First Amendment”) is to that certain Employment Agreement dated and effective as of August 7, 2007 (the “Agreement”), by and between William E. Alvarez, Jr. (“Executive”) and Patriot Capital Funding, Inc. (“Company”). By way of this First Amendment, effective this 23 day of July 2009, the following modifications shall be made to the Agreement, which modifications shall take precedence over any conflicting terms contained in the Agreement.
SEVERANCE AGREEMENTSeverance Agreement • August 5th, 2009 • Patriot Capital Funding, Inc. • Connecticut
THIS SEVERANCE AGREEMENT entered into as of the 31st day of July, 2009, by and between Patriot Capital Funding, Inc. (the “Company”), a Delaware corporation, and Clifford L. Wells, an individual (the “Executive”) (hereinafter collectively referred to as the “Parties”).
CONSULTING AGREEMENTConsulting Agreement • July 13th, 2005 • Patriot Capital Funding, Inc. • Delaware
THIS CONSULTING AGREEMENT (this “Agreement”) is made as of this 31st day of January 2003 by and between Wilton Funding. LLC, a Delaware limited liability company with offices at (the “Company”) and Kilgore Consulting CPM LLC, a Connecticut limited liability company with offices at 61 Wilton Road, Westport, Connecticut 06880 (“Kilgore” or “Consultant”).
PURCHASE AND SALE AGREEMENT by and between PATRIOT CAPITAL FUNDING LLC I, as the Buyer and PATRIOT CAPITAL FUNDING, INC., as the Seller Dated as of July 27, 2005Purchase and Sale Agreement • August 1st, 2005 • Patriot Capital Funding, Inc. • New York
THIS PURCHASE AND SALE AGREEMENT (such agreement as amended, modified, waived, supplemented or restated from time to time, the “Agreement”), is dated as of July 27, 2005, by and between PATRIOT CAPITAL FUNDING, INC., a Delaware corporation, as the seller (together with its successors and assigns in such capacity, the “Seller”), and PATRIOT CAPITAL FUNDING LLC I, a Delaware limited liability company, as the buyer (together with its successors and assigns in such capacity the “Buyer”).
EXHIBIT (i)(2) PATRIOT CAPITAL FUNDING, INC. STOCK OPTION PLAN STOCK OPTION AGREEMENT DATE OF GRANT: [GRANT DATE] 1. GRANT OF OPTION. Subject to the terms and conditions herein and the provisions of Patriot Capital Funding, Inc. Stock Option Plan (the...Patriot Capital Funding, Inc. • July 13th, 2005
CREDIT AGREEMENTCredit Agreement • July 13th, 2005 • Patriot Capital Funding, Inc. • New York
NOW, THEREFORE, in consideration of the above Recitals and the mutual covenants and agreements herein contained, the parties hereto hereby agree as follows:
INTERCREDITOR AND CONCENTRATION ACCOUNT ADMINISTRATION AGREEMENTIntercreditor and Concentration Account Administration Agreement • August 1st, 2005 • Patriot Capital Funding, Inc. • New York
THIS INTERCREDITOR AND CONCENTRATION ACCOUNT ADMINISTRATION AGREEMENT, dated as of July 27, 2005 (such agreement, as amended, modified, waived, supplemented or restated from time to time, this “Agreement”), is by and among:
Consent, Waiver And AgreementConsent, Waiver and Agreement • July 27th, 2005 • Patriot Capital Funding, Inc.
WHEREAS, Holdings desires to merge (the “Merger”) Wilton with and into Patriot, with Patriot as the surviving entity (the “Surviving Entity”) and, immediately thereafter, cause the Surviving Entity to (i) effect a stock split (the “Stock Split”) and (ii) offer shares of common stock in a qualified initial public offering pursuant to a registration statement filed with the Securities and Exchange Commission (the “QIPO” and, together with the Merger and the Stock Split, the “Transaction”):
CONSULTING AGREEMENTConsulting Agreement • July 13th, 2005 • Patriot Capital Funding, Inc. • Delaware
THIS CONSULTING AGREEMENT (this “Agreement”) is made as of this 31st day of January 2003 by and between Patriot Capital Funding, Inc., a Delaware limited liability company with offices at 61 Wilton Road, Westport, Connecticut 06880 (the “Company”) and Philan LLC, a Connecticut limited liability company with offices at 61 Wilton Road, Westport, Connecticut 06880 (“Philan” or “Consultant”).
EMPLOYMENT AGREEMENTEmployment Agreement • August 7th, 2007 • Patriot Capital Funding, Inc. • Connecticut
THIS EMPLOYMENT AGREEMENT entered into as of this 7th day of August 2007, by and between Patriot Capital Funding, Inc. (the “Company”), a Delaware corporation, and William E. Alvarez, Jr., an individual (the “Executive”) (hereinafter collectively referred to as the “Parties”).
AGREEMENT, LIMITED CONSENT AND AMENDMENT NO. 1 TO SECOND AMENDED AND RESTATED LOAN FUNDING AND SERVICING AGREEMENTLoan Funding and Servicing Agreement • November 13th, 2009 • Patriot Capital Funding, Inc.
This AGREEMENT, LIMITED CONSENT AND AMENDMENT NO. 1 TO SECOND AMENDED AND RESTATED LOAN FUNDING AND SERVICING AGREEMENT (this “Amendment”), dated as of July 9, 2009, is entered into by and between PATRIOT CAPITAL FUNDING LLC I (“PCAP LLC”), as the borrower (the “Borrower”), PATRIOT CAPITAL FUNDING, INC., in its individual capacity (in such capacity, “PCAP”) and as the servicer (in such capacity, the “Servicer”), BMO CAPITAL MARKETS CORP., as the agent (in such capacity, the “Agent”), FAIRWAY FINANCE COMPANY, LLC, as a conduit lender (in such capacity, the “Conduit Lender”), BRANCH BANKING AND TRUST COMPANY, as an institutional lender (in such capacity, the “Institutional Lender”), and WELLS FARGO BANK, NATIONAL ASSOCIATION, as the trustee (in such capacity, the “Trustee”). Capitalized terms used but not defined herein shall have the meanings provided in the Agreement (as defined below).
BROKERAGE AND SERVICING AGREEMENTBrokerage and Servicing Agreement • July 13th, 2005 • Patriot Capital Funding, Inc. • New York
THIS BROKERAGE AND SERVICING AGREEMENT (the “Agreement”) is made and entered into as of February 11, 2003, by and between PATRIOT CAPITAL FUNDING, INC., a Delaware corporation (“Broker”), and WILTON FUNDING, LLC, a Delaware limited liability company (“Wilton Funding”).
SECURITIES ACCOUNT CONTROL AGREEMENT among PATRIOT CAPITAL FUNDING LLC I as Debtor PATRIOT CAPITAL FUNDING, INC., as Servicer HARRIS NESBITT CORP., as Agent and WELLS FARGO BANK, NATIONAL ASSOCIATION, as Trustee and as Securities Intermediary Dated as...Securities Account Control Agreement • August 1st, 2005 • Patriot Capital Funding, Inc. • New York
This Securities Account Control Agreement (this “Agreement”) dated as of July 27, 2005 among PATRIOT CAPITAL FUNDING LLC I, a Delaware limited liability company, as Borrower under the Loan Funding and Servicing Agreement (as hereinafter defined) (the “Debtor”), PATRIOT CAPITAL FUNDING, INC., a Delaware corporation, as Servicer under the Loan Funding and Servicing Agreement, acting on behalf of the Debtor (in such capacity, the “Servicer”), HARRIS NESBITT CORP., a Delaware corporation, as Agent under the Loan Funding and Servicing Agreement (the “Agent”), and WELLS FARGO BANK, NATIONAL ASSOCIATION, a national banking association, as Trustee under the Loan Funding and Servicing Agreement (in such capacity, the “Trustee”) and as a “securities intermediary” (as defined in Section 8-102 of the UCC) and a “bank” (as defined in Section 9-102 of the UCC) hereunder (in such capacities, the “Securities Intermediary”). Capitalized terms used but not defined herein shall have the meanings provided
AGREEMENT AND PLAN OF MERGER by and between PATRIOT CAPITAL FUNDING, INC. and PROSPECT CAPITAL CORPORATION DATED AS OF AUGUST 3, 2009Agreement and Plan of Merger • August 6th, 2009 • Patriot Capital Funding, Inc. • Delaware
AGREEMENT AND PLAN OF MERGER, dated as of August 3, 2009 (this “Agreement”), by and between Patriot Capital Funding, Inc., a Delaware corporation (“Company”) and Prospect Capital Corporation, a Maryland corporation (“Buyer”).
SECOND AMENDMENT TO AMENDED AND RESTATED LOAN FUNDING AND SERVICING AGREEMENTFunding and Servicing Agreement • September 6th, 2007 • Patriot Capital Funding, Inc. • New York
THIS SECOND AMENDMENT TO THE AMENDED AND RESTATED LOAN FUNDING AND SERVICING AGREEMENT, dated as of August 31, 2007 (this “Amendment”), is entered into by and among PATRIOT CAPITAL FUNDING LLC I, a Delaware limited liability company, as the borrower (together with its successors and assigns in such capacity, the “Borrower”), PATRIOT CAPITAL FUNDING, INC., a Delaware corporation, as the servicer (together with its successors and assigns in such capacity, the “Servicer”), FAIRWAY FINANCE COMPANY, LLC, a Delaware limited liability company, as the conduit lender (together with its successors and assigns in such capacity, the “Conduit Lender”), BMO CAPITAL MARKETS CORP., (f/k/a Harris Nesbitt Corp.) a Delaware corporation (“BMO”), as the Agent (together with its successors and assigns in such capacity, the “Agent”), and WELLS FARGO BANK, NATIONAL ASSOCIATION, a national banking association, not in its individual capacity, but solely as the backup servicer (together with its successors and a
FIRST AMENDMENT TO AMENDED AND RESTATED LOAN FUNDING AND SERVICING AGREEMENT (Fairway Finance Company Transaction with Patriot Capital Funding LLC I)Loan Funding and Servicing Agreement • May 4th, 2007 • Patriot Capital Funding, Inc. • New York
THIS FIRST AMENDMENT TO THE AMENDED AND RESTATED LOAN FUNDING AND SERVICING AGREEMENT, dated as of May 2, 2007 (this “Amendment”), is entered into by and among PATRIOT CAPITAL FUNDING LLC I, a Delaware limited liability company, as the borrower (together with its successors and assigns in such capacity, the “Borrower”), PATRIOT CAPITAL FUNDING, INC., a Delaware corporation, as the servicer (together with its successors and assigns in such capacity, the “Servicer”), FAIRWAY FINANCE COMPANY, LLC, a Delaware limited liability company, as the conduit lender (together with its successors and assigns in such capacity, the “Conduit Lender”), BMO CAPITAL MARKETS CORP., (f/k/a Harris Nesbitt Corp.) a Delaware corporation (“BMO”), as the Agent (together with its successors and assigns in such capacity, the “Agent”), and WELLS FARGO BANK, NATIONAL ASSOCIATION, a national banking association, not in its individual capacity, but solely as the backup servicer (together with its successors and assign
REVOLVING CREDIT AGREEMENT between PATRIOT CAPITAL FUNDING, INC. as the Borrower and PATRIOT PARTNERS, LP, as the Lender Dated as of February 11, 2003Revolving Credit Agreement • July 13th, 2005 • Patriot Capital Funding, Inc. • New York
REVOLVING CREDIT AGREEMENT, dated as of February 11, 2003 between PATRIOT PARTNERS, LP, a Bahamian limited partnership (together with its successors and permitted assigns, the “Lender”), and PATRIOT CAPITAL FUNDING, INC., a Delaware corporation (together with its successors and assigns, the “Borrower”) (as amended, supplemented or otherwise modified from time to time, this “Agreement”).
FORM OF TERMINATION OF CONSULTING AGREEMENTTermination of Consulting Agreement • July 27th, 2005 • Patriot Capital Funding, Inc.
This TERMINATION AGREEMENT (“Agreement”) is made and entered into as of the ___day of ___, 2005, by and among PATRIOT CAPITAL FUNDING, INC. (“Patriot”), a Delaware corporation, and KILGORE CONSULTING CPM LLC (“Kilgore”), a Connecticut limited liability company.
