At Market Issuance Sales AgreementStellus Capital Investment Corp • September 9th, 2019 • New York
SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of October [ ], 2017 among STELLUS CAPITAL INVESTMENT CORPORATION as Borrower The LENDERS Party Hereto ZB, N.A. dba AMEGY BANK as Administrative Agent CADENCE BANK, N.A. as Syndication Agent and FROST...Secured Revolving Credit Agreement • October 13th, 2017 • Stellus Capital Investment Corp • New York
SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of October [ ], 2017 (as amended, restated, supplemented, or otherwise modified from time to time, this “Agreement”), among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), the LENDERS from time to time party hereto, and ZB, N.A. dba Amegy Bank, as Administrative Agent.
THIRD AMENDMENT AND COMMITMENT INCREASE TO AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENTSenior Secured Revolving Credit Agreement • May 19th, 2022 • Stellus Capital Investment Corp • New York
AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of September 18, 2020 (as amended, restated, supplemented, or otherwise modified from time to time, this “Agreement”), among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), the LENDERS from time to time party hereto, and ZIONS BANCORPORATION, N.A. dba AMEGY BANK, as Administrative Agent.
Custodian AgreementCustodian Agreement • November 7th, 2012 • Stellus Capital Investment Corp • Massachusetts
This Agreement, dated as of October __, 2012, is between Stellus Capital Investment Corporation, a corporation organized and existing under the laws of the State of Maryland (the “Fund”), and State Street Bank and Trust Company, a Massachusetts trust company (the “Custodian”).
STELLUS CAPITAL INVESTMENT CORPORATION (a Maryland Corporation) 2,750,000 Shares of Common Stock Par Value $0.001 per Share UNDERWRITING AGREEMENT March 15, 2019Underwriting Agreement • March 18th, 2019 • Stellus Capital Investment Corp • New York
Each of Stellus Capital Investment Corporation, a Maryland corporation (the “Company”), and Stellus Capital Management, LLC, a Delaware limited liability company (the “Advisor”) registered as an investment advisor under the Investment Advisers Act of 1940, as amended, and the rules and regulations thereunder (the “Advisers Act”), confirms its agreement with the underwriters listed on Schedule A hereto (collectively, the “Underwriters”), for whom Raymond James & Associates, Inc. (“Raymond James”) and Keefe, Bruyette & Woods, Inc. (“KBW”) (together with Raymond James, the “Representatives”) are acting as representatives, with respect to the issue and sale by the Company, and the purchase by the Underwriters, acting severally and not jointly (the “Offering”), of the respective number of shares of the Company’s common stock, par value $0.001 per share (the “Common Shares”), set forth in Schedule A hereto, and with respect to the grant by the Company to the Underwriters, acting severally an
LICENSE AGREEMENTLicense Agreement • October 23rd, 2012 • Stellus Capital Investment Corp • New York
This LICENSE AGREEMENT (this “Agreement”) is made and effective as of _____ __, 2012 (the “Effective Date”) by and between Stellus Capital Management, LLC (the “Licensor”), a Delaware limited liability company, and Stellus Capital Investment Corporation, a Delaware corporation (the “Licensee”) (each a “party,” and collectively, the “parties”).
FIRST AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENTRevolving Credit Agreement • November 25th, 2014 • Stellus Capital Investment Corp • New York
SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of November 13, 2012 (this “Agreement”), among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), the LENDERS party hereto, and SUNTRUST BANK, as Administrative Agent.
a Maryland Corporation) $42,500,000 Aggregate Principal Amount of 5.750% Notes due 2022 Underwriting Agreement August 16, 2017Underwriting Agreement • August 21st, 2017 • Stellus Capital Investment Corp • New York
AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of September 18, 2020 among STELLUS CAPITAL INVESTMENT CORPORATION as Borrower ZIONS BANCORPORATION, N.A. dba AMEGY BANK as Administrative Agent and THE LENDERS PARTY HERETO FROST...Assignment and Assumption • September 21st, 2020 • Stellus Capital Investment Corp • New York
In the event that any financial statement or Compliance Certificate delivered hereunder is shown to be inaccurate (regardless of whether this Agreement or the Commitments are in effect when such inaccuracy is discovered), and such inaccuracy, if corrected, would have led to the application of a higher Applicable Margin based upon the pricing grid set forth in the table above (the “Accurate Applicable Margin”) for any period for which such financial statement or Compliance Certificate determined the Applicable Margin, then (a) the Borrower shall immediately deliver to the Administrative Agent a correct financial statement or Compliance Certificate, as the case may be, for such period, (b) the Applicable Margin shall be adjusted such that after giving effect to the corrected financial statements or Compliance Certificate, as the case may be, the Applicable Margin shall be reset to the Accurate Applicable Margin based upon the pricing grid set forth in the table above for such period, and
STELLUS CAPITAL INVESTMENT CORPORATION (a Maryland Corporation) UNDERWRITING AGREEMENTUnderwriting Agreement • January 12th, 2021 • Stellus Capital Investment Corp • New York
Each of Stellus Capital Investment Corporation, a Maryland corporation (the “Company”), and Stellus Capital Management, LLC, a Delaware limited liability company (the “Adviser”) registered as an investment adviser under the Investment Advisers Act of 1940, as amended (collectively with the rules and regulations of the Commission (as defined below) promulgated thereunder, the “Advisers Act”), confirms its agreement with the underwriters listed in Exhibit A hereto (collectively, the “Underwriters”), for whom Raymond James & Associates, Inc. (the “Representative”) is acting as representative, with respect to the issuance and sale by the Company of $100,000,000 aggregate principal amount of the Company’s 4.875% notes due 2026 (the “Securities”), and the purchase by the Underwriters, acting severally and not jointly, of the aggregate principal amount of Securities set forth opposite their respective names in Exhibit A hereto. In the event that only one Underwriter is listed in Exhibit A her
ADMINISTRATION AGREEMENTAdministration Agreement • October 23rd, 2012 • Stellus Capital Investment Corp • New York
This ADMINISTRATION AGREEMENT (this “Agreement”) made as of _____ __, 2012 by and between Stellus Capital Investment Corporation, a Maryland Company (the “Corporation”), and Stellus Capital Management, LLC, a Delaware limited liability company (the “Administrator”).
INVESTMENT ADVISORY AGREEMENT BETWEEN STELLUS CAPITAL INVESTMENT CORPORATION AND STELLUS CAPITAL MANAGEMENT, LLCInvestment Advisory Agreement • October 23rd, 2012 • Stellus Capital Investment Corp • New York
AGREEMENT, dated as of [_____________], 2012, between Stellus Capital Investment Corporation, a Maryland corporation (the “Corporation”), and Stellus Capital Management, LLC (the “Adviser”), a Delaware limited liability company.
GUARANTEE AND SECURITY AGREEMENTGuarantee and Security Agreement • October 13th, 2017 • Stellus Capital Investment Corp • New York
GUARANTEE AND SECURITY AGREEMENT dated as of October [ ], 2017 (this “Agreement”), among STELLUS CAPITAL INVESTMENT CORPORATION, a corporation duly organized and validly existing under the laws of the State of Maryland (the “Borrower”); SCIC – ERC Blocker 1, Inc., a Delaware corporation (“ERC”), SCIC – SKP Blocker 1, Inc., a Delaware corporation (“SKP”), SCIC – APE Blocker 1, Inc., a Delaware corporation (“APE”), SCIC – HUF Blocker 1, Inc., a Delaware corporation (“HUF”), SCIC – Hollander Blocker 1, Inc., a Delaware corporation (“Hollander”), SCIC – CC Blocker 1, Inc., a Delaware corporation (“CC”), SCIC – Consolidated Blocker, Inc., a Delaware corporation (“Consolidated”), and SCIC – ASC Blocker 1, Inc., a Delaware corporation (“ASC”), and each entity that becomes a “SUBSIDIARY GUARANTOR” after the date hereof pursuant to Section 7.04 hereof (collectively, together with ERC, SKP, APE, HUF, Hollander, CC, Consolidated, and ASC, the “Subsidiary Guarantors” and, together with the Borrowe
THIRD SUPPLEMENTAL INDENTURE between STELLUS CAPITAL INVESTMENT CORPORATION and as Trustee Dated as of January 14, 2021Third Supplemental Indenture • January 14th, 2021 • Stellus Capital Investment Corp • New York
THIS THIRD SUPPLEMENTAL INDENTURE (this “Third Supplemental Indenture”), dated as of January 14, 2021, is between Stellus Capital Investment 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).
CUSTODY AGREEMENTCustody Agreement • May 9th, 2023 • Stellus Capital Investment Corp • Texas
THIS CUSTODY AGREEMENT (this “Agreement”) is dated as of October 18, 2022 and is by and between Stellus Capital SBIC LP_ (and any successor or permitted assign, the “Company”), a Delaware LP having its registered office at 4400 Posts Oak Parkway, Suite 2200, Houston TX, 77027, and FROST BANK (or any successor or permitted assign acting as custodian hereunder, the “Custodian”), a Texas state bank.
STELLUS CAPITAL INVESTMENT CORPORATION (a Maryland Corporation) Common Stock, Par Value $0.001 Per Share EQUITY DISTRIBUTION AGREEMENT Dated as of August 11, 2023Equity Distribution Agreement • August 14th, 2023 • Stellus Capital Investment Corp • New York
Each of Stellus Capital Investment Corporation, a Maryland corporation (the “Company”), and Stellus Capital Management, LLC, a Delaware limited liability company (the “Adviser”) registered as an investment adviser under the Investment Advisers Act of 1940, as amended (collectively with the rules and regulations of the Commission (as defined below) promulgated thereunder, the “Advisers Act”), confirms its agreement with the several sales agents named in Schedule A hereto (each, a “Sales Agent” and together, the “Sales Agents”) with respect to the sale by the Company of shares of common stock, par value $0.001 per share, of the Company (“Common Stock”), having an aggregate offering price of up to $100,000,000. The shares of Common Stock to be sold by the Sales Agents are herein called the “Securities.” The aggregate amount of Securities that may be sold collectively pursuant to this Equity Distribution Agreement (this “Agreement”) shall not exceed the lesser of $100,000,000 and the dolla
SECURITY AGREEMENTSecurity Agreement • November 7th, 2012 • Stellus Capital Investment Corp • New York
SECURITY AGREEMENT dated as of November 7, 2012 (this “Agreement”), between STELLUS CAPITAL INVESTMENT CORPORATION, a corporation duly organized and validly existing under the laws of the State of Maryland (the “Borrower”), and SUNTRUST BANK, as lender (the “Lender”).
CUSTODY AGREEMENTCustody Agreement • November 7th, 2017 • Stellus Capital Investment Corp • Texas
Stellus Capital Investment Corporation (the “Company”) and any its wholly owned subsidiaries identified by the Company to the Custodian (the “Subsidiaries”) are depositing with ZB, National Association, dba Amegy Bank, as Custodian, hereinafter referred to as the "Custodian", certain Securities (as defined below) and cash owned by the Company and the Subsidiaries (as applicable). The Company and its Subsidiaries are hereinafter together referred to as the “Customer". The Customer directs that the Custodian hold the Securities and cash in custody and perform services in connection therewith, in accordance with the following:
COMMITMENT INCREASE LETTER AGREEMENTCommitment Increase Letter Agreement • July 30th, 2013 • Stellus Capital Investment Corp • New York
THIS COMMITMENT INCREASE LETTER AGREEMENT, dated as of July 30, 2013 (this “Letter Agreement”), is among Stellus Capital Investment Corporation, as borrower (the “Borrower”), Cadence Bank, N.A., as a lender (“Cadence”), State Street Bank and Trust Company, as a lender (“State Street”), Amegy Bank, N.A., as a lender (“Amegy” and, together with Cadence, State Street and Amegy, collectively, the “Increasing Lenders”) and SunTrust Bank, as a Lender (“SunTrust”) and as administrative agent (the “Administrative Agent”).
ContractStellus Capital Investment Corp • June 5th, 2014 • New York
This letter agreement shall be governed by, and construed in accordance with, the internal laws of the State of New York without regard to the principles of conflicts of laws.
FIRST AMENDMENT AND COMMITMENT INCREASE TO AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENTCredit Agreement • December 22nd, 2021 • Stellus Capital Investment Corp • New York
THIS FIRST AMENDMENT AND COMMITMENT INCREASE TO AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of December 22, 2021 (this “Amendment”), is among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), the LENDERS party hereto, and ZIONS BANCORPORATION, N.A. dba AMEGY BANK, as Administrative Agent. Capitalized terms used herein and not otherwise defined shall have the meanings given to such terms in Article I of this Amendment.
FIRST AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT AND COMMITMENT INCREASECredit Agreement • August 8th, 2018 • Stellus Capital Investment Corp • New York
In the event that any financial statement or Compliance Certificate delivered hereunder is shown to be inaccurate (regardless of whether this Agreement or the Commitments are in effect when such inaccuracy is discovered), and such inaccuracy, if corrected, would have led to the application of a higher Applicable Margin based upon the pricing grid set forth in the table above (the “Accurate Applicable Margin”) for any period for which such financial statement or Compliance Certificate determined the Applicable Margin, then (a) the Borrower shall immediately deliver to the Administrative Agent a correct financial statement or Compliance Certificate, as the case may be, for such period, (b) the Applicable Margin shall be adjusted such that after giving effect to the corrected financial statements or Compliance Certificate, as the case may be, the Applicable Margin shall be reset to the Accurate Applicable Margin based upon the pricing grid set forth in the table above for such period, and
SENIOR SECURED TERM CREDIT AGREEMENT dated as of November 7, 2012 among STELLUS CAPITAL INVESTMENT CORPORATION as Borrower and SUNTRUST BANK as Lender SUNTRUST ROBINSON HUMPHREY, INC. as Lead ArrangerCredit Agreement • November 7th, 2012 • Stellus Capital Investment Corp • New York
SENIOR TERM SECURED CREDIT AGREEMENT dated as of November [1], 2012 (this “Agreement”), among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), and SUNTRUST BANK, as lender (the “Lender”).
THIRD AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENTSenior Secured Revolving Credit Agreement • August 4th, 2016 • Stellus Capital Investment Corp • New York
THIS THIRD AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT, dated as of July 29, 2016 (this “Amendment”), to the Existing Credit Agreement (capitalized terms used herein and not otherwise defined shall have the meanings given to such terms in Article I) is among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), the LENDERS party hereto and SUNTRUST BANK, as Administrative Agent.
INDEMNIFICATION AGREEMENTIndemnification Agreement • October 23rd, 2012 • Stellus Capital Investment Corp • Maryland
This Indemnification Agreement (the “Agreement”) is made as of the date set forth below, by and between Stellus Capital Investment Corporation, a Maryland corporation (the “Company”), and the person (“Indemnitee”) listed on the signature page hereof.
PURCHASE AGREEMENT BY AND BETWEEN STELLUS CAPITAL INVESTMENT CORPORATION, D. E. SHAW DIRECT CAPITAL PORTFOLIOS, L.L.C. AND DC FUNDING SPV, L.L.C. DATED OCTOBER 22, 2012Purchase Agreement • November 7th, 2012 • Stellus Capital Investment Corp • New York
THIS PURCHASE AGREEMENT (this “Agreement”), dated as of October 22, 2012, is made by and between Stellus Capital Investment Corporation, a Maryland corporation (“Buyer”), D.E. Shaw Direct Capital Portfolios, L.L.C., a Delaware limited liability company, and DC Funding SPV, L.L.C., a Delaware limited liability company (each, a “Seller,” and collectively, the “Sellers”). Buyer and Sellers may be referred to individually herein as a “Party” and collectively as the “Parties”).
Raymond James & Associates, Inc.Stellus Capital Investment Corp • June 5th, 2014 • New York
Re: At Market Issuance Sales Agreement dated June 4, 2014 (the “Sales Agreement”), by and among Raymond James & Associates, Inc. (“Agent”), Stellus Capital Investment Corporation (the “Company”) and Stellus Capital Management, LLC (the “Adviser”).
STELLUS CAPITAL INVESTMENT CORPORATION 10000 Memorial Drive, Suite 500 Houston, TX 77024 November 2, 2012Letter Agreement • November 7th, 2012 • Stellus Capital Investment Corp
FOURTH AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENTSecured Revolving Credit Agreement • September 2nd, 2016 • Stellus Capital Investment Corp • New York
THIS FOURTH AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT, dated as of August 31, 2016 (this “Amendment”), to the Existing Credit Agreement (capitalized terms used herein and not otherwise defined shall have the meanings given to such terms in Article I) is among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), the LENDERS party hereto and SUNTRUST BANK, as Administrative Agent.
THIRD AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT AND COMMITMENT INCREASESenior Secured Revolving Credit Agreement • May 18th, 2020 • Stellus Capital Investment Corp • New York
THIS THIRD AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT AND COMMITMENT INCREASE dated as of May 15, 2020 (this “Amendment”), to the Existing Credit Agreement (capitalized terms used herein and not otherwise defined shall have the meanings given to such terms in Article I) is among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), the LENDERS party hereto, and ZIONS BANCORPORATION, N.A. dba AMEGY BANK, as Administrative Agent.
FOURTH AMENDMENT TO AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENTCredit Agreement • November 22nd, 2023 • Stellus Capital Investment Corp • New York
THIS FOURTH AMENDMENT TO AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of November 21, 2023 (this “Amendment”), is among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), the LENDERS party hereto, and ZIONS BANCORPORATION, N.A. dba AMEGY BANK, as Administrative Agent. Capitalized terms used herein and not otherwise defined shall have the meanings given to such terms in Article I of this Amendment.
CONSENT AND WAIVERConsent and Waiver • May 8th, 2018 • Stellus Capital Investment Corp • New York
THIS CONSENT AND WAIVER, dated effective as of March 28, 2018 (this “Consent”), is among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), ZB, N.A. dba Amegy Bank, as Administrative Agent (in such capacity, the “Administrative Agent”), and the Lenders party hereto. Capitalized terms used herein and not otherwise defined shall have the meanings given to such terms in Article I.
SECOND AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENTSenior Secured Revolving Credit Agreement • August 4th, 2016 • Stellus Capital Investment Corp • New York
THIS SECOND AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT, dated as of May 31, 2016 (this “Amendment”), to the Existing Credit Agreement (capitalized terms used herein and not otherwise defined shall have the meanings given to such terms in Article I) is among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), the LENDERS party hereto and SUNTRUST BANK, as Administrative Agent.
SECOND AMENDMENT TO AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENTCredit Agreement • June 17th, 2022 • Stellus Capital Investment Corp • New York
THIS SECOND AMENDMENT TO AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of February 28, 2022 (this “Amendment”), is among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), the LENDERS party hereto, and ZIONS BANCORPORATION, N.A. dba AMEGY BANK, as Administrative Agent. Capitalized terms used herein and not otherwise defined shall have the meanings given to such terms in Article I of this Amendment.
Stellus Capital Management, LLC 10000 Memorial Drive, Suite 500 Houston, Texas 77024 November 1, 2012Investment Advisory Agreement • November 7th, 2012 • Stellus Capital Investment Corp
Reference is hereby made to the Investment Advisory Agreement (the “Agreement”), dated October 26, 2012, by and between Stellus Capital Investment Corporation (the “Company”) and us. Capitalized terms used but not defined herein shall have the meaning ascribed to them in the Agreement.
