CUSTODY AGREEMENT Dated December 19, 2014 Between UMB BANK, N.A. and FREEDOM CAPITAL INVESTMENT ADVISORS LLC CUSTODY AGREEMENTCustody Agreement • March 3rd, 2015 • Freedom Capital Corp/Md
This agreement made as of the date first set forth above between UMB Bank, n.a., a national banking association with its principal place of business located in Kansas City, Missouri (hereinafter “Custodian”), and Freedom Capital Investment Advisors LLC (which, together with any other investment advisors or sub-advisers, shall be defined herein as the “Manager”), a Delaware limited liability company on behalf of itself and each of the Funds listed on Appendix B hereof, together with such additional Funds which shall be made parties to this Agreement by the execution of Appendix B hereto (individually, a “Fund” and collectively, the “Funds”).
TRANSFER AGENCY AGREEMENTTransfer Agency Agreement • May 4th, 2015 • Freedom Capital Corp/Md • Wisconsin
THIS TRANSFER AGENCY AGREEMENT (the “Agreement”) is made as of this 31st day of March, 2015, by and between Freedom Capital Corporation, a Maryland corporation (the “Fund”), and UMB Fund Services, Inc., a Wisconsin corporation, its successors and assigns (the “Transfer Agent”).
CUSTODY AGREEMENT dated as of February 10, 2017 by and between FIRST CAPITAL INVESTMENT CORPORATION and MILLENNIUM TRUST COMPANY, LLCCustody Agreement • February 10th, 2017 • First Capital Investment Corp • Illinois
THIS CUSTODY AGREEMENT (this “Agreement”) is dated as of February 10, 2017 by and between FIRST CAPITAL INVESTMENT CORPORATION, a corporation organized under the laws of Maryland, having its principal place of business at 1560 Wilson Boulevard, Suite 450, Arlington, Virginia 22209 (the “Fund”), and MILLENNIUM TRUST COMPANY, LLC, a limited liability company organized under the laws of the State of Illinois, having its principal place of business at 2001 Spring Road, Oak Brook, IL 60523 (the “Custodian”).
FORM OF INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENT BETWEEN FIRST CAPITAL INVESTMENT CORPORATION AND FCIC ADVISORS LLCAdministrative Services Agreement • April 6th, 2017 • First Capital Investment Corp • New York
This Investment Advisory and Administrative Services Agreement (the “Agreement”) is made this __th day of ________, 2017, by and between FIRST CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Corporation”), and FCIC ADVISORS LLC, a Delaware limited liability company (the “Adviser”).
FREEDOM CAPITAL CORPORATION Up to 50,000,000 Shares of Common Stock, $0.001 par value per share DEALER MANAGER AGREEMENT March 5, 2015Selected Dealer Agreement • May 4th, 2015 • Freedom Capital Corp/Md • Delaware
Freedom Capital Corporation, a Maryland corporation (the “Corporation”), has registered for public sale (the “Offering”) a maximum of 50,000,000 shares of its common stock, $0.001 par value per share (the “Common Stock”), to be issued and sold to the public on a “best efforts” basis (the “Offered Shares”) through you as the managing dealer (the “Dealer Manager”) and the broker-dealers participating in the offering (the “Selected Dealers”) at an initial offering price of $10.00 per share (subject in certain circumstances to discounts based upon the volume of shares purchased). Terms not otherwise defined herein shall have the same meaning as in the Prospectus, as that term is defined in Section 1.1 below.
EXPENSE SUPPORT AND CONDITIONAL REIMBURSEMENT AGREEMENTExpense Support and Conditional Reimbursement Agreement • May 4th, 2015 • Freedom Capital Corp/Md • Delaware
This Expense Support and Conditional Reimbursement Agreement (the “Agreement”) is made this 5th day of March, 2015, by and between FREEDOM CAPITAL CORPORATION, a Maryland corporation (the “Company”), and FREEDOM CAPITAL INVESTMENT ADVISORS LLC, a Delaware limited liability company (“Freedom Capital Investment Advisors”).
INTERIM INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENT BETWEEN FIRST CAPITAL INVESTMENT CORPORATION AND FCIC ADVISORS LLCFirst Capital Investment Corp • April 6th, 2017 • New York
This Interim Investment Advisory and Administrative Services Agreement (the “Agreement”) is made this 31st day of March, 2017, by and between FIRST CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Corporation”), and FCIC ADVISORS LLC, a Delaware limited liability company (the “Adviser”).
ESCROW AGREEMENTEscrow Agreement • May 4th, 2015 • Freedom Capital Corp/Md • Missouri
This ESCROW AGREEMENT (the “Agreement”) is made and entered into this 14th day of April, 2015, by and among Freedom Capital Corporation, a Maryland corporation (the “Fund”), UMB Fund Services, Inc., as recordkeeper (“UMBFS”), UMB Bank, N.A., a national banking association organized and existing under the laws of the United States of America, as escrow agent (the “Escrow Agent”), and Democracy Funding, LLC, a Delaware limited liability company (the “Dealer Manager”), for itself and for and on behalf of its selected dealers (the “Selected Dealers”).
INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENT BETWEEN FREEDOM CAPITAL CORPORATION AND FREEDOM CAPITAL INVESTMENT ADVISORS LLCInvestment Advisory And • November 10th, 2014 • Freedom Capital Corp/Md • New York
This Investment Advisory and Administrative Services Agreement (the “Agreement”) is made this [___] day of [___],[___], by and between FREEDOM CAPITAL CORPORATION, a Maryland corporation (the “Corporation”), and FREEDOM CAPITAL INVESTMENT ADVISORS LLC, a Delaware limited liability company (the “Adviser”).
FIRST CAPITAL INVESTMENT CORPORATION Up to 50,000,000 Shares of Common Stock, $0.001 par value per share FORM OF SELECTED DEALER AGREEMENT Dated: [ ]Selected Dealer Agreement • February 10th, 2017 • First Capital Investment Corp • New York
Subject to the terms described hereinbelow, Democracy Funding LLC, as the dealer manager (“Dealer Manager”) for First Capital Investment Corporation, a Maryland corporation (the “Corporation”), invites you, (“Selected Dealer”) to participate in the distribution, on a “best efforts” basis, of up to 50,000,000 shares of common stock of the Corporation, $0.001 par value per share, to be issued and sold to the public on a “best efforts” basis (the “Offered Shares”) at an initial offering price of $10.00 per share (subject in certain circumstances to discounts based upon the volume of shares purchased) as set forth in the registration statement on Form N-2 filed by the Corporation (File No. 333-202461), which includes the Corporation’s prospectus, as amended or supplemented (the “Prospectus”).
SECOND AMENDMENT TO THE INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENTAdministrative Services Agreement • February 10th, 2017 • First Capital Investment Corp
This SECOND AMENDMENT TO THE INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENT (this “Amendment”), effective as of February 10, 2017, is entered into by and between FIRST CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Corporation”), and FCIC ADVISORS LLC, a Delaware limited liability company (the “Adviser”). Capitalized terms used herein without definition shall have the meanings ascribed to such terms in the Advisory Agreement (defined below).
AMENDED AND RESTATED EXPENSE SUPPORT AND CONDITIONAL REIMBURSEMENT AGREEMENTExpense Support and Conditional Reimbursement Agreement • November 16th, 2016 • Freedom Capital Corp/Md • Delaware
This Amended and Restated Expense Support and Conditional Reimbursement Agreement (the “Agreement”) is made this 9th day of November, 2016, by and between FREEDOM CAPITAL CORPORATION, a Maryland corporation (the “Company”), and FREEDOM CAPITAL INVESTMENT ADVISORS LLC, a Delaware limited liability company (“Freedom Capital Investment Advisors”).
AMENDED AND RESTATED ESCROW AGREEMENTEscrow Agreement • September 21st, 2015 • Freedom Capital Corp/Md
This AMENDED AND RESTATED ESCROW AGREEMENT (the “Agreement”) is made and entered into this 9th day of September, 2015, by and among Freedom Capital Corporation, a Maryland corporation (the “Fund”), UMB Fund Services, Inc., as recordkeeper (“UMBFS”), UMB Bank, N.A., a national banking association organized and existing under the laws of the United States of America, as escrow agent (the “Escrow Agent”), and Democracy Funding LLC, a Delaware limited liability company (the “Dealer Manager”), for itself and for and on behalf of its selected dealers (the “Selected Dealers”).
FREEDOM CAPITAL CORPORATION Up to 50,000,000 Shares of Common Stock, $0.001 par value per share AMENDED AND RESTATED DEALER MANAGER AGREEMENT September 9, 2015Dealer Manager Agreement • September 21st, 2015 • Freedom Capital Corp/Md • Delaware
Freedom Capital Corporation, a Maryland corporation (the “Corporation”), has registered for public sale (the “Offering”) a maximum of 50,000,000 shares of its common stock, $0.001 par value per share (the “Common Stock”), to be issued and sold to the public on a “best efforts” basis (the “Offered Shares”) through you as the managing dealer (the “Dealer Manager”) and the broker-dealers participating in the offering (the “Selected Dealers”) at an initial offering price of $10.00 per share (subject in certain circumstances to discounts based upon the volume of shares purchased). Terms not otherwise defined herein shall have the same meaning as in the Prospectus, as that term is defined in Section 1.1 below.
FCIC Advisors LLCFirst Capital Investment Corp • February 10th, 2017
Reference is hereby made to the Investment Advisory and Administrative Services Agreement (the “Agreement”), dated March 5, 2015, as amended by Amendment No. 1 to the Agreement, dated March 15, 2016, and Amendment No. 2 to the Agreement, dated February 10, 2017, by and between FCIC Advisors LLC (the “Adviser”) and First Capital Investment Corporation (the “Company”). Capitalized terms used but not defined herein shall have the meaning ascribed to them in the Agreement.
INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENT BETWEEN FREEDOM CAPITAL CORPORATION AND FREEDOM CAPITAL INVESTMENT ADVISORS LLCAnd Administrative Services Agreement • May 4th, 2015 • Freedom Capital Corp/Md • New York
This Investment Advisory and Administrative Services Agreement (the “Agreement”) is made this 5th day of March, 2015, by and between FREEDOM CAPITAL CORPORATION, a Maryland corporation (the “Corporation”), and FREEDOM CAPITAL INVESTMENT ADVISORS LLC, a Delaware limited liability company (the “Adviser”).
FIRST AMENDMENT TO THE INTERIM INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENTAdministrative Services Agreement • June 23rd, 2017 • First Capital Investment Corp
This FIRST AMENDMENT TO THE INTERIM INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENT (this “Amendment”), effective as of June 21, 2017, is entered into by and between FIRST CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Corporation”), and FCIC ADVISORS LLC, a Delaware limited liability company (the “Adviser”). Capitalized terms used herein without definition shall have the meanings ascribed to such terms in the Agreement (defined below).
FIRST AMENDMENT TO INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENTAnd Administrative Services Agreement • March 18th, 2016 • Freedom Capital Corp/Md
This FIRST AMENDMENT TO THE INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENT (this “Amendment”), effective as of March 15, 2016, is entered into by and between FREEDOM CAPITAL CORPORATION, a Maryland corporation (the “Corporation”) and FREEDOM CAPITAL INVESTMENT ADVISORS LLC, a Delaware limited liability company (the “Adviser”). Capitalized terms used herein without definition shall have the meanings ascribed to such terms in the Advisory Agreement (defined below).
