Common Contracts
32 similar Underwriting Agreement contracts by Gladstone Capital Corp, Gladstone Investment Corporation\de, Prospect Capital Corp, others
GLADSTONE CAPITAL CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • August 11th, 2023 • Gladstone Capital Corp • New York
Gladstone Capital Corporation, a corporation organized under the laws of Maryland (the “Company”), Gladstone Management Corporation, a Delaware corporation registered as an investment adviser (the “Adviser”), and Gladstone Administration, LLC, a Delaware limited liability company (the “Administrator”), each confirms with Piper Sandler & Co. (“Piper Sandler”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Piper Sandler is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $50,000,000 aggregate principal amount (the “Initial Securities”) of the Company’s 7.75% notes due 2028 (the “Notes”), and the purchase by the Underwriters, acting severally and not jointly, of the aggregate principal amount of Initial Securities set forth opposite their respective names in Exhibit
GLADSTONE INVESTMENT CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • May 24th, 2023 • Gladstone Investment Corporation\de • New York
Gladstone Investment Corporation, a Delaware corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation (the “Adviser”), and Gladstone Administration, LLC, a Delaware limited liability company (the “Administrator”), each confirms with Oppenheimer & Co. Inc. (“OpCo”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom OpCo is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $65,000,000 aggregate principal amount (the “Initial Securities”) of the Company’s 8.00% notes due 2028 (the “Notes”), and the purchase by the Underwriters, acting severally and not jointly, of the aggregate principal amount of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect to the grant by the Company to the Underwriters
PHENIXFIN CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • November 12th, 2021 • PhenixFIN Corp • New York
PhenixFIN Corporation, a Delaware corporation (the “Company”) confirms with Oppenheimer & Co. Inc. (“OpCo”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom OpCo is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $50,000,000 aggregate principal amount (the “Initial Securities”) of the Company’s 5.25% notes due 2028 (the “Notes”), and the purchase by the Underwriters, acting severally and not jointly, of the aggregate principal amount of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect to the grant by the Company to the Underwriters of the option described in Section 3(b) hereof to purchase all or any part of $7,500,000 aggregate principal amount of Notes (the “Option Securities”) to cover over-allotments, if any. T
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
GLADSTONE INVESTMENT CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • August 12th, 2021 • Gladstone Investment Corporation\de • New York
Gladstone Investment Corporation, a Delaware corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation (the “Adviser”), and Gladstone Administration, LLC, a Delaware limited liability company (the “Administrator”), each confirms with Oppenheimer & Co. Inc. (“OpCo”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom OpCo is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $117,000,000 aggregate principal amount (the “Initial Securities”) of the Company’s 4.875% notes due 2028 (the “Notes”), and the purchase by the Underwriters, acting severally and not jointly, of the aggregate principal amount of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect to the grant by the Company to the Underwriter
PROSPECT CAPITAL CORPORATION 3.364% Notes due 2026 UNDERWRITING AGREEMENTUnderwriting Agreement • May 21st, 2021 • Prospect Capital Corp • New York
Underwriters Aggregate Principal Amount of Securities RBC Capital Markets, LLC $ 91,500,000 Goldman Sachs & Co. LLC 91,500,000 Barclays Capital Inc. 30,000,000 KeyBanc Capital Markets Inc. 15,000,000 BNP Paribas Securities Corp. 12,000,000 CIBC World Markets Corp. 10,500,000 Mizuho Securities USA LLC 10,500,000 R. Seelaus & Co., LLC 10,500,000 WauBank Securities LLC 9,000,000 M&T Securities, Inc. 7,500,000 Comerica Securities, Inc. 4,500,000 UBS Securities LLC 4,500,000 Incapital LLC 3,000,000 Total $ 300,000,000
65,000,000 Aggregate Principal Amount 4.875% Notes Due 2026 Investcorp Credit Management BDC, Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • March 26th, 2021 • Investcorp Credit Management BDC, Inc. • New York
Investcorp Credit Management BDC, Inc., a Maryland corporation (formerly known as CM Finance Inc) (the “Company”), and CM Investment Partners LLC, a Delaware limited liability company (the “Adviser”), confirm their agreement with respect to the proposed issuance and sale by the Company to the several Underwriters named in Schedule A hereto (each, an “Underwriter” and, collectively the “Underwriters”), for whom Raymond James & Associates, Inc. is acting as the representative (in such capacity, the “Representative”), of $65,000,000 aggregate principal amount of 4.875% Notes due 2026 (the “Securities”) of the Company, 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 Schedule A hereto. In the event that only one Underwriter is listed in Schedule A hereto, any references to the “Underwriters” shall be deemed to refer to the sole Underwriter in the singular form listed in such
GLADSTONE CAPITAL CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • March 10th, 2021 • Gladstone Capital Corp • New York
Gladstone Capital Corporation, a Maryland corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation (the “Adviser”), and Gladstone Administration, LLC, a Delaware limited liability company (the “Administrator”), each confirms with Raymond James & Associates, Inc. and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Raymond James & Associates, Inc. is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $50,000,000 aggregate principal amount of the Company’s 5.125% 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 hereto
GLADSTONE INVESTMENT CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • February 24th, 2021 • Gladstone Investment Corporation\de • New York
Gladstone Investment Corporation, a Delaware corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation (the “Adviser”), and Gladstone Administration, LLC, a Delaware limited liability company (the “Administrator”), each confirms with Janney Montgomery Scott LLC (“Janney”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Janney is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $111,250,000 aggregate principal amount (the “Initial Securities”) of the Company’s 5.00% notes due 2026 (the “Notes”), and the purchase by the Underwriters, acting severally and not jointly, of the aggregate principal amount of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect to the grant by the Company to the Und
PROSPECT CAPITAL CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • February 18th, 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:
PROSPECT CAPITAL CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • February 16th, 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:
MONROE CAPITAL CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • January 19th, 2021 • MONROE CAPITAL Corp • New York
Monroe Capital Corporation, a Maryland corporation (the “Company”), Monroe Capital BDC Advisors, 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”), and Monroe Capital Management Advisors, LLC, a Delaware limited liability company (the “Administrator”), each confirms with Raymond James & Associates, Inc. and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Raymond James & Associates, Inc. is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $130,000,000 aggregate principal amount of the Company’s 4.75% notes due 2026 (the “Securities”), and the purcha
PROSPECT CAPITAL CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • January 15th, 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:
GLADSTONE CAPITAL CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • December 9th, 2020 • Gladstone Capital Corp • New York
Gladstone Capital Corporation, a Maryland corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation (the “Adviser”), and Gladstone Administration, LLC, a Delaware limited liability company (the “Administrator”), each confirms with Raymond James & Associates, Inc. and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Raymond James & Associates, Inc. is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $100,000,000 aggregate principal amount of the Company’s 5.125% 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 heret
GLADSTONE CAPITAL CORPORATION $33,750,000 5.375% Notes due 2024 UNDERWRITING AGREEMENTUnderwriting Agreement • October 10th, 2019 • Gladstone Capital Corp • New York
Gladstone Capital Corporation, a Maryland corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation (the “Adviser”), and Gladstone Administration, LLC, a Delaware limited liability company (the “Administrator”), each confirms with Janney Montgomery Scott LLC and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Janney Montgomery Scott LLC is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $33,750,000 aggregate principal amount (the “Initial Securities”) of the Company’s 5.375% notes due 2024 (the “Notes”), and the purchase by the Underwriters, acting severally and not jointly, of the aggregate principal amount of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect to the grant by the Company to
GREAT ELM CAPITAL CORP. $40,000,000 6.50% Notes Due 2024 UNDERWRITING AGREEMENTUnderwriting Agreement • June 18th, 2019 • Great Elm Capital Corp. • New York
Great Elm Capital Corp., a Maryland corporation (the “Company”), and Great Elm Capital Management, Inc., a Delaware corporation (the “Adviser”), each confirms with Ladenburg Thalmann & Co. Inc. (“Ladenburg”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Ladenburg is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $40,000,000 aggregate principal amount (the “Initial Securities”) of the Company’s 6.50% Notes due 2024, and the purchase by the Underwriters, acting severally and not jointly, of the respective aggregate principal amount of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect to the grant by the Company to the Underwriters of the option described in Section 3(b) hereof to purchase all or any part of an add
UNDERWRITING AGREEMENTUnderwriting Agreement • December 6th, 2018 • 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:
GLADSTONE CAPITAL CORPORATION $50,000,000 6.125% Notes due 2023 UNDERWRITING AGREEMENTUnderwriting Agreement • November 6th, 2018 • Gladstone Capital Corp • New York
Gladstone Capital Corporation, a Maryland corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation (the “Adviser”), and Gladstone Administration, LLC, a Delaware limited liability company (the “Administrator”), each confirms with Keefe, Bruyette & Woods, Inc. and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Keefe, Bruyette & Woods, Inc. is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $50,000,000 aggregate principal amount (the “Initial Securities”) of the Company’s 6.125% notes due 2023 (the “Notes”), and the purchase by the Underwriters, acting severally and not jointly, of the aggregate principal amount of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect to the grant by the Company
UNDERWRITING AGREEMENTUnderwriting Agreement • October 1st, 2018 • 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:
GREAT ELM CAPITAL CORP. $[•] [•]% Notes Due 20[•] UNDERWRITING AGREEMENTUnderwriting Agreement • September 28th, 2018 • Great Elm Capital Corp. • New York
Great Elm Capital Corp., a Maryland corporation (the “Company”), and Great Elm Capital Management, Inc., a Delaware corporation (the “Adviser”), each confirms with Ladenburg Thalmann & Co. Inc. (“Ladenburg”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Ladenburg is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $[•] aggregate principal amount (the “Initial Securities”) of the Company’s [•]% Notes due 20[•], and the purchase by the Underwriters, acting severally and not jointly, of the respective aggregate principal amount of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect to the grant by the Company to the Underwriters of the option described in Section 3(b) hereof to purchase all or any part of an additional
GLADSTONE INVESTMENT CORPORATION Shares of Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • August 16th, 2018 • Gladstone Investment Corporation\de • New York
The Company has entered into an investment advisory and management agreement, dated as of June 22, 2005 (as re-approved through August 31, 2018 and August 31, 2019 by the board of directors of the Company on July 11, 2017 and July 10, 2018, respectively, the “Investment Advisory Agreement”), with the Adviser. The Company has entered into an administration agreement, dated as of June 22, 2005 (the “Administration Agreement”), with the Administrator.
UNDERWRITING AGREEMENTUnderwriting Agreement • June 20th, 2018 • 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:
GLADSTONE CAPITAL CORPORATION 1,800,000 Shares of Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • September 21st, 2017 • Gladstone Capital Corp • New York
The Company has entered into an amended and restated investment advisory and management agreement, dated October 1, 2006 (as amended by Amendment No. 1 on October 13, 2015 and re-approved through August 31, 2018 by the board of directors of the Company on July 11, 2017, the “Investment Advisory Agreement”), with the Adviser. The Company has entered into an administration agreement, dated as of October 1, 2006 (the “Administration Agreement”), with the Administrator.
GREAT ELM CAPITAL CORP. $[●] [●]% Notes Due 2022 FORM OF UNDERWRITING AGREEMENTUnderwriting Agreement • August 24th, 2017 • Great Elm Capital Corp. • New York
Great Elm Capital Corp., a Maryland corporation (the “Company”), and Great Elm Capital Management, Inc., a Delaware corporation (the “Adviser”), each confirms with Janney Montgomery Scott LLC (“Janney”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Janney is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $[●] aggregate principal amount (the “Initial Securities”) of the Company’s [●]% Notes due 2022, and the purchase by the Underwriters, acting severally and not jointly, of the respective aggregate principal amount of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect to the grant by the Company to the Underwriters of the option described in Section 3(b) hereof to purchase all or any part of an additional $[●] agg
GLADSTONE INVESTMENT CORPORATION Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • May 12th, 2017 • Gladstone Investment Corporation\de • New York
Gladstone Investment Corporation, a Delaware corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation (the “Adviser”), and Gladstone Administration, LLC, a Delaware limited liability company (the “Administrator”), each confirms with Janney Montgomery Scott LLC (“Janney”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Janney is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of 2,100,000 shares (the “Initial Securities”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect to the grant by the Company to the Underwr
GLADSTONE CAPITAL CORPORATION 2,000,000 Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 28th, 2016 • Gladstone Capital Corp • New York
The Company has entered into an amended and restated investment advisory and management agreement, dated October 1, 2006 (as amended by Amendment No. 1 on October 13, 2015 and re-approved through August 31, 2017 by the board of directors of the Company on July 12, 2016, the “Investment Advisory Agreement”), with the Adviser. The Company has entered into an administration agreement, dated as of October 1, 2006 (the “Administration Agreement”), with the Administrator.
GLADSTONE INVESTMENT CORPORATION Shares of Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • September 22nd, 2016 • Gladstone Investment Corporation\de • New York
Gladstone Investment Corporation, a Delaware corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation (the “Adviser”), and Gladstone Administration, LLC, a Delaware limited liability company (the “Administrator”), each confirms with Janney Montgomery Scott LLC (“Janney”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Janney is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of 2,000,000 shares (the “Initial Securities”) of the Company’s 6.25% Series D Cumulative Term preferred stock due 2023, par value $0.001 per share (the “Preferred Stock”), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with resp
GLADSTONE CAPITAL CORPORATION 2,000,000 Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 30th, 2015 • Gladstone Capital Corp • New York
The Company has entered into an amended and restated investment advisory and management agreement, dated October 1, 2006 (as re-approved through August 31, 2016 by the board of directors of the Company on July 14, 2015 and amended by Amendment No. 1 on October 13, 2015, the “Investment Advisory Agreement”), with the Adviser. The Company has entered into an administration agreement, dated as of October 1, 2006 (the “Administration Agreement”), with the Administrator.
GLADSTONE INVESTMENT CORPORATION Shares of Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • May 12th, 2015 • Gladstone Investment Corporation\de • New York
Gladstone Investment Corporation, a Delaware corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation (the “Adviser”), and Gladstone Administration, LLC, a Delaware limited liability company (the “Administrator”), each confirms with Janney Montgomery Scott LLC (“Janney”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 8 hereof), for whom Janney is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of a total of 1,400,000 shares (the “Initial Securities”) of the Company’s 6.50% Series C Cumulative Term preferred stock, par value $0.001 per share (the “Preferred Stock”), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Securities set forth opposite their respective names in Exhibit A hereto,
GLADSTONE INVESTMENT CORPORATION 3,300,000 Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • March 13th, 2015 • Gladstone Investment Corporation\de • New York
The Company has entered into an investment advisory and management agreement, dated as of June 22, 2005 (as most recently re-approved through August 31, 2015 by the board of directors of the Company at a meeting on July 15, 2014, the “Investment Advisory Agreement”), with the Adviser. The Company has entered into an administration agreement, dated as of June 22, 2005 (the “Administration Agreement”), with the Administrator.
GLADSTONE INVESTMENT CORPORATION Shares of Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • November 10th, 2014 • Gladstone Investment Corporation\de • New York
Gladstone Investment Corporation, a Delaware corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation (the “Adviser”), and Gladstone Administration LLC, a Delaware limited liability company (the “Administrator”) each confirms with Janney Montgomery Scott LLC (“Janney”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 8 hereof), for whom Janney is acting as the representative (in such capacity, the “Representative”), with respect to the issuance and sale by the Company of a total of 1,440,000 shares (the “Initial Securities”) of the Company’s 6.75% Series B Cumulative Term preferred stock, $0.001 par value per share (the “Preferred Stock”), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Securities set forth opposite their respective names in Exhibit A hereto,
GLADSTONE CAPITAL CORPORATION Shares of Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • May 16th, 2014 • Gladstone Capital Corp • New York
Gladstone Capital Corporation, a Maryland corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation (the “Adviser”), and Gladstone Administration LLC, a Delaware limited liability company (the “Administrator”) each confirms with Janney Montgomery Scott LLC (“Janney”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 8 hereof), for whom Janney is acting as the representative (in such capacity, the “Representative”), with respect to the issuance and sale by the Company of a total of 2,200,000 shares (the “Initial Securities”) of the Company’s 6.75% Series 2021 preferred stock, par value $0.001 per share (the “Preferred Stock”), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect
