Common Contracts

9 similar Underwriting Agreement contracts by Capital Southwest Corp, Stellus Capital Investment Corp

CAPITAL SOUTHWEST CORPORATION (a Texas Corporation) $62,500,000 7.75% Notes due 2028 UNDERWRITING AGREEMENT June 7, 2023
Underwriting Agreement • June 8th, 2023 • Capital Southwest Corp • New York

Capital Southwest Corporation, a Texas corporation (the “Company”), confirms its agreement with the underwriters named in Schedule A hereto (the “Underwriters”), for whom Oppenheimer & Co. Inc. (“OpCo”) is acting as representative (in such capacity, the “Representative”), with respect to the issue and sale by the Company and the purchase by the Underwriters, acting severally and not jointly (the “Offering”), of $62,500,000 aggregate principal amount of 7.75% Notes due 2028 (the “Initial Securities”), as set forth on Schedule A hereto, and with respect to the grant by the Company to the Underwriters of the option described in Section 2(b) hereof to purchase all or any part of $9,375,000 aggregate principal amount of Notes (the “Option Securities”) to cover over-allotments, if any. The Initial Securities to be purchased by the Underwriters and all or any part of the Option Securities are hereinafter called, collectively, the “Securities.” In the event that only one Underwriter is listed

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CAPITAL SOUTHWEST CORPORATION (a Texas Corporation) $100,000,000 3.375% Notes due 2026 UNDERWRITING AGREEMENT August 24, 2021
Underwriting Agreement • August 27th, 2021 • Capital Southwest Corp • New York

The Securities will be issued under an indenture dated as of October 23, 2017 (the “Base Indenture”), as supplemented by the Fourth Supplemental Indenture, to be dated as of August 27, 2021 (the “Fourth Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and U.S. Bank National Association, as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

CAPITAL SOUTHWEST CORPORATION (a Texas Corporation)
Underwriting Agreement • February 25th, 2021 • Capital Southwest Corp • New York

The Securities will be issued under an indenture dated as of October 23, 2017 (the “Base Indenture”), as supplemented by the Third Supplemental Indenture, dated as of December 29, 2020 (the “Third Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and U.S. Bank National Association, as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

CAPITAL SOUTHWEST CORPORATION (a Texas Corporation)
Underwriting Agreement • December 29th, 2020 • Capital Southwest Corp • New York

The Securities will be issued under an indenture dated as of October 23, 2017 (the “Base Indenture”), as supplemented by the Third Supplemental Indenture, to be dated as of December 29, 2020 (the “Third Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and U.S. Bank National Association, as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

CAPITAL SOUTHWEST CORPORATION (a Texas Corporation)
Underwriting Agreement • August 13th, 2020 • Capital Southwest Corp • New York

The Securities will be issued under an indenture dated as of October 23, 2017 (the “Base Indenture”), as supplemented by the Second Supplemental Indenture, dated as of September 27, 2019 (the “Second Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and U.S. Bank National Association, as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

CAPITAL SOUTHWEST CORPORATION (a Texas Corporation)
Underwriting Agreement • October 8th, 2019 • Capital Southwest Corp • New York

The Securities will be issued under an indenture dated as of October 23, 2017 (the “Base Indenture”), as supplemented by the Second Supplemental Indenture, to be dated as of September 27, 2019 (the “Second Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and U.S. Bank National Association, as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

CAPITAL SOUTHWEST CORPORATION
Underwriting Agreement • September 27th, 2019 • Capital Southwest Corp • New York

The Securities will be issued under an indenture dated as of October 23, 2017 (the “Base Indenture”), as supplemented by the Second Supplemental Indenture, to be dated as of September 27, 2019 (the “Second Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and U.S. Bank National Association, as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

a Maryland Corporation) $42,500,000 Aggregate Principal Amount of 5.750% Notes due 2022 Underwriting Agreement August 16, 2017
Underwriting Agreement • August 21st, 2017 • Stellus Capital Investment Corp • New York
a Maryland Corporation) $25,000,000 Aggregate Principal Amount of 6.50% Notes due 2019 Underwriting Agreement April 29, 2014
Underwriting Agreement • May 2nd, 2014 • Stellus Capital Investment Corp • New York
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