Main Street Capital Corporation (a Maryland Corporation) 2,500,000 Shares of Common Stock Par Value $0.01 per Share Underwriting Agreement January 13, 2010Main Street Capital CORP • January 13th, 2010 • New York
Company FiledJanuary 13th, 2010 JurisdictionMorgan Keegan & Company, Inc. As representative of the several Underwriters named in Schedule A c/o Morgan Keegan & Company, Inc. 50 North Front Street Memphis, Tennessee 38103
Main Street Capital Corporation (a Maryland Corporation) 1,250,000 Shares of Common Stock Par Value $0.01 per Share Underwriting Agreement May 28, 2009Main Street Capital CORP • May 28th, 2009 • New York
Company FiledMay 28th, 2009 JurisdictionBB&T Capital Markets, a division of Scott & Stringfellow, LLC As representative of the several Underwriters named in Schedule A c/o BB&T Capital Markets 909 East Main Street Richmond, VA 23219
Prospect Capital Corporation 3,250,000 Shares 1 Common Stock ($0.001 par value) Underwriting AgreementProspect Capital Corp • May 30th, 2008 • New York
Company FiledMay 30th, 2008 JurisdictionProspect Capital Corporation, a corporation organized under the laws of Maryland (the “Company”), proposes to sell to the several underwriters named in Schedule II hereto (the “Underwriters”), for whom you (the “Representatives”) are acting as representatives, the number of shares of common stock, $0.001 par value (“Common Stock”), of the Company set forth in Schedule I hereto (said shares to be issued and sold by the Company being hereinafter called the “Underwritten Securities”). The Company also proposes to grant to the Underwriters an option to purchase up to the number of additional shares of Common Stock set forth in Schedule I hereto to cover over-allotments, if any (the “Option Securities”; the Option Securities, together with the Underwritten Securities, being hereinafter called the “Securities”). To the extent there are no additional Underwriters listed on Schedule II other than you, the term Representatives as used herein shall mean you, as Underwriters, and the terms Repres
Prospect Capital Corporation 1,150,000 Shares 1 Common Stock ($0.001 par value) Underwriting AgreementProspect Capital Corp • April 2nd, 2008 • New York
Company FiledApril 2nd, 2008 JurisdictionProspect Capital Corporation, a corporation organized under the laws of Maryland (the “Company”), proposes to sell to the several underwriters named in Schedule II hereto (the “Underwriters”), for whom you (the “Representatives”) are acting as representatives, the number of shares of common stock, $0.001 par value (“Common Stock”), of the Company set forth in Schedule I hereto (said shares to be issued and sold by the Company being hereinafter called the “Underwritten Securities”). The Company also proposes to grant to the Underwriters an option to purchase up to the number of additional shares of Common Stock set forth in Schedule I hereto to cover over-allotments, if any (the “Option Securities”; the Option Securities, together with the Underwritten Securities, being hereinafter called the “Securities”). To the extent there are no additional Underwriters listed on Schedule II other than you, the term Representatives as used herein shall mean you, as Underwriters, and the terms Repres
Prospect Capital Corporation (a Maryland Corporation) 3,500,000 Shares of Common Stock Par Value $.001 per Share Underwriting Agreement October 11, 2007Prospect Capital Corp • October 15th, 2007 • New York
Company FiledOctober 15th, 2007 JurisdictionMorgan Keegan & Company, Inc. RBC Capital Markets Oppenheimer & Co. Inc. BB&T Capital Markets D.A. Davidson & Co. Janney Montgomery Scott
Main Street Capital Corporation (a Maryland Corporation) Shares of Common Stock Par Value $0.01 per Share Underwriting AgreementMain Street Capital CORP • August 15th, 2007 • New York
Company FiledAugust 15th, 2007 JurisdictionMorgan Keegan & Company, Inc. BB&T Capital Markets As representatives of the several Underwriters named in Schedule A c/o Morgan Keegan & Company, Inc. 50 North Front Street Memphis, TN 38103
Prospect Energy Corporation (a Maryland Corporation) 6,000,000 Shares of Common Stock Par Value $.001 per Share Underwriting Agreement December 14, 2006Prospect Energy Corp • December 19th, 2006 • New York
Company FiledDecember 19th, 2006 JurisdictionProspect Energy Corporation, a Maryland corporation (the “Company”) confirms its agreement with Morgan Keegan & Company, Inc. (the “Underwriter”), with respect to the issue and sale by the Company and the purchase by the Underwriter of 6,000,000 of shares of common stock, par value $.001 per share of the Company (the “Common Shares”), and with respect to the grant by the Company to the Underwriter of the option described in Section 3(b) hereof to purchase all or any part of 900,000 additional Common Shares to cover over-allotments, if any. The aforesaid 6,000,000 Common Shares (the “Firm Shares”) to be purchased by the Underwriter and all or any part of the 900,000 Common Shares subject to the option described in Section 3(b) hereof (the “Option Shares”) are collectively referred to as the “Shares.”
Prospect Energy Corporation (a Maryland Corporation) 4,971,000 Shares of Common Stock Par Value $.001 per Share Underwriting Agreement August 10, 2006Prospect Energy Corp • August 17th, 2006 • New York
Company FiledAugust 17th, 2006 JurisdictionMorgan Keegan & Company, Inc. Ferris, Baker Watts, Incorporated Oppenheimer & Co. Inc. D.A. Davidson & Co. Sterne, Agee & Leach, Inc. c/o Morgan Keegan & Company, Inc. 50 North Front Street Memphis, TN 38103
Gladstone Investment Corporation (a Delaware corporation) 12,000,000 Shares of Common Stock Par Value $.001 per Share Underwriting AgreementGladstone Investment Corporation\de • June 21st, 2005 • New York
Company FiledJune 21st, 2005 JurisdictionFerris, Baker Watts, Incorporated Jefferies & Company, Inc. RBC Capital Markets Corporation BB&T Capital Markets, a division of Scott & Stringfellow, Inc. Oppenheimer & Co. Inc. Stifel, Nicolaus & Company, Incorporated J.J.B. Hilliard, W.L. Lyons, Inc. Wunderlich Securities, Inc. c/o Ferris, Baker Watts, Incorporated 1700 Pennsylvania Avenue Washington, DC 20006