Common Stock ($.001 Par Value Per Share) UNDERWRITING AGREEMENTUnderwriting Agreement • July 23rd, 2004 • Prospect Energy Corp • Maryland
Prospect Energy Corporation, a Maryland corporation (the “Company”), proposes to issue and sell an aggregate of shares (the “Firm Shares”) of Common Stock, $.001 par value per share (the “Common Stock”), of the Company. It is understood that, subject to the conditions hereinafter stated, the Firm Shares will be sold by the Company to the several Underwriters named in Schedule A hereto (the “Underwriters”) in connection with the offer and sale of such Firm Shares. Ferris, Baker Watts, Incorporated (“FBW”) has agreed to act as representative of the several Underwriters (in such capacity, the “Representative”) in connection with the offering and sale of the Shares.
TRANSFER AGENCY AND REGISTRAR SERVICES AGREEMENT by and between: PROSPECT ENERGY CORPORATION and AMERICAN STOCK TRANSFER & TRUST COMPANY Dated: , 2004 TRANSFER AGENCY AND REGISTRAR SERVICES AGREEMENTTransfer Agency and Registrar Services Agreement • July 23rd, 2004 • Prospect Energy Corp • New York
This Transfer Agency and Registrar Services Agreement (the “Agreement”), dated as of July , 2004 is between Prospect Energy Corporation, a Maryland corporation (the “Company”), and American Stock Transfer & Trust Company, a New York corporation (“AST”).
CUSTODY AGREEMENTCustody Agreement • July 23rd, 2004 • Prospect Energy Corp • Ohio
THIS AGREEMENT is made and entered into as of this day of July , 2004, by and between PROSPECT ENERGY CORPORATION, a Maryland corporation (the “Company” or “Fund”) and U.S. BANK NATIONAL ASSOCIATION, a national banking association (the “Custodian”).
