pos-ex Sample Contracts

October 10th, 2019 · Common Contracts · 1000 similar
Superconductor Technologies IncSECURITIES PURCHASE AGREEMENT

This Securities Purchase Agreement (this “Agreement”) is dated as of October 8, 2019 between Superconductor Technologies Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”).

May 6th, 2021 · Common Contracts · 957 similar
Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto.

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

June 15th, 2018 · Common Contracts · 863 similar
Cision Ltd.CISION LTD. 12,000,000 Ordinary Shares Underwriting Agreement

Certain shareholders named in Schedule 2 hereto (the “Selling Shareholders”) of Cision Ltd., a Cayman Islands exempted company (the “Company”), propose to sell to the several underwriters listed in Schedule 1 hereto (the “Underwriters”), for whom you are acting as representative (the “Representative”), an aggregate of 12,000,000 ordinary shares, par value $0.0001 per share (“Ordinary Shares”), of the Company (the “Underwritten Shares”) and, at the option of the Underwriters, up to an additional 1,800,000 Ordinary Shares of the Company (the “Option Shares”). The Underwritten Shares and the Option Shares are herein referred to as the “Shares”. The Ordinary Shares of the Company to be outstanding after giving effect to the sale of the Shares are referred to herein as the “Stock”.

May 24th, 2017 · Common Contracts · 833 similar
Goldman Sachs BDC, Inc.GOLDMAN SACHS BDC, INC. (a Delaware corporation) 3,250,000 Shares of Common Stock UNDERWRITING AGREEMENT Dated: May 18, 2017
March 2nd, 2001 · Common Contracts · 705 similar
Questar Market Resources IncTO BANK ONE, NA Trustee INDENTURE
October 2nd, 2012 · Common Contracts · 591 similar
Gladstone Investment Corporation\deShares of Common Stock, par value $0.001 per share GLADSTONE INVESTMENT CORPORATION UNDERWRITING AGREEMENT
November 6th, 2018 · Common Contracts · 551 similar
Gladstone Capital CorpGLADSTONE CAPITAL CORPORATION, Issuer AND U.S. BANK NATIONAL ASSOCIATION, Trustee INDENTURE Dated as of November 6, 2018 Senior Debt Securities
December 3rd, 2013 · Common Contracts · 410 similar
Medallion Financial Corp2,900,000 Shares MEDALLION FINANCIAL CORP. COMMON STOCK, PAR VALUE $0.01 PER SHARE UNDERWRITING AGREEMENT
June 5th, 2017 · Common Contracts · 401 similar
Park Hotels & Resorts Inc.Park Hotels & Resorts Inc. Common Stock, par value $0.01 per share Underwriting Agreement

Park Hotels & Resorts Inc., a Delaware corporation (the “Company”) confirms that the stockholders of the Company named in Schedule I hereto (the “Selling Stockholders”) have proposed, subject to the terms and conditions stated herein, to sell to the several Underwriters named in Schedule II hereto (the “Underwriters”), for whom you are acting as representatives (“you” or the “Representatives”), an aggregate of 15,000,000 shares (the “Shares”) of common stock, par value $0.01 per share (the “Stock”), of the Company. 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 Representatives and Underwriters shall mean either the singular or plural as the context requires. In addition, to the extent that there is not more than one Selling Stockholder named in Schedule I, the term Selling Stockholders shall mean either the singular or plural as the context requires.

November 6th, 2019 · Common Contracts · 379 similar
Vertical Capital Income FundINVESTMENT ADVISORY AGREEMENT between VERTICAL CAPITAL INCOME FUND and OAKLINE ADVISORS, LLC

AGREEMENT, made with effect as of September 30, 2019, between VERTICAL CAPITAL INCOME FUND, a Delaware statutory trust (the "Trust"), and OAKLINE ADVISORS, LLC (the "Adviser") located at 14675 Dallas Parkway, Suite 600, Dallas, TX 75254.

October 19th, 2018 · Common Contracts · 353 similar
SolarWinds CorpUnderwriting Agreement

SolarWinds Corporation, a Delaware corporation (the "Company"), proposes, subject to the terms and conditions stated in this agreement (this “Agreement”), to issue and sell to the Underwriters named in Schedule I hereto (the "Underwriters") an aggregate of [●] shares (the “Firm Shares”) and, at the election of the Underwriters, up to [●] additional shares (the “Optional Shares”) of Common Stock, $0.001 par value ("Stock") of the Company. The Firm Shares and the Optional Shares that the Underwriters elect to purchase pursuant to Section 2 hereof are herein collectively called the "Shares".

May 19th, 2016 · Common Contracts · 309 similar
Transparent Value TrustAMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST

WHEREAS, THIS AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST is made and entered into as of the date set forth below by the Trustees named hereunder for the purpose of forming a Delaware statutory trust in accordance with the provisions hereinafter set forth, to be effective upon the filing of the executed Certificate of Trust with the state of Delaware.

November 12th, 1998 · Common Contracts · 279 similar
Lubrizol CorpAnd
June 12th, 2015 · Common Contracts · 263 similar
Voya MUTUAL FUNDSSUB-ADVISORY AGREEMENT VOYA MUTUAL FUNDS

AGREEMENT, effective as of November 18, 2014, between Voya Investments, LLC, an Arizona limited liability company (the “Manager”), and Delaware Investments Fund Advisers (the “Sub-Adviser”), a series of Delaware Management Business Trust, a Delaware statutory trust.

March 22nd, 2021 · Common Contracts · 243 similar
Principal Real Estate Income FundSECOND AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF PRINCIPAL REAL ESTATE INCOME FUND
January 8th, 2021 · Common Contracts · 219 similar
Kempharm, IncSHARES OF COMMON STOCK, _____________ SERIES B WARRANTS (EXERCISABLE FOR _________SHARES) AND _____________ SERIES A WARRANTS (EXERCISABLE FOR _________SHARES) OF KEMPHARM, INC. UNDERWRITING AGREEMENT

The undersigned, KemPharm, Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of KemPharm, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Roth Capital Partners, LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.

February 9th, 1998 · Common Contracts · 212 similar
Capitol Trust I1 EXHIBIT 4.5 CAPITOL TRUST I AMENDED AND RESTATED TRUST AGREEMENT
December 27th, 2005 · Common Contracts · 196 similar
Oppenheimer Principal Protected TrustExhibit 23(m)(iii) AMENDED AND RESTATED SERVICE PLAN AND AGREEMENT
December 7th, 2018 · Common Contracts · 195 similar
Cushing ETF TrustCUSTODY AGREEMENT

THIS AGREEMENT is made and entered into as of the last date on the signature page, by and between Cushing ETF Trust, a Delaware trust (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America (the “Custodian”).

August 22nd, 2018 · Common Contracts · 195 similar
Procaccianti Hotel Reit, Inc.AMENDED AND RESTATED LOAN AGREEMENT Dated as of March 29, 2018 Between PHR WNC, LLC, and PHR WNC OPCO SUB, LLC, jointly and severally, as Borrower and WELLS FARGO BANK, NATIONAL ASSOCIATION, AS TRUSTEE, FOR THE BENEFIT OF THE HOLDERS OF DBJPM 2017-C6 ...

THIS AMENDED AND RESTATED LOAN AGREEMENT, dated as of March 29, 2018 (as amended, restated, replaced, supplemented or otherwise modified from time to time, this “Agreement”), between WELLS FARGO BANK, NATIONAL ASSOCIATION, AS TRUSTEE, FOR THE BENEFIT OF THE HOLDERS OF DBJPM 2017-C6 MORTGAGE TRUST COMMERCIAL MORTGAGE PASS-THROUGH CERTIFICATES, SERIES 2017-C6, having an address of c/o Midland Loan Services, 10851 Mastin Boulevard, Suite 300, Overland Park, Kansas 66210, Re: Loan Number 030312681 (together with its successors and assigns, “Lender”) and PHR WNC, LLC, a Delaware limited liability company (“Owner”) and PHR WNC OPCO SUB, LLC, a Delaware limited liability company (“Operating Tenant”); Owner and Operating Tenant, individually and/or collectively, as the context may require, “Borrower”), each having its principal place of business at c/o The Procaccianti Group, LLC, 1140 Reservoir Avenue, Cranston, Rhode Island 02920.

March 25th, 2015 · Common Contracts · 192 similar
Hercules Technology Growth Capital IncADMINISTRATION AGREEMENT between HERCULES CAPITAL FUNDING TRUST 2014-1, as Issuer, HERCULES TECHNOLOGY GROWTH CAPITAL, INC., as Administrator WILMINGTON TRUST, NATIONAL ASSOCIATION, as Owner Trustee and as Trustee Dated as of November 13, 2014

THIS ADMINISTRATION AGREEMENT (as amended, supplemented or otherwise modified and in effect from time to time, this “Agreement”) dated as of November 13, 2014, is between HERCULES CAPITAL FUNDING TRUST 2014-1, a Delaware statutory trust (the “Issuer”), HERCULES TECHNOLOGY GROWTH CAPITAL, INC., a Maryland corporation, as administrator (“Hercules” or the “Administrator”), U.S. BANK NATIONAL ASSOCIATION, a national banking association, as trustee (the “Trustee”) and WILMINGTON TRUST, NATIONAL ASSOCIATION, a national banking association, not in its individual capacity but solely as owner trustee (the “Owner Trustee”). Capitalized terms used herein and not otherwise defined herein shall have the meanings assigned such terms in the Sale and Servicing Agreement dated as of November 13, 2014 (the “Sale and Servicing Agreement”) by and among the Issuer, Hercules, as seller and as servicer, Hercules Capital Funding 2014-1 LLC, as trust depositor (the “Trust Depositor”) and U.S. Bank National Ass

February 10th, 2000 · Common Contracts · 192 similar
Leggett & Platt IncEXHIBIT 1.2 LEGGETT & PLATT, INCORPORATED Debt Securities Underwriting Agreement ----------------------
June 19th, 2001 · Common Contracts · 183 similar
Medarex IncISSUER, TO
April 12th, 2016 · Common Contracts · 173 similar
Vanguard Malvern FundsAMENDMENT NO. 1 TO AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF VANGUARD MALVERN FUNDS

This Amendment No. 1 (the “Amendment”) to the Amended and Restated Agreement and Declaration of Trust of Vanguard Malvern Funds (the “Trust”) amends, effective

March 20th, 2017 · Common Contracts · 161 similar
Guggenheim Enhanced Equity Income Fund (F/K/a Old Mutual/Claymore Long-Short Fund)CUSTODY AGREEMENT

AGREEMENT, dated as of March 20, 2017 between Guggenheim Enhanced Equity Income Fund, a fund organized and existing under the laws of the State of Delaware having its principal office and place of business at 227 West Monroe Street, Chicago, Illinois 60606 (the “Fund”) and The Bank of New York Mellon, a New York corporation authorized to do a banking business having its principal office and place of business at 101 Barclay 11E, New York, New York 10286 (“Custodian”).

March 22nd, 2019 · Common Contracts · 156 similar
Frontdoor, Inc.frontdoor, inc. 16,734,092 Shares of Common Stock Underwriting Agreement

The certain stockholder named in Schedule 2 hereto (the “Selling Stockholder”) of frontdoor, inc., a Delaware corporation (the “Company”), proposes to sell to the several underwriters listed in Schedule 1 hereto (the “Underwriters”), for whom you are acting as representatives (the “Representatives”), an aggregate of 16,734,092 shares of Common Stock, par value $0.01 per share (the “Common Stock”), of the Company (the “Shares”). The shares of Common Stock of the Company to be outstanding after giving effect to the sale of the Shares are referred to herein as the “Stock”.

October 19th, 2020 · Common Contracts · 153 similar
RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.UBS SECURITIES LLC MASTER AGREEMENT AMONG UNDERWRITERS REGISTERED SEC OFFERINGS (INCLUDING MULTIPLE SYNDICATE OFFERINGS) AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)

This Master Agreement Among Underwriters (this “Master AAU”), dated as of December 4, 2019, is by and between UBS Securities LLC (“we”) and the party named on the signature page hereto (an “Underwriter,” as defined in Section 1.1 hereof, or “you”).From time to time we or one or more of our affiliates may invite you (and others) to participate on the terms set forth herein as an underwriter or an initial purchaser, or in a similar capacity, in connection with certain offerings of securities that are managed solely by us or with one or more other co- managers. If we invite you to participate in a specific offering and sale of securities (an “Offering”) to which this Master AAU will apply, we will send the information set forth in Section 1.1 hereof to you by one or more wires, telexes, telecopy or electronic data transmissions, or other written communications (each, a “Wire,” and collectively, an “AAU”), unless you are otherwise deemed to have accepted an AAU with respect to such Offerin

February 9th, 1998 · Common Contracts · 148 similar
Capitol Trust I1 EXHIBIT 4.6 PREFERRED SECURITIES GUARANTEE AGREEMENT
May 17th, 2010 · Common Contracts · 143 similar
Calamos Convertible & High Income FundMaster Custodian Agreement

This Agreement is made as of September 11, 2009 by and among each management investment company identified on Appendix A hereto (each such investment company and each management investment company made subject to this Agreement in accordance with Section 19.5 below, shall hereinafter be referred to as a “Fund”), and State Street Bank and Trust Company, a Massachusetts trust company (the “Custodian”).

February 26th, 2002 · Common Contracts · 136 similar
Backside IncEXHIBIT 4.3 8 7/8% SENIOR SUBORDINATED NOTES DUE 2010
March 31st, 2017 · Common Contracts · 132 similar
Nuveen Credit Opportunities 2022 Target Term FundSTRUCTURING FEE AGREEMENT

Reference is made to the Underwriting Agreement dated March 28, 2017 (the “Underwriting Agreement”), by and among Nuveen Credit Opportunities 2022 Target Term Fund (the “Fund”), Nuveen Fund Advisors, LLC (the “Company”), Symphony Asset Management LLC and each of the Underwriters named in Schedule I thereto, with respect to the issue and sale (the “Offering”) of the Fund’s common shares of beneficial interest, $0.01 par value per share (the “Common Shares”), as described therein. Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.

April 15th, 2011 · Common Contracts · 131 similar
Vera Bradley, Inc.5,169,960 Shares VERA BRADLEY, INC. COMMON STOCK, WITHOUT PAR VALUE [FORM OF] UNDERWRITING AGREEMENT April 13, 2011

Certain shareholders of Vera Bradley, Inc., an Indiana corporation (the “Company”), named in Schedule I hereto (the “Selling Shareholders”), acting severally and not jointly, propose to sell to the several Underwriters named in Schedule II hereto (the “Underwriters”), subject to the terms and conditions stated herein, an aggregate of 5,169,960 shares (the “Firm Shares”) of the common stock, without par value, of the Company (the “Common Stock”), each Selling Shareholder selling the number of Firm Shares set forth opposite such Selling Shareholder’s name in Schedule I hereto.

August 9th, 2006 · Common Contracts · 127 similar
Trust for Professional ManagersFUND ACCOUNTING SERVICING AGREEMENT

THIS AGREEMENT is made and entered into as of this 1st day of August, 2006, by and between TRUST FOR PROFESSIONAL MANAGERS, a Delaware business trust (the “Trust”) on behalf of the Appleton Group Plus Fund and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”).

December 5th, 2002 · Common Contracts · 126 similar
Wachovia Corp NewWACHOVIA CORPORATION, WACHOVIA BANK, NATIONAL ASSOCIATION, AS DEPOSITARY, AND THE HOLDERS FROM TIME TO TIME OF THE RECEIPTS EVIDENCING THE DEPOSITARY SHARES DESCRIBED HEREIN.

WHEREAS, it is desired to provide, as hereinafter set forth in this Deposit Agreement, for the deposit of shares of Series G, Class A Preferred Stock, liquidation preference $150.00 per share, of the Company with the Depositary for the purposes set forth in this Deposit Agreement and for the issuance hereunder of Receipts by the Depositary evidencing Depositary Shares in respect of the Stock so deposited (capitalized terms used herein shall have the meaning assigned to them in Article I below).

April 27th, 2017 · Common Contracts · 124 similar
KBS Growth & Income REIT, Inc.ADVISORY AGREEMENT between KBS GROWTH & INCOME REIT, INC. and KBS CAPITAL ADVISORS LLC

This Advisory Agreement, dated as of April 27, 2017 (the “Agreement”), is between KBS Growth & Income REIT, Inc., a Maryland corporation (the “Company”), and KBS Capital Advisors LLC, a Delaware limited liability company (the “Advisor”).