Common use of Interested Persons Clause in Contracts

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 Xxx) of any of the Underwriters.

Appears in 31 contracts

Samples: 2028 Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp)

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Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx1940 Act) of the Company or an “affiliated person” (as defined in the 0000 Xxx1940 Act) of any of the Underwriters.

Appears in 26 contracts

Samples: Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and Statement or the Prospectus (Ai) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (Bii) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 Xxx) of any of the UnderwritersAgent except as otherwise disclosed in the Registration Statement or the Prospectus.

Appears in 11 contracts

Samples: Equity Distribution Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx1940 Act) of the Company or an “affiliated person” (as defined in the 0000 Xxx1940 Act) of any of the UnderwritersDistribution Managers.

Appears in 10 contracts

Samples: Capital Corporation (Ares Capital Corp), Equity Distribution Agreement (Ares Capital Corp), Capital Corporation (Ares Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 1000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 1000 Xxx) of any of the Underwriters.

Appears in 10 contracts

Samples: 2027 Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp), 2028 Purchase Agreement (Ares Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 1000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 1000 Xxx) of any of the UnderwritersDistribution Managers.

Appears in 8 contracts

Samples: Terms Agreement (Ares Capital Corp), Distribution Agreement (Ares Capital Corp), Equity Distribution Agreement (Ares Capital Corp)

Interested Persons. Except as disclosed in the Registration StatementProspectus, the General Disclosure Package and the Prospectus Registration Statement, (A) no person is serving or acting as an officer, director or investment adviser of the Company, Company except in accordance with the provisions of the 1940 Investment Company Act and the Advisers Act, Act and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 XxxInvestment Company Act) of the Company or an “affiliated person” (as defined in the 0000 XxxInvestment Company Act) of any of the Underwriters.

Appears in 8 contracts

Samples: Purchase Agreement (THL Credit, Inc.), THL Credit, Inc., THL Credit, Inc.

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and Statement or the Prospectus (Ai) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (Bii) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx1940 Act) of the Company or an “affiliated person” (as defined in the 0000 Xxx1940 Act) of any of Agent except as otherwise disclosed in the UnderwritersRegistration Statement or the Prospectus.

Appears in 8 contracts

Samples: Debt Distribution Agreement (Prospect Capital Corp), Debt Distribution Agreement (Prospect Capital Corp), Debt Distribution Agreement (Prospect Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, (A) no person is serving or acting as an officer, director or investment adviser of the Company, Company except in accordance with the provisions of the 1940 Investment Company Act and the Advisers Act, Act and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 XxxInvestment Company Act) of the Company or an “affiliated person” (as defined in the 0000 XxxInvestment Company Act) of any of the Underwriters.

Appears in 7 contracts

Samples: Underwriting Agreement (Garrison Capital Inc.), Underwriting Agreement (WhiteHorse Finance, Inc.), Underwriting Agreement (WhiteHorse Finance, Inc.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the CompanyCompany or SVCP, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the CompanyTCP Entities, no director of the Company or SVCP is an “interested person” (as defined in the 0000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 Xxx) of any of the Underwriters.

Appears in 6 contracts

Samples: Underwriting Agreement (TCP Capital Corp.), Underwriting Agreement (TCP Capital Corp.), Underwriting Agreement (TCP Capital Corp.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 Xxx) of any of the Underwriters.

Appears in 6 contracts

Samples: Underwriting Agreement (Runway Growth Finance Corp.), Underwriting Agreement (Bain Capital Specialty Finance, Inc.), Underwriting Agreement (TCG Bdc, Inc.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx1940 Act) of the Company or an “affiliated person” (as defined in the 0000 Xxx1940 Act) of any of the UnderwritersSales Agent.

Appears in 6 contracts

Samples: Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.), Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.), Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 Xxx) of any of the UnderwritersDistribution Managers.

Appears in 6 contracts

Samples: Distribution Agreement (Goldman Sachs BDC, Inc.), Equity Distribution Agreement (Goldman Sachs BDC, Inc.), Terms Agreement (Ares Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and Statement or the Prospectus (Ai) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (Bii) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 1000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 1000 Xxx) of any of the UnderwritersAgent except as otherwise disclosed in the Registration Statement or the Prospectus.

Appears in 5 contracts

Samples: Equity Distribution Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Prospectus and the Disclosure Package and the Prospectus (Ai) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (Bii) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 1000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 1000 Xxx) of any of the UnderwritersUnderwriters except as otherwise disclosed in the Registration Statement.

Appears in 5 contracts

Samples: Prospect Capital Corp, Prospect Capital Corp, Prospect Energy Corp

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the CompanyTCP Entities, no director of the Company is an “interested person” (as defined in the 0000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 Xxx) of any of the Underwriters.

Appears in 5 contracts

Samples: Underwriting Agreement (BlackRock TCP Capital Corp.), Underwriting Agreement (BlackRock TCP Capital Corp.), Underwriting Agreement (BlackRock TCP Capital Corp.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an "interested person" (as defined in the 0000 Xxx) of the Company or an "affiliated person" (as defined in the 0000 Xxx) of any of the Underwriters.

Appears in 4 contracts

Samples: Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an "interested person" (as defined in the 0000 Xxx) of the Company or an "affiliated person" (as defined in the 0000 Xxx) of any of the Underwriters.

Appears in 4 contracts

Samples: Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 Xxx) of any of the UnderwritersSales Agent.

Appears in 4 contracts

Samples: Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.), Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.), Equity Distribution Agreement (PennantPark Floating Rate Capital Ltd.)

Interested Persons. Except as disclosed in the Registration Statement, the General Prospectus and the Disclosure Package and the Prospectus (Ai) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (Bii) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 Xxx) of any of the UnderwritersUnderwriters except as otherwise disclosed in the Registration Statement.

Appears in 3 contracts

Samples: Underwriting Agreement (Gladstone Capital Corp), Administration Agreement (Prospect Capital Corp), Prospect Capital Corp

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, (A) no person is serving or acting as an officer, director or investment adviser of the Company, Company except in accordance with the provisions of the 1940 Investment Company Act and the Advisers Act, Act and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 XxxInvestment Company Act) of the Company or an “affiliated person” (as defined in the 0000 XxxInvestment Company Act) of any of the Underwriters.

Appears in 3 contracts

Samples: Underwriting Agreement (WhiteHorse Finance, Inc.), Underwriting Agreement (WhiteHorse Finance, Inc.), Underwriting Agreement (WhiteHorse Finance, Inc.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx1940 Act) of the Company or an “affiliated person” (as defined in the 0000 Xxx1940 Act) of any of the Underwriters.

Appears in 2 contracts

Samples: Underwriting Agreement (Runway Growth Finance Corp.), Underwriting Agreement (Runway Growth Finance Corp.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus Prospectus, (A) no person is serving or acting as an officer, director or investment adviser of the Company, Company except in accordance with the provisions of the 1940 Investment Company Act and the Advisers Act, Act and (B) ), to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 XxxInvestment Company Act) of the Company or an “affiliated person” (as defined in the 0000 XxxInvestment Company Act) of any of the UnderwritersSales Agent.

Appears in 2 contracts

Samples: Equity Distribution Agreement (WhiteHorse Finance, Inc.), Equity Distribution Agreement (WhiteHorse Finance, Inc.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Prospectus and the Prospectus Pre-pricing Prospectus, (Ai) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (Bii) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx1940 Act) of the Company or an “affiliated person” (as defined in the 0000 Xxx1940 Act) of any of the Underwriters.

Appears in 2 contracts

Samples: Purchase Agreement (PennantPark Floating Rate Capital Ltd.), Purchase Agreement (Pennantpark Investment Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 1000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 1000 Xxx) of any of the Underwriters.

Appears in 2 contracts

Samples: Underwriting Agreement (Runway Growth Finance Corp.), Underwriting Agreement (Runway Growth Finance Corp.)

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Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, (A) no person is serving or acting as an officer, director or investment adviser of the Company, Company except in accordance with the provisions of the 1940 Investment Company Act and the Advisers Act, Act and (B) ), to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 XxxInvestment Company Act) of the Company or an “affiliated person” (as defined in the 0000 XxxInvestment Company Act) of any of the Underwriters.

Appears in 2 contracts

Samples: Underwriting Agreement (WhiteHorse Finance, Inc.), Underwriting Agreement (WhiteHorse Finance, Inc.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, (A) no person is serving or acting as an officer, director or investment adviser of the Company, Company except in accordance with the provisions of the 1940 Act and the Advisers Act, Act and (B) ), to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 Xxx) of any of the Underwriters.

Appears in 2 contracts

Samples: Underwriting Agreement (WhiteHorse Finance, Inc.), Underwriting Agreement (WhiteHorse Finance, LLC)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and Statement or the Prospectus (Ai) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (Bii) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 Xxx) of any of Agent except as otherwise disclosed in the UnderwritersRegistration Statement or the Prospectus.

Appears in 2 contracts

Samples: Debt Distribution Agreement (Prospect Capital Corp), Debt Distribution Agreement (Prospect Capital Corp)

Interested Persons. Except as disclosed in the Registration StatementProspectus, the General Disclosure Package and the Prospectus Registration Statement, (A) no person is serving or acting as an officer, director or investment adviser of the Company, Company except in accordance with the provisions of the 1940 Act and the Advisers Act, Act and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 Xxx) of any of the Underwriters.

Appears in 1 contract

Samples: Purchase Agreement (THL Credit, Inc.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx1940 Act) of the Company or an “affiliated person” (as defined in the 0000 Xxx1940 Act) of any of the UnderwritersDistribution Manager.

Appears in 1 contract

Samples: Distribution Agreement (Goldman Sachs BDC, Inc.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, (A) no person is serving or acting as an officer, director or investment adviser of the Company, Company except in accordance with the provisions of the 1940 Act and the Advisers Act, Act and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx1940 Act) of the Company or an “affiliated person” (as defined in the 0000 Xxx1940 Act) of any of the Underwriters.

Appears in 1 contract

Samples: Underwriting Agreement (WhiteHorse Finance, Inc.)

Interested Persons. Except as disclosed in the Registration Statement, the General Prospectus and the Disclosure Package and the Prospectus (Ai) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (Bii) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 1940 Xxx) of xx the Company or an “affiliated person” (as defined in the 0000 1940 Xxx) of any of xx the UnderwritersPlacement Agent except as otherwise disclosed in the Registration Statement.

Appears in 1 contract

Samples: Placement Agreement (Gladstone Capital Corp)

Interested Persons. Except as disclosed in the Registration StatementStatement or the Prospectus, the General Disclosure Package and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an "interested person" (as defined in the 0000 Xxx) of the Company or an "affiliated person" (as defined in the 0000 Xxx) of any of the UnderwritersDealer Managers.

Appears in 1 contract

Samples: Manager Agreement (Ares Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, (Ai) no person is serving or acting as an officer, officer or director or investment adviser of the Company, Company except in accordance with the provisions of the 1940 Investment Company Act and the Advisers Act, and (Bii) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 XxxInvestment Company Act) of the Company or an “affiliated person” (as defined in the 0000 XxxInvestment Company Act) of any of the UnderwritersUnderwriter.

Appears in 1 contract

Samples: Underwriting Agreement (Patriot Capital Funding, Inc.)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 1900 Xxx) of the Company or an “affiliated person” (as defined in the 0000 1900 Xxx) of any of the Underwriters.

Appears in 1 contract

Samples: Purchase Agreement (Ares Capital Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Prospectus and the Disclosure Package and the Prospectus (Axiv) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (Bxv) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 Xxx) of any of the UnderwritersUnderwriters except as otherwise disclosed in the Registration Statement.

Appears in 1 contract

Samples: Prospect Capital Corp

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (Ai) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (Bii) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 1000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 1000 Xxx) of any of the Underwriters.

Appears in 1 contract

Samples: Gladstone Investment Corporation\de

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package Statement and the Prospectus (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and the applicable published rules and regulations thereunder and (B) to the knowledge of the Company, no director of the Company is an "interested person" (as defined in the 0000 Xxx) of the Company or an "affiliated person" (as defined in the 0000 Xxx) of any of the Underwriters.

Appears in 1 contract

Samples: Blackridge Investment Corp

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus Prospectus, (A) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (B) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 1000 Xxx) of the Company or an “affiliated person” (as defined in the 0000 1000 Xxx) of any of the Underwriters.

Appears in 1 contract

Samples: Purchase Agreement (Tortoise Capital Resources Corp)

Interested Persons. Except as disclosed in the Registration Statement, the General Disclosure Package and Statement or the Prospectus (Ai) no person is serving or acting as an officer, director or investment adviser of the Company, except in accordance with the provisions of the 1940 Act and the Advisers Act, and (Bii) to the knowledge of the Company, no director of the Company is an “interested person” (as defined in the 0000 1940 Xxx) of xf the Company or an “affiliated person” (as defined in the 0000 1940 Xxx) of any of xf the UnderwritersAgent except as otherwise disclosed in the Registration Statement or the Prospectus.

Appears in 1 contract

Samples: Equity Distribution Agreement (Prospect Capital Corp)

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