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: Purchase Agreement (Ares Capital Corp), Underwriting Agreement (PennantPark Floating Rate Capital Ltd.), Underwriting Agreement (Goldman Sachs BDC, 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 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), Underwriting Agreement (Goldman Sachs BDC, Inc.), 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 Xxx1940 Act) of the Company or an “affiliated person” (as defined in the 0000 Xxx1940 Act) of any of the UnderwritersDistribution Managers.
Appears in 15 contracts
Samples: Equity Distribution Agreement (Ares Capital Corp), Equity Distribution Agreement (Ares Capital Corp), Equity Distribution 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 Xxx1940 Act) of the Company or an “affiliated person” (as defined in the 0000 Xxx1940 Act) of any of the UnderwritersSales Agent.
Appears in 11 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 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 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: Purchase Agreement (Ares Capital Corp), Purchase Agreement (Ares Capital Corp), Purchase 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: Underwriting Agreement (THL Credit, Inc.), Debt Underwriting Agreement (THL Credit, Inc.), Underwriting 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 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: Equity Distribution Agreement (Ares Capital Corp), Equity Distribution Agreement (Ares Capital Corp), Equity Distribution 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 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 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 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 UnderwritersDistribution Managers.
Appears in 6 contracts
Samples: Equity Distribution Agreement (Goldman Sachs BDC, Inc.), Equity Distribution Agreement (Goldman Sachs BDC, Inc.), Equity Distribution 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 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 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: Underwriting Agreement (Prospect Capital Corp), Underwriting Agreement (Prospect Capital Corp), Underwriting Agreement (Prospect 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 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 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 4 contracts
Samples: Underwriting Agreement (CION Investment Corp), 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 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), Underwriting Agreement (Prospect Capital Corp), Underwriting 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 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 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 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 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 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.)
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
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 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: Underwriting Agreement (Gladstone Investment Corporation\de)
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 Underwriters.
Appears in 1 contract
Samples: Underwriting Agreement (Patriot Capital Funding, Inc.)
Interested Persons. Except as disclosed in the Registration StatementStatement and any 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, 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 UnderwritersDealer Manager.
Appears in 1 contract
Samples: Dealer Manager Agreement (WhiteHorse Finance, Inc.)
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
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)
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
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
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 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
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
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 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 (BlackRock TCP 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 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