SECOND RESTRUCTURING AGREEMENT AND AMENDMENT NO. 6 TO NOTE PURCHASE AGREEMENT Second Restructuring Agreement and Amendment No. 6 to Note Purchase Agreement, dated as of November 6, 2007 (this "AMENDMENT"), by and between GenuTec Business Solutions,...Note Purchase Agreement • November 8th, 2007 • Technology Investment Capital Corp • Services-business services, nec • New York
UNDERWRITING AGREEMENT UNDERWRITING AGREEMENTUnderwriting Agreement • November 19th, 2003 • Technology Investment Capital Corp • New York
WITNESSETH:Sub-Advisory Agreement • November 19th, 2003 • Technology Investment Capital Corp • New York
AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • November 19th, 2003 • Technology Investment Capital Corp • New York
ARTICLE I DEFINITIONS -----------Credit Agreement • May 24th, 2005 • Technology Investment Capital Corp • New York
FORM OF CUSTODY AGREEMENT] CUSTODY AGREEMENT dated as of August 28, 2014 by and between TICC Capital Corp. (“Company”) and U.S. BANK NATIONAL ASSOCIATION (“Custodian”)Custody Agreement • November 6th, 2014 • TICC Capital Corp. • New York
This CUSTODY AGREEMENT (this “Agreement”) is dated as of August 25, 2014, and is by and between TICC CAPITAL CORP. (and any successor or permitted assign, the “Company”), a corporation organized under the laws of the State of Maryland, having its principal place of business at 8 Sound Shore Drive, Suite 255, Greenwich, CT 06830, and U.S. BANK NATIONAL ASSOCIATION (and any successor or permitted assign acting as custodian hereunder, the “Custodian”), a national banking association having a place of business at One Federal Street, 3rd Floor, Boston, MA 02110.
TICC CAPITAL CORP.,Indenture • September 27th, 2012 • TICC Capital Corp. • New York
INDENTURE, dated as of September 26, 2012 (this “Indenture”), between TICC CAPITAL CORP., a corporation organized under the laws of Maryland, as issuer (the “Company”), and THE BANK OF NEW YORK MELLON, a New York banking corporation, as trustee (herein, together with its permitted successors and assigns in the trusts hereunder, the “Trustee”).
COLLATERAL MANAGEMENT AGREEMENT dated as of August 23, 2012 by and between TICC CLO 2012-1 LLC as Issuer and TICC CAPITAL CORP. as Collateral ManagerCollateral Management Agreement • August 23rd, 2012 • TICC Capital Corp. • New York
This Collateral Management Agreement (as amended, supplemented or otherwise modified from time to time, this “Agreement”), dated as of August 23, 2012, is entered into by and between TICC CLO 2012-1 LLC, a Delaware limited liability company, with its office located at 8 Sound Shore Drive, Suite 255, Greenwich, CT 06830 (the “Issuer”), and TICC CAPITAL CORP., a Maryland corporation, located at 8 Sound Shore Drive, Suite 255, Greenwich, CT 06830, as collateral manager (together with its successors and permitted assigns, “TICC Capital” and the “Collateral Manager”).
OXFORD SQUARE CAPITAL CORP.Underwriting Agreement • May 14th, 2021 • Oxford Square Capital Corp. • New York
Oxford Square Capital Corp., a corporation incorporated under the laws of the State of Maryland (the “Fund”), is a non-diversified closed-end management investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Fund proposes to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) $70,000,000 aggregate principal amount of its 5.50% Notes Due 2028 (the “Notes”). The Securities will be issued under an indenture dated as of April 12, 2017 by and between the Fund and U.S. Bank National Association, as trustee (the “Trustee”), as amended and supplemented by that certain Third Supplemental Indenture to be dated as of or about May 20, 2021 (such indenture, as amended and supplemented, the “Indenture”). The Fund also proposes to sell to the several Underwriters up to an additional $10,500,000 aggregate principal amount of Notes (the “Addition
CREDIT AND SECURITY AGREEMENTCredit and Security Agreement • June 22nd, 2018 • Oxford Square Capital Corp. • New York
CREDIT AND SECURITY AGREEMENT, dated as of June 21, 2018, among OXFORD SQUARE FUNDING 2018, LLC, a Delaware limited liability company, as borrower (the “Borrower”), OXFORD SQUARE CAPITAL CORP., a Maryland corporation, as the sole equityholder of the Borrower (in such capacity, the “Equityholder”), the LENDERS from time to time party hereto, CITIBANK, N.A. (“Citibank”), as administrative agent for the Secured Parties (as hereinafter defined) (in such capacity, the “Administrative Agent”), THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION (“BNYM”), as collateral agent for the Secured Parties (as hereinafter defined) (in such capacity, the “Collateral Agent”) and as collateral custodian for the Secured Parties (in such capacity, the “Custodian”) and OXFORD SQUARE CAPITAL CORP., a Maryland corporation, as collateral manager (in such capacity, the “Collateral Manager”).
INDENTURE by and between TICC CLO 2012-1 LLC Issuer and THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION Trustee Dated as of August 23, 2012Indenture • August 23rd, 2012 • TICC Capital Corp. • New York
INDENTURE, dated as of August 23, 2012, by and between TICC CLO 2012-1 LLC, a Delaware limited liability company (the “Issuer”) and THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION, a limited purpose national banking association with trust powers, as trustee (herein, together with its permitted successors and assigns in the trusts hereunder, the “Trustee”).
Subscription Agent Agreement Between Oxford Square Capital Corp. And Computershare Trust Company, N.A. And Computershare Inc.Subscription Agent Agreement • May 31st, 2023 • Oxford Square Capital Corp. • New York
This SUBSCRIPTION AGENT AGREEMENT (this “Agreement”), dated as of May 24, 2023 (the “Effective Date”), is by and between Oxford Square Capital Corp., a Marlyand corporation ("Company"), and Computershare Trust Company, N.A., a federally chartered trust company (“Trust Company”), and Computershare Inc., a Delaware corporation (“Computershare”, and together with Trust Company, “Agent”).
OXFORD SQUARE CAPITAL CORP. Common Stock, par value $0.01 per share EQUITY DISTRIBUTION AGREEMENTEquity Distribution Agreement • August 1st, 2019 • Oxford Square Capital Corp. • New York
OXFORD SQUARE CAPITAL CORP. Up to 16,633,723 Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares of Common Stock DEALER MANAGER AGREEMENTDealer Manager Agreement • May 31st, 2023 • Oxford Square Capital Corp. • New York
Oxford Square Capital Corp., a Maryland corporation (the “Company”), Oxford Square Management, LLC, a Delaware limited liability company (the “Adviser”), and Oxford Funds, LLC, a Delaware limited liability company (the “Administrator”), each confirms its agreement (the “Agreement”) with and appointment of Ladenburg Thalmann & Co. Inc. (“Ladenburg”) to act as dealer manager (the “Dealer Manager”) in connection with the issuance by the Company to the holders of record (the “Holders”) at 5:00 p.m. (New York City time) on May 23, 2023 (the “Record Date”) or such other date as is established as the record date for such purpose of shares of common stock, par value $0.01 per share (the “Common Stock”), of the Company, of transferable rights entitling Holders to subscribe collectively for up to an aggregate of up to 16,633,723 whole shares (each, a “Share” and, collectively, the “Shares”) of Common Stock (the “Rights Offering”). Pursuant to the terms of the Rights Offering, the Company is issu
Form of Underwriting Agreement] TICC Capital Corp. 6,000,000 Shares Common Stock, $.01 par value per shareUnderwriting Agreement • March 18th, 2014 • TICC Capital Corp. • New York
TICC Capital Corp., a Maryland corporation (the “Company”), the Company’s investment adviser, TICC Management, LLC, a Delaware limited liability company (the “Adviser”), and the Company’s administrator, BDC Partners, LLC, a Delaware limited liability company (“BDC Partners”), confirm their agreement with each of the several underwriters named in Schedule I hereto (the “Underwriters”) with respect to (i) the issuance and sale by the Company and the purchase by the Underwriters, acting severally and not jointly, of 6,000,000 shares (the “Firm Shares”) of the Company’s common stock, par value $0.01 per share (the “Common Stock”), and (ii) the grant by the Company to the Underwriters, acting severally and not jointly, of an option to purchase up to an additional 900,000 shares of Common Stock (the “Optional Shares”) as provided in Section 3(b). The Firm Shares and, if and to the extent such option is exercised, the Optional Shares, are collectively called, the “Shares.” Barclays Capital In
CUSTODIAN AGREEMENT This Agreement between TECHNOLOGY INVESTMENT CAPITAL CORP. a corporation organized and existing under the laws of the State of Maryland (the "FUND"), and STATE STREET BANK AND TRUST COMPANY, a Massachusetts- chartered trust company...Custodian Agreement • November 19th, 2003 • Technology Investment Capital Corp • Massachusetts
FORM OF SUBSCRIPTION AGENT AGREEMENT] SUBSCRIPTION AGENT AGREEMENTSubscription Agent Agreement • May 15th, 2008 • TICC Capital Corp. • New York
This Subscription Agent Agreement (this “Agreement”) is made as of [ ], 2008, by and among TICC Capital Corp., a Maryland corporation (the “Company”), Computershare, Inc., a Delaware corporation (“Computershare”), its fully owned subsidiary Computershare Trust Company, N.A., a national banking association (the “Trust Company” and, together with Computershare, the “Agent”), and relates to the registration statement on Form N-2, File No. 333-149894, filed by the Company with the Securities and Exchange Commission (the “Commission”) on March 26, 2008, and as amended on [ ], 2008 (in the form such registration statement was declared effective by the Commission on [ ], 2008, the “Registration Statement”) and the related prospectus, dated as of [ ], 2008 (the “Prospectus”). Capitalized terms not otherwise defined herein shall have the meanings given to them in the Subscription Certificate (as defined below).
TICC CLO 2012-1 LLC NOTES U.S.$ 88,000,000 Class A-1 Senior Secured Floating Rate Notes due 2023 U.S.$10,000,000 CLASS B-1 SENIOR SECURED FLOATING RATE NOTES DUE 2023Purchase Agreement • August 23rd, 2012 • TICC Capital Corp. • New York
COLLATERAL ADMINISTRATION AGREEMENTCollateral Administration Agreement • June 22nd, 2018 • Oxford Square Capital Corp. • New York
This COLLATERAL ADMINISTRATION AGREEMENT, dated as of June 21, 2018 (this “Agreement”), is entered into by and among OXford square funding 2018, LLC, a limited liability company formed under the laws of the State of Delaware (the “Borrower”), OXFORD SQUARE CAPITAL CORP., a Maryland corporation, as collateral manager (in such capacity, the “Collateral Manager”), and THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION (“BNYM”), as collateral administrator under and for purposes of this Agreement (in such capacity, the “Collateral Administrator”).
MASTER LOAN SALE AGREEMENT among TICC CAPITAL CORP., as the Originator, TICC CAPITAL CORP. 2011-1 HOLDINGS, LLC, as the Depositor, and TICC CLO LLC, as the Issuer Dated as of August 10, 2011Master Loan Sale Agreement • August 11th, 2011 • TICC Capital Corp. • New York
THIS MASTER LOAN SALE AGREEMENT, dated as of August 10, 2011 (as amended, modified, restated, or supplemented from time to time, this “Agreement”), is made by and among TICC CAPITAL CORP., a Maryland corporation (together with its successors and assigns in such capacity, the “Originator”), TICC CAPITAL CORP. 2011-1 HOLDINGS, LLC, a Delaware limited liability company (together with its successors and assigns in such capacity, the “Depositor”), and TICC CLO LLC, a Delaware limited liability company (together with its successors and assigns in such capacity, the “Issuer”).
AMENDED AND RESTATED CREDIT AGREEMENT AMONG TECHNOLOGY INVESTMENT CAPITAL CORP., AS BORROWER, THE FINANCIAL INSTITUTIONS WHOSE NAMES APPEAR AS LENDERS ON THE SIGNATURE PAGES HEREOF, AND ROYAL BANK OF CANADA, AS ADMINISTRATIVE AGENT Dated as of April...Credit Agreement • April 14th, 2006 • Technology Investment Capital Corp • New York
THIS AMENDED AND RESTATED CREDIT AGREEMENT dated as of April 11, 2006 (the “Agreement”) by and among TECHNOLOGY INVESTMENT CAPITAL CORP., a corporation organized under the laws of the State of Maryland (the “Borrower”), each of the financial institutions initially a signatory hereto together with their assignees pursuant to Section 12.5(d) (each a “Lender” and collectively, the “Lenders”) and ROYAL BANK OF CANADA, as Administrative Agent (the “Agent”).
TICC CLO 2012-1 LLC SUBORDINATED NOTES DUE 2023 SUBORDINATED NOTE PURCHASE AGREEMENT By and Between TICC CLO 2012-1 LLC Issuer and TICC Capital Corp. Purchaser Dated as of May 28, 2013Subordinated Note Purchase Agreement • May 29th, 2013 • TICC Capital Corp. • New York
TICC Capital Corp. 8 Sound Shore Drive, Suite 255 Greenwich, CT 06830 Attention: Saul Rosenthal Facsimile No. (203) 983-5290 Email: srosenthal@ticc.com
SALE, CONTRIBUTION AND MASTER PARTICIPATION AGREEMENT by and between OXFORD SQUARE FUNDING 2018, LLC, as the Buyer and OXFORD SQUARE CAPITAL CORP., as the Seller October 12, 2018Sale, Contribution and Master Participation Agreement • October 12th, 2018 • Oxford Square Capital Corp. • New York
THIS SALE, CONTRIBUTION AND MASTER PARTICIPATION AGREEMENT (such agreement as amended, modified, supplemented or restated from time to time, the “Agreement”) is dated as of October 12, 2018 (the “Purchase Date”), by and between OXFORD SQUARE CAPITAL CORP., a Maryland corporation, as the seller (in such capacity, the “Seller”) and OXFORD SQUARE FUNDING 2018, LLC, a Delaware limited liability company, as the buyer (in such capacity, the “Buyer”).
SECOND SUPPLEMENTAL INDENTURE between OXFORD SQUARE CAPITAL CORP. and as Trustee Dated as of April 3, 2019 SECOND SUPPLEMENTAL INDENTURESecond Supplemental Indenture • April 3rd, 2019 • Oxford Square Capital Corp. • New York
THIS SECOND SUPPLEMENTAL INDENTURE (this “Second Supplemental Indenture”), dated as of April 3, 2019, is between Oxford Square Capital Corp., 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).
COLLATERAL ADMINISTRATION AGREEMENTCollateral Administration Agreement • August 23rd, 2012 • TICC Capital Corp. • New York
This COLLATERAL ADMINISTRATION AGREEMENT, dated as of August 23, 2012 (this “Agreement”) is entered into by and among TICC CLO 2012-1 LLC, a Delaware limited liability company (the “Issuer”), TICC Capital Corp., a Maryland corporation, in its capacity as collateral manager (the “Collateral Manager”), and The Bank of New York Mellon Trust Company, National Association, a limited purpose national banking association with trust powers (“BNY”), in its capacity as collateral administrator (the “Collateral Administrator”).
OXFORD SQUARE CAPITAL CORP. Common Stock, par value $0.01 per share AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENTEquity Distribution Agreement • August 16th, 2024 • Oxford Square Capital Corp. • New York
AmongTransfer Agency and Service Agreement • November 19th, 2003 • Technology Investment Capital Corp • Massachusetts
ADMINISTRATION AGREEMENT AGREEMENT made as of August [ ], 2003 by and between Technology Investment Capital Corp., a Maryland corporation (hereinafter referred to as the "Corporation"), and BDC Partners, LLC, a Delaware limited liability company,...Administration Agreement • November 19th, 2003 • Technology Investment Capital Corp • New York
AMENDED AND RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • May 10th, 2012 • TICC Capital Corp. • New York
AGREEMENT made as of April 24, 2012 by and between TICC Capital Corp., a Maryland corporation (the “Corporation”), and BDC Partners, LLC, a Delaware limited liability company, (the “Administrator”).
TICC CAPITAL CORP. Common Stock, $.01 par value per share EQUITY DISTRIBUTION AGREEMENTEquity Distribution Agreement • November 19th, 2010 • TICC Capital Corp. • New York
FORM OF PROSPECTUS SUPPLEMENT TO BE USED IN CONJUNCTION WITH FUTURE AT-THE- MARKET COMMON STOCK OFFERINGS]Equity Distribution Agreement • February 1st, 2012 • TICC Capital Corp.
We have entered into an equity distribution agreement, dated , 20 , with relating to the shares of common stock offered by this prospectus supplement and the accompanying prospectus. We are a closed-end, non-diversified management investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended. We are principally engaged in providing capital to primarily non-public small to mid-size companies. Our investment objective is to maximize our portfolio’s total return.
FORM OF UNDERWRITING AGREEMENT] Technology Investment Capital Corp. Common Stock, $.01 par value per shareUnderwriting Agreement • November 22nd, 2005 • Technology Investment Capital Corp • New York
Technology Investment Capital Corp., a Maryland corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters”), an aggregate of [ ] shares (the “Firm Shares”) of the Company’s common stock, $.01 par value per share (the “Common Stock”), and, at the election of the Underwriters, up to [ ] additional shares (the “Optional Shares”) of Common Stock of the Company (the Firm Shares and the Optional Shares that the Underwriters elect to purchase pursuant to Section 2 hereof being collectively called the “Shares”).
THIRD AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENTCredit Agreement • February 5th, 2008 • TICC Capital Corp. • New York
THIS THIRD AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”) is entered into as of this 31st day of January, 2008 (the “Effective Date”), by and among TICC CAPITAL CORP., a Maryland corporation (f/k/a/ Technology Investment Capital Corp.) (the “Borrower”), the Lenders (as defined in the Credit Agreement defined below) and ROYAL BANK OF CANADA, as agent (in such capacity, the “Agent”) for the Lenders.
TRANSFER AND AGREEMENTTransfer Agreement • February 23rd, 2006 • Technology Investment Capital Corp • New York
This Transfer and Agreement (the “Transfer and Agreement”) is dated as of the Effective Date set forth below and is entered into by and among (a) Bayerische Hypo-und Vereinsbank AG, New York Branch (“HVB”), in its capacity as Administrative Agent for the lenders (the “Resigning Agent”) pursuant to the Credit Agreement dated as of May 18, 2005, as amended to date (as amended, supplemented or otherwise modified from time to time, the “Credit Agreement”), among Technology Investment Capital Corp. (the “Borrower”), the several banks and other financial institutions from time to time party thereto (collectively, the “Lenders”) and the Resigning Agent as administrative agent for the Lenders, (b) Royal Bank of Canada (“RBC”) in its capacity as successor agent (in such capacity, the “Successor Agent”), (c) HVB in its capacity as a Lender, (d) RBC in its capacity as a Lender, and (e) the Borrower. Capitalized terms used but not defined herein shall have the meanings given to them in the Credit
THIRD SUPPLEMENTAL INDENTURE between OXFORD SQUARE CAPITAL CORP. and as Trustee Dated as of May 20, 2021 THIRD SUPPLEMENTAL INDENTUREThird Supplemental Indenture • May 20th, 2021 • Oxford Square Capital Corp. • New York
THIS THIRD SUPPLEMENTAL INDENTURE (this “Third Supplemental Indenture”), dated as of May 20, 2021, is between Oxford Square Capital Corp., 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).
