INDEMNIFICATION AGREEMENTIndemnification Agreement • August 12th, 2015 • Bdca Venture, Inc. • Maryland
THIS INDEMNIFICATION AGREEMENT (this “Agreement”) is made and entered into as of this __ day of ___________, 201_, by and between BDCA Venture, Inc., a Maryland corporation (the “Company”), and the undersigned (“Indemnitee”).
DEALER MANAGER AGREEMENT KEATING CAPITAL, INC. Up to $100,000,000 in Shares of Common Stock, $0.001 par value per share June 4, 2009Selected Dealer Agreement • June 5th, 2009 • Keating Capital Inc • Colorado
Keating Capital, Inc., a Maryland corporation (the “Company”), has registered for public sale (the “Offering”) a maximum of $100,000,000 in shares of its common stock, $0.001 par value per share (the “Common Stock”), to be issued and sold to the public on a “best efforts” basis (the “Offered Shares”) through you as the managing dealer (the “Dealer Manager”) and the broker-dealers participating in the offering (the “Selected Dealers”) at an initial offering price of $10.00 per share (subject in certain circumstances to discounts based upon the volume of shares purchased or other special circumstances). Terms not otherwise defined herein shall have the same meaning as in the Prospectus, as that term is defined in Section 2.1 below.
FORM OF DEALER MANAGER AGREEMENT] KEATING CAPITAL, INC. Up to Approximately [2,945,113] Shares of Common Stock Issuable Upon Exercise of Non-Transferable Rights to Subscribe for Such Shares of Common Stock DEALER MANAGER AGREEMENTDealer Manager Agreement • November 1st, 2013 • Keating Capital Inc • New York
Keating Capital, Inc., a Maryland corporation (the “Company”) and Keating Investments, LLC, a Delaware limited liability company (the “Adviser”), each confirms its 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 ● (the “Record Date”) or such other date as is established as the record date for such purpose of shares of common stock, par value $0.001 per share (the “Common Stock”), of the Company, of non-transferable rights entitling Holders to subscribe collectively for up to an aggregate of up to approximately [2,945,113] 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 issuing each Holder one non-transferable right (each, a “Right” and, collectively, the “Rights”) for eve
FORM OF INDEMNIFICATION AGREEMENT] INDEMNIFICATION AGREEMENTIndemnification Agreement • June 5th, 2009 • Keating Capital Inc • Maryland
THIS INDEMNIFICATION AGREEMENT (this “Agreement”) is made and entered into this ___ day of __________, 2009, by and between Keating Capital, Inc., a Maryland corporation (the “Company”), and the undersigned (“Indemnitee”).
FUND ACCOUNTING SERVICING AGREEMENTFund Accounting Servicing Agreement • November 16th, 2015 • Bdca Venture, Inc. • New York
THIS AGREEMENT is made and entered into as of this 10th day of November, 2015, by and between BDCA VENTURE, INC., a Maryland corporation (the “Fund”), and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”).
STOCK PURCHASE AGREEMENTStock Purchase Agreement • March 31st, 2017 • Crossroads Capital, Inc. • California
THIS STOCK PURCHASE AGREEMENT (the “Agreement”) is made and entered into as of December __7_, 2016 by and among Novirian Pacific, LP and Novirian Palomar, LP (together, the “Buyers” and each, a “Buyer”), Crossroads Capital, Inc., formerly known as Keating Capital, Inc. (“Seller”), and for purposes of Section 4 only, Centrify Corporation, a Delaware corporation (the “Company”).
INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENT BETWEEN BDCA VENTURE, INC. AND BDCA VENTURE ADVISER, LLCAgreement • July 1st, 2014 • Bdca Venture, Inc. • New York
This Agreement (this “Agreement”) made this 1st day of July, 2014 (the “Effective Date”), by and between BDCA VENTURE, INC. f/k/a KEATING CAPITAL, INC., a Maryland corporation (the “Company”), and BDCA VENTURE ADVISER, LLC f/k/a KEATING INVESTMENTS, LLC, a Delaware limited liability company (the “Adviser”).
FIRST AMENDMENT TO LIQUIDATING TRUST AGREEMENTLiquidating Trust Agreement • June 23rd, 2020 • Crossroads Liquidating Trust • Maryland
THIS FIRST AMENDMENT TO LIQUIDATING TRUST AGREEMENT (“Amendment”) is dated as of June 23, 2020 (the “Effective Date”), by Crossroads Liquidating Trust, a Maryland statutory trust (the “Trust”) and Andrew Dakos, Phillip Goldstein and Gerald Hellerman (collectively, the “Trustees”).
Second Amendment to Custody AgreementSecond Amendment • September 29th, 2014 • Bdca Venture, Inc.
This Second Amendment to that certain Custody Agreement by and between Keating Capital, Inc. n/k/a BDCA Venture, Inc. (“BDCA Venture”) and Steele Street Bank & Trust (the “Custodian”) dated November 18, 2008, as amended on December 21, 2012 (the “Custody Agreement”) is hereby entered into by BDCA Venture and the Custodian as of September 24, 2014.
ADMINISTRATOR CONSULTING AGREEMENTAdministrator Consulting Agreement • November 16th, 2015 • Bdca Venture, Inc. • Maryland
THIS AGREEMENT is made as of this 13th day of November, 2015, by and between BDCA Venture, Inc. (the “Fund”), a Maryland corporation, and 1100 Capital Consulting, LLC (the “Administrator”), a Nebraska limited liability company.
Custodial AgreementCustodial Agreement • March 29th, 2016 • Crossroads Capital, Inc.
You, the undersigned, enter into this Custodial Agreement (this “Agreement”) with Frontier Bank, a Nebraska banking corporation (“we” or “us”).
ADMINISTRATION SERVICING AGREEMENTAdministration Servicing Agreement • November 16th, 2015 • Bdca Venture, Inc. • New York
THIS AGREEMENT is made and entered into as of this 10th day of November, 2015, by and between BDCA VENTURE, INC., a Maryland corporation (the “Fund”), and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”).
INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENT BETWEEN KEATING CAPITAL, INC. AND KEATING INVESTMENTS, LLCInvestment Advisory And • November 20th, 2008 • Keating Capital Inc • New York
This Agreement (the “Agreement”) made this 28th day of July, 2008, by and between KEATING CAPITAL, INC, a Maryland company (the “Company”), and KEATING INVESTMENTS, LLC, a Delaware limited liability company (the “Adviser”).
COMMON STOCK PURCHASE AGREEMENTCommon Stock Purchase Agreement • November 20th, 2008 • Keating Capital Inc • Maryland
AGREEMENT entered into as of the 12th day of May, 2008, by and between Keating Capital, Inc., a Maryland corporation with an address at 5251 DTC Parkway, Suite 1000, Greenwood Village, CO 80111 (the “Company”) and Keating Investments, LLC, a Delaware limited liability company with an address at 5251 DTC Parkway, Suite 1000, Greenwood Village, CO 80111 (the “Purchaser”).
REPURCHASE AGREEMENTRepurchase Agreement • March 31st, 2017 • Crossroads Capital, Inc. • Delaware
This Repurchase Agreement (the “Agreement”) is entered into as of November 29, 2016 (the “Effective Date”) by and between Metabolon, Inc., a Delaware corporation (the “Company”), and the undersigned stockholder of the Company (the “Seller”).
CUSTODY AGREEMENTCustody Agreement • November 20th, 2008 • Keating Capital Inc • Colorado
AGREEMENT, dated as of November 18, 2008 between each entity listed on Exhibit A hereto, each such entity having its principal office and place of business at 5251 DTC Parkway, Suite 1000, Greenwood Village, CO 80111 (”Keating Capital”) and Steele Street Bank & Trust, a Colorado corporation authorized to do a banking business having its principal office and place of business at 55 Adams Street, Denver, CO 80206 (“Custodian”).
LIQUIDATING TRUST AGREEMENTLiquidating Trust Agreement • June 23rd, 2017 • Crossroads Capital, Inc. • Maryland
THIS LIQUIDATING TRUST AGREEMENT (this “Agreement”) is dated as of June 23, 2017 (the “Effective Date”), by and among Crossroads Capital, Inc. (the ”Company”), and Andrew Dakos, Phillip Goldstein and Gerald Hellerman (collectively, and including any successors thereto, the “Trustees”).
TRADEMARK SUBLICENSE AGREEMENTTrademark Sublicense Agreement • July 1st, 2014 • Bdca Venture, Inc. • New York
This TRADEMARK SUBLICENSE AGREEMENT (this "Agreement") is made and effective as of July 1, 2014 (the "Effective Date") by and between BDCA Venture Adviser, LLC (formerly known as Keating Investments, LLC), a limited liability company organized under the laws of the State of Delaware (the "Licensor"), and BDCA Venture, Inc. (formerly known as Keating Capital, Inc.), a corporation organized under the laws of the State of Maryland (the "Sublicensee") (each a "party," and collectively, the "parties").
SECURITIES TRANSFER AGREEMENTSecurities Transfer Agreement • March 31st, 2017 • Crossroads Capital, Inc. • Delaware
THIS SECURITIES TRANSFER AGREEMENT (this “Agreement”) is made as of March [___], 2017 (the “Effective Date”), by and among Crossroads Capital, Inc., a Maryland corporation (“Seller”), the persons and entities set forth on the Schedule of Purchasers attached hereto as Exhibit A (each a “Purchaser” and collectively, the “Purchasers”), and Silkroad, Inc., a Delaware corporation (the “Company”).
FORM OF LOCK-UP LETTER AGREEMENT ]Letter Agreement • May 1st, 2009 • Keating Capital Inc • New York
FORM OF SUBSCRIPTION AGENT AGREEMENT] SUBSCRIPTION AGENT AGREEMENTSubscription Agent Agreement • November 1st, 2013 • Keating Capital Inc • Missouri
This Subscription Agent Agreement (this “Agreement”) is made as of _________, 2013, by and among Keating Capital, Inc. a Maryland corporation (the “Company”), and DST Systems, Inc., a Delaware corporation (the “Agent”), and relates to the registration statement on Form N-2, File No. 333-191525, filed by the Company with the Securities and Exchange Commission (the “Commission”) on October 2, 2013, and as amended on _______, 2013 (in the form such registration statement was declared effective by the Commission on ________, 2013, the “Registration Statement”) and the related prospectus, dated as of _________, 2013 (the “Prospectus”). Capitalized terms not otherwise defined herein shall have the meanings given to them in the Subscription Certificate (as defined below).
ESCROW AGREEMENTEscrow Agreement • June 5th, 2009 • Keating Capital Inc • Missouri
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • November 20th, 2008 • Keating Capital Inc • New York
This Securities Purchase Agreement (this “Agreement”) is dated as of [ ], 2008, by and among Keating Capital, Inc., a Maryland corporation (the “Company”), Keating Investments, LLC, a Delaware limited liability company (the “Adviser”), and the investors identified on the signature pages hereto (each, an “Investor” and collectively, the “Investors”).
TRADEMARK LICENSE AGREEMENTTrademark License Agreement • November 20th, 2008 • Keating Capital Inc • Colorado
This TRADEMARK LICENSE AGREEMENT (this “Agreement”) is made and effective as of July 28, 2008 (the “Effective Date”) by and between Keating Investments, LLC, a limited liability company organized under the laws of the State of Delaware (the “Licensor”), and Keating Capital, Inc., a corporation organized under the laws of the State of Maryland (the “Licensee”)(each a “party,” and collectively, the “parties”).
FORM OF INFORMATION AGENT AGREEMENT]Agent Agreement • November 1st, 2013 • Keating Capital Inc • New York
FORM OF ESCROW AGREEMENT ]Escrow Agreement • May 1st, 2009 • Keating Capital Inc • Colorado
This ESCROW AGREEMENT (this “Agreement”) made as of __________, 2009 by and among KEATING CAPITAL, INC., a Maryland corporation (the “Company”), ANDREWS SECURITIES, LLC, a Delaware limited liability company (the “Investor Agent”), whose addresses and other information appear on the Information Sheet (as defined herein) attached to this Agreement, and STEELE STREET BANK & TRUST, 55 Adams Street, Denver, Colorado 80206 (the “Escrow Agent”).
First Amendment to Custody AgreementCustody Agreement • February 15th, 2013 • Keating Capital Inc
This First Amendment to that certain Custody Agreement by and between Keating Capital, Inc. (“Keating Capital”) and Steele Street Bank & Trust (the “Custodian”) dated November 18, 2008 (the “Custody Agreement”) is hereby entered into by Keating Capital and the Custodian as of December 21, 2012.
FORM OF AMENDED AND RESTATED INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENT ] AMENDED AND RESTATED INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENT BETWEEN KEATING CAPITAL, INC. AND KEATING INVESTMENTS, LLCInvestment Advisory And • May 1st, 2009 • Keating Capital Inc • New York
This Agreement (the “Agreement”) made this ____ day of _____, 2009, by and between KEATING CAPITAL, INC, a Maryland corporation (the “Company”), and KEATING INVESTMENTS, LLC, a Delaware limited liability company (the “Adviser”).
