Standard Contracts
AMENDED & RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of April 24, 2019 among FIDUS INVESTMENT CORPORATION, as Borrower, The Lenders Party Hereto and ING CAPITAL LLC as Administrative Agent, Arranger and BookrunnerSenior Secured Revolving Credit Agreement • April 24th, 2019 • FIDUS INVESTMENT Corp • New York
AMENDED & RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT, dated as of April 24, 2019 (this “Agreement”), among FIDUS INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), the LENDERS party hereto and ING CAPITAL LLC, as Administrative Agent.
AMENDED AND RESTATED GUARANTEE, PLEDGE AND SECURITY AGREEMENT dated as of April 24, 2019 among FIDUS INVESTMENT CORPORATION, as Borrower, the SUBSIDIARY GUARANTORS party hereto, ING CAPITAL LLC, as Revolving Administrative Agent for the Revolving...Guarantee, Pledge and Security Agreement • April 24th, 2019 • FIDUS INVESTMENT Corp • New York
AMENDED AND RESTATED GUARANTEE, PLEDGE AND SECURITY AGREEMENT, dated as of April 24, 2019 (as amended, supplemented, or otherwise modified from time to time, this “Agreement”), among FIDUS INVESTMENT CORPORATION, a corporation duly organized and validly existing under the laws of the State of Maryland (the “Borrower”), FIDUS INVESTMENT HOLDINGS, INC., a corporation duly organized and validly existing under the laws of the State of Delaware (“FIH”), FCMGI, INC., a corporation duly organized and validly existing under the laws of the State of Delaware (“FCMGI”), BBRSS BLOCKER CORP., a corporation duly organized and validly existing under the laws of the State of Delaware (“BBRSS”) and FCDS CORP., a corporation duly organized and validly existing under the laws of the State of Delaware (“FCDS”), and each other entity that becomes a “SUBSIDIARY GUARANTOR” after the date hereof pursuant to Section 7.05 hereof (collectively with FIH, FCMGI, BBRSS and FCDS, the “Subsidiary Guarantors” and, to
FIDUS INVESTMENT CORPORATION (a Maryland Corporation) 1,750,000 Shares of Common Stock Par Value $0.001 per Share UNDERWRITING AGREEMENT June 20, 2017Underwriting Agreement • June 22nd, 2017 • FIDUS INVESTMENT Corp • New York
AMENDMENT NO. 1 TO AMENDED & RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENTSenior Secured Revolving Credit Agreement • June 30th, 2020 • FIDUS INVESTMENT Corp • New York
AMENDED & RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT, dated as of April 24, 2019 (as amended, restated, supplemented or otherwise modified from time to time, this “Agreement”), among FIDUS INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), the LENDERS party hereto and ING CAPITAL LLC, as Administrative Agent.
THIRD SUPPLEMENTAL INDENTURE between FIDUS INVESTMENT CORPORATION and as Trustee Dated as of October 16, 2019Third Supplemental Indenture • October 16th, 2019 • FIDUS INVESTMENT Corp • New York
THIS THIRD SUPPLEMENTAL INDENTURE (this “Third Supplemental Indenture”), dated as of October 16, 2019, is between Fidus Investment 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).
FIDUS INVESTMENT CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • October 4th, 2021 • FIDUS INVESTMENT Corp • New York
Fidus Investment Corporation, a Maryland corporation (the “Company”), and Fidus Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) registered as an investment adviser under the Investment Advisers Act of 1940, as amended (collectively with the rules and regulations of the Commission (as defined below) promulgated thereunder, the “Advisers Act”), each confirms with Raymond James & Associates, Inc. and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Raymond James & Associates, Inc. is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $125,000,000 aggregate principal amount of the Company’s 3.50% notes due 2026 (the “Securities”), and the purchase by the Underwriters, acting severally and not jointly, of the aggregate principal amount of Securi
AGREEMENT REGARDING FIDELITY BONDFidelity Bond Agreement • July 22nd, 2021 • FIDUS INVESTMENT Corp
This Agreement Regarding the Fidelity Bond is dated effective as of the 15th day of June, 2021, by and among Fidus Investment Corporation (the “Company”), Fidus Mezzanine Capital, L.P. (the “Fund”) and Fidus Mezzanine Capital II, L.P. (collectively with the Company and the Fund, the “Insureds”).
INVESTMENT ADVISORY AND MANAGEMENT AGREEMENTInvestment Advisory and Management Agreement • April 29th, 2011 • FIDUS INVESTMENT Corp • Illinois
This Agreement (“Agreement”) is made as of [•], 2011 by and between Fidus Investment Corporation, a Maryland corporation (the “Company”), and Fidus Investment Advisors, LLC, a Delaware limited liability company (the “Advisor”).
FIDUS INVESTMENT CORPORATION (a Maryland Corporation) $55,000,000 5.375% Notes due 2024 UNDERWRITING AGREEMENTUnderwriting Agreement • October 16th, 2019 • FIDUS INVESTMENT Corp • New York
FOURTH SUPPLEMENTAL INDENTURE between FIDUS INVESTMENT CORPORATION and as Trustee Dated as of December 23, 2020Fourth Supplemental Indenture • December 23rd, 2020 • FIDUS INVESTMENT Corp • New York
THIS FOURTH SUPPLEMENTAL INDENTURE (this “Fourth Supplemental Indenture”), dated as of December 23, 2020, is between Fidus Investment 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).
FIDUS INVESTMENT CORPORATION Issuer and U.S. Bank National Association Trustee Indenture Dated as of [ ] Providing for the Issuance Of Debt SecuritiesIndenture • April 29th, 2016 • FIDUS INVESTMENT Corp • New York
INDENTURE, dated as of [ ], between FIDUS INVESTMENT CORPORATION, a Maryland corporation (hereinafter called the “Company”), having its principal office at 1603 Orrington Avenue, Suite 1005, Evanston, Illinois 60201, and U.S. Bank National Association, a national banking association, as Trustee (hereinafter called the “Trustee”), having its office at 111 Fillmore Avenue East, St. Paul, Minnesota 55107.
AGREEMENT REGARDING FIDELITY BONDAgreement Regarding Fidelity Bond • October 24th, 2024 • FIDUS INVESTMENT Corp
This Agreement Regarding the Fidelity Bond is dated effective as of the 15th day of June, 2024, by and among Fidus Investment Corporation (the “Company”) and Fidus Mezzanine Capital, L.P. (the “Fund”, and together with the Company, the “Insureds”).
AGREEMENT REGARDING FIDELITY BONDFidelity Bond Agreement • July 13th, 2015 • FIDUS INVESTMENT Corp
This Agreement Regarding Fidelity Bond is dated effective as of the 21st day of June, 2015, by and among Fidus Investment Corporation (the “Company”), Fidus Mezzanine Capital, L.P. (the “Fund”) and Fidus Mezzanine Capital II, L.P. (collectively with the Company and the Fund, the “Insureds”).
AGREEMENT REGARDING FIDELITY BONDFidelity Bond Agreement • August 8th, 2018 • FIDUS INVESTMENT Corp
This Agreement Regarding Fidelity Bond is dated effective as of the 21st day of June, 2018, by and among Fidus Investment Corporation (the “Company”), Fidus Mezzanine Capital, L.P. (the “Fund”) and Fidus Mezzanine Capital II, L.P. (collectively with the Company and the Fund, the “Insureds”).
AGREEMENT REGARDING FIDELITY BONDFidelity Bond Agreement • July 27th, 2016 • FIDUS INVESTMENT Corp
This Agreement Regarding Fidelity Bond is dated effective as of the 21st day of June, 2016, by and among Fidus Investment Corporation (the “Company”), Fidus Mezzanine Capital, L.P. (the “Fund”) and Fidus Mezzanine Capital II, L.P. (collectively with the Company and the Fund, the “Insureds”).
AGREEMENT REGARDING FIDELITY BONDINGAgreement Regarding Fidelity Bonding • July 1st, 2013 • FIDUS INVESTMENT Corp
This Agreement Regarding Fidelity Bonding is dated effective as of the 21st day of June, 2013, by and among Fidus Investment Corporation and Fidus Mezzanine Capital, L.P. (the parties are collectively referred to herein as the “Insureds”).
FIDUS INVESTMENT CORPORATION (a Maryland Corporation) Common Stock, Par Value $0.001 Per Share AMENDMENT NO. 2 TO EQUITY DISTRIBUTION AGREEMENT Dated as of February 29, 2024Equity Distribution Agreement • February 29th, 2024 • FIDUS INVESTMENT Corp • New York
This Amendment No. 2, dated February 29, 2024 (the “Amendment”), is to the Equity Distribution Agreement, dated November 10, 2022, as amended by Amendment No. 1 to Equity Distribution Agreement, dated August 11, 2023 (as amended to date, the “Equity Distribution Agreement”), by and among Fidus Investment Corporation, a Maryland corporation (the “Company”), Fidus Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”), and each of Raymond James & Associates, Inc. and B. Riley Securities, Inc. (the “Sales Agents”).
ADMINISTRATION AGREEMENTAdministration Agreement • April 29th, 2011 • FIDUS INVESTMENT Corp • Illinois
This Agreement (“Agreement”) is made as of [•], 2011 by and between Fidus Investment Corporation, a Maryland corporation (the “Company”), and Fidus Investment Advisors, LLC, a Delaware limited liability company (“Fidus Advisors”).
FIRST AMENDMENT TO INVESTMENT ADVISORY AND MANAGEMENT AGREEMENTInvestment Advisory and Management Agreement • March 6th, 2014 • FIDUS INVESTMENT Corp
This Amendment is made as of March 4, 2014 by and between Fidus Investment Corporation, a Maryland corporation (the “Company”) and Fidus Investment Advisors, LLC, a Delaware limited liability company (the “Advisor”).
AGREEMENT REGARDING FIDELITY BONDINGAgreement Regarding Fidelity Bonding • June 29th, 2012 • FIDUS INVESTMENT Corp
This Agreement Regarding Fidelity Bonding is dated effective as of the 21st day of June, 2012, by and among Fidus Investment Corporation and Fidus Mezzanine Capital, L.P. (the parties are collectively referred to herein as the “Insureds”).
FIDUS INVESTMENT CORPORATION (a Maryland Corporation) Common Stock Par Value $0.001 per Share EQUITY DISTRIBUTION AGREEMENT August 21, 2014Equity Distribution Agreement • August 22nd, 2014 • FIDUS INVESTMENT Corp • New York
Fidus Investment Corporation, a Maryland corporation (the “Company”), and Fidus Investment Advisors, LLC, a Delaware limited liability company (the “Advisor”) registered as an investment advisor under the Investment Advisers Act of 1940, as amended, and the rules and regulations thereunder (the “Advisers Act”), confirms its agreement with Raymond James & Associates, Inc. and Robert W. Baird & Co. Incorporated (each an “Agent” and collectively the “Agents”) as set forth below.
SECOND AMENDED AND RESTATED AGREEMENT OF LIMITED PARTNERSHIP Dated as of _______ __, 2011Limited Partnership Agreement • May 26th, 2011 • FIDUS INVESTMENT Corp • Delaware
SECOND AMENDED AND RESTATED AGREEMENT OF LIMITED PARTNERSHIP dated and effective as of _______ __, 2011, among Fidus Investment GP, LLC, a Delaware limited liability company (the “General Partner”), in its capacity as general partner of the Partnership, Fidus Investment Corporation, a Maryland corporation, in its capacity as the sole limited partner of the Partnership (“FIC”) and the other individuals and entities as may from time to time become parties to this Agreement as hereinafter provided.
AMENDMENT TO EQUITY DISTRIBUTION AGREEMENTEquity Distribution Agreement • August 21st, 2017 • FIDUS INVESTMENT Corp • New York
INCREMENTAL COMMITMENT AGREEMENT dated as of July 25, 2024, made by FIDUS INVESTMENT CORPORATION, as Borrower and THE SUBSIDIARY GUARANTORS PARTY HERETO each as a Subsidiary Guarantor and THE INCREASING LENDERS PARTY HERETO, each as an Increasing...Incremental Commitment Agreement • July 26th, 2024 • FIDUS INVESTMENT Corp • New York
INCREMENTAL COMMITMENT AGREEMENT, dated as of July 25, 2024 (this “Agreement”), among FIDUS INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), each of the Subsidiary Guarantors party hereto (each a “Subsidiary Guarantor”, and collectively, the “Subsidiary Guarantors”) and ING CAPITAL LLC (“ING”), in its capacity as Administrative Agent (in such capacity, the “Administrative Agent”), and the financial institutions listed on Schedule 1 hereto, as increasing lenders (collectively, the “Increasing Lenders” and each an “Increasing Lender”), relating to the AMENDED & RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT, dated as of April 24, 2019 (as amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”), among the Borrower, the Administrative Agent and the Lenders from time to time party thereto.
CUSTODY AGREEMENT dated as of May __, 2011 by and between FIDUS INVESTMENT CORPORATION (“Company”) and U.S. BANK NATIONAL ASSOCIATION (“Custodian”)Custody Agreement • May 26th, 2011 • FIDUS INVESTMENT Corp • New York
This CUSTODY AGREEMENT (this “Agreement”) is dated as of May __, 2011, and is by and between FIDUS INVESTMENT CORPORATION (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 1603 Orrington Avenue, Suite 820, Evanston, Illinois 60201, 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, Boston, Massachusetts 02110.
AGREEMENT REGARDING FIDELITY BONDFidelity Bond Agreement • July 21st, 2022 • FIDUS INVESTMENT Corp
This Agreement Regarding the Fidelity Bond is dated effective as of the 15th day of June, 2022, by and among Fidus Investment Corporation (the “Company”) and Fidus Mezzanine Capital, L.P. (the “Fund”, and together with the Company, the “Insureds”).
AMENDMENT NO. 1 TO SENIOR SECURED REVOLVING CREDIT AGREEMENTSenior Secured Revolving Credit Agreement • December 22nd, 2014 • FIDUS INVESTMENT Corp • New York
This AMENDMENT NO. 1 (this “Amendment”), dated as of December 19, 2014, is made with respect to the Senior Secured Revolving Credit Agreement, dated as of June 16, 2014 (as may be further amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”), among FIDUS INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), the several banks and other financial institutions from time to time party to the Credit Agreement as lenders (the “Lenders”), ING CAPITAL LLC, as administrative agent for the Lenders under the Credit Agreement (in such capacity, together with its successors in such capacity, the “Administrative Agent”), and, solely with respect to Section 2.8, FIDUS INVESTMENT HOLDINGS, INC. (the “Subsidiary Guarantor”). Capitalized terms not otherwise defined herein shall have the meanings ascribed to them in the Credit Agreement (as amended hereby).
SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of June 16, 2014 among FIDUS INVESTMENT CORPORATION, as Borrower, The Lenders Party Hereto and ING CAPITAL LLC as Administrative Agent, Arranger and BookrunnerSenior Secured Revolving Credit Agreement • June 20th, 2014 • FIDUS INVESTMENT Corp • New York
SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of June 16, 2014 (this “Agreement”), among FIDUS INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), the LENDERS party hereto, and ING CAPITAL LLC, as Administrative Agent.
AGREEMENT REGARDING FIDELITY BONDINGAgreement Regarding Fidelity Bonding • July 1st, 2011 • FIDUS INVESTMENT Corp
This Agreement Regarding Fidelity Bonding is dated effective as of the 1st day of July, 2011, by and among Fidus Investment Corporation and Fidus Mezzanine Capital, L.P. (the parties are collectively referred to herein as the “Insureds”).
INDEMNIFICATION AGREEMENTIndemnification Agreement • August 5th, 2021 • FIDUS INVESTMENT Corp • Maryland
THIS INDEMNIFICATION AGREEMENT (this “Agreement”) is made and entered into as of August __, 2021 (the “Effective Date”), by and between Fidus Investment Corporation, a Maryland corporation (the “Company”), and ______________ (“Indemnitee”). For the avoidance of doubt, in addition to memorializing the terms of the Indemnitee’s indemnification rights, this Agreement is also intended to be retroactive, such that it will cover the entire period that the Indemnitee has served as a director of the Company.
FIFTH SUPPLEMENTAL INDENTURE between FIDUS INVESTMENT CORPORATION and as Trustee Dated as of October 8, 2021Fifth Supplemental Indenture • October 8th, 2021 • FIDUS INVESTMENT Corp • New York
THIS FIFTH SUPPLEMENTAL INDENTURE (this “Fifth Supplemental Indenture”), dated as of October 8, 2021, is between Fidus Investment 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).
TRADEMARK LICENSE AGREEMENTTrademark License Agreement • May 26th, 2011 • FIDUS INVESTMENT Corp • Delaware
This TRADEMARK LICENSE AGREEMENT (the “Agreement”) is made and effective as of , 2011 (the “Effective Date”) by and between Fidus Partners, LLC, a Delaware limited liability company (“Licensor”), and Fidus Investment Corporation, a Maryland corporation (the “Company”).
INCREMENTAL COMMITMENT AGREEMENT dated as of December 19, 2014, made by THE INCREASING LENDER PARTY HERETO, as the Increasing Lender relating to the SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of June 16, 2014, among FIDUS INVESTMENT...Incremental Commitment Agreement • December 22nd, 2014 • FIDUS INVESTMENT Corp • New York
INCREMENTAL COMMITMENT AGREEMENT (this “Agreement”), dated as of December 19, 2014 and effective as of the Effective Date, by and among FIDUS INVESTMENT CORPORATION (the “Borrower”), FIDUS INVESTMENT HOLDINGS, INC. (the “Subsidiary Guarantor”) ING CAPITAL LLC, in its capacity as Administrative Agent (the “Administrative Agent”), and the financial institution listed on Schedule 1 hereto, as the increasing lender (the “Increasing Lender”), relating to the SENIOR SECURED REVOLVING CREDIT AGREEMENT, dated as of June 16, 2014 (as may be amended, supplemented or otherwise modified from time to time, the “Credit Agreement”), among the Borrower, the Administrative Agent and the several banks and other financial institutions or entities from time to time party to the Credit Agreement.
AMENDMENT NO. 3 AND INCREMENTAL COMMITMENT AGREEMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of October 19, 2018, among FIDUS INVESTMENT CORPORATION, as Borrower, THE INCREASING LENDER PARTY HERETO, as the Increasing Lender and a Lender,...Senior Secured Revolving Credit Agreement • October 19th, 2018 • FIDUS INVESTMENT Corp • New York
AMENDMENT NO. 3 AND INCREMENTAL COMMITMENT AGREEMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT (this “Agreement”), dated as of October 19, 2018 (the “Effective Date”), by and among FIDUS INVESTMENT CORPORATION (the “Borrower”), FIDUS INVESTMENT HOLDINGS, INC. (“FIH”), FCIHA, INC. (“FCIHA”), FCMGI, INC. (“FCMGI”), BBRSS BLOCKER CORP. (“BBRSS” and, together with FIH, FCIHA and FCMGI, the “Subsidiary Guarantors”), ING CAPITAL LLC, in its capacity as Administrative Agent (in such capacity, the “Administrative Agent”) and a Lender, and TIAA, FSB, as the increasing lender (in such capacity, the “Increasing Lender”) and a Lender, relating to the SENIOR SECURED REVOLVING CREDIT AGREEMENT, dated as of June 16, 2014 (as amended by that certain Amendment No. 1 to Senior Secured Revolving Credit Agreement, dated as of December 19, 2014, and by that certain Amendment No. 2 to Senior Secured Revolving Credit Agreement, dated as of December 29, 2017, the “Existing Credit Agreement”, and as further
FIDUS INVESTMENT CORPORATION (a Maryland Corporation) Common Stock, Par Value $0.001 Per Share AMENDMENT NO. 1 TO EQUITY DISTRIBUTION AGREEMENT Dated as of August 11, 2023Equity Distribution Agreement • August 11th, 2023 • FIDUS INVESTMENT Corp • New York
This Amendment No. 1, dated August 11, 2023 (the “Amendment”), is to the Equity Distribution Agreement, dated November 10, 2022 (the “Equity Distribution Agreement”), by and among Fidus Investment Corporation, a Maryland corporation (the “Company”), Fidus Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”), and each of Raymond James & Associates, Inc. and B. Riley Securities, Inc. (the “Sales Agents”).
