CUSTODY AGREEMENT dated as of September 21, 2023 by and between PROSPECT FLOATING RATE AND ALTERNATIVE INCOME FUND, INC. (“Company”) and (“Custodian”)Custody Agreement • September 27th, 2023 • Prospect Floating Rate & Alternative Income Fund, Inc. • New York
THIS CUSTODY AGREEMENT (this “Agreement”) is dated as of September 21, 2023 and is by and between PROSPECT FLOATING RATE AND ALTERNATIVE INCOME FUND, INC. (and any successor or permitted assign, the “Company”), a Maryland corporation and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION (or any successor or permitted assign acting as custodian hereunder, the “Custodian”), a national banking association.
LICENSE AGREEMENTLicense Agreement • August 6th, 2020 • Prospect Flexible Income Fund, Inc. • New York
This LICENSE AGREEMENT (this “Agreement”) is made and effective as of August 4, 2020 (the “Effective Date”) by and between Prospect Capital Investment Management, LLC, a Delaware limited liability company (the “Licensor”), and Prospect Flexible Income Fund Inc., a Maryland corporation (the “Licensee”) (each a “party,” and collectively, the “parties”).
FIRST AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENTCredit Agreement • February 2nd, 2024 • Prospect Floating Rate & Alternative Income Fund, Inc. • New York
THIS FIRST AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT, dated as of January 30, 2024 (this “Amendment”), is among PROSPECT FLOATING RATE AND ALTERNATIVE INCOME FUND, INC., a Maryland corporation (the “Borrower”), solely with respect to Section 5.10, the SUBSIDIARY GUARANTORS party hereto, the LENDERS party hereto, SUMITOMO MITSUI BANKING CORPORATION (“SMBC”), as Administrative Agent (in such capacity, the “Administrative Agent”), and, solely with respect to Section 3.2, BANK OZK, as Documentation Agent (in such capacity, the “Documentation Agent”).
Prospect Flexible Income Fund, Inc., Los Angeles, California 90045 Re: Dealer Manager Agreement Ladies and Gentlemen:Participating Dealer Agreement • August 6th, 2020 • Prospect Flexible Income Fund, Inc. • California
Prospect Flexible Income Fund, Inc., a Maryland corporation (formerly known as TP Flexible Income Fund, Inc.) (the “Company”), has registered for public sale (the “Offering”) shares of its Class A 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 “Participating Dealers”). The Offered Shares will be sold at the initial offering prices, which may be subject to change, as more fully described in its registration statement on Form N-2 filed by the Company with the Securities and Exchange Commission (the “Commission”) (currently File No. 333-230251 and including any subsequent registration statement to the extent that it continues the Offering) (as may be amended or supplemented from time to time, the “Registration Statement”), which includes the Company’s prospectus, as amended o
ADMINISTRATION AGREEMENTAdministration Agreement • April 1st, 2019 • TP Flexible Income Fund, Inc. • New York
AGREEMENT (this “Agreement”) made as of March 31, 2019 by and between TP Flexible Income Fund, Inc., a Maryland corporation (hereinafter referred to as the “Corporation”), and Prospect Administration LLC, a Delaware limited liability company (hereinafter referred to as the “Administrator”).
Third Amended and Restated Expense Limitation AgreementExpense Limitation Agreement • April 25th, 2023 • Prospect Floating Rate & Alternative Income Fund, Inc.
This Amended and Restated Expense Limitation Agreement (the “Agreement”) is entered into this 24th day of April 2023, by and between Prospect Floating Rate and Alternative Income Fund, Inc. (the “Fund”) and Prospect Capital Management L.P. (the “Adviser”).
FIRST AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT BETWEEN PROSPECT FLEXIBLE INCOME FUND, INC. AND PROSPECT CAPITAL MANAGEMENT L.P.Investment Advisory Agreement • November 8th, 2021 • Prospect Flexible Income Fund, Inc. • New York
This First Amended and Restated Investment Advisory Agreement (the “Agreement”) is made as of this 5th day of November, 2021, by and between Prospect Flexible Income Fund, Inc., a Maryland corporation (the “Corporation”), and Prospect Capital Management L.P., a Delaware limited partnership (the “Adviser”).
ADMINISTRATION AGREEMENTAgreement • August 20th, 2012 • Triton Pacific Investment Corporation, Inc. • California
This Agreement (“Agreement”) is made as of July 27, 2012 by and between TRITON PACIFIC INVESTMENT CORPORATION, INC., a Maryland corporation (the “Company”), and TFA ASSOCIATES, LLC, a Delaware limited liability company (the “Administrator”).
INVESTMENT ADVISER AGREEMENT BETWEEN TRITON PACIFIC INVESTMENT CORPORATION, INC. AND TRITON PACIFIC ADVISER, LLCInvestment Adviser Agreement • March 15th, 2013 • Triton Pacific Investment Corporation, Inc. • California
This Agreementas originally made te 27th day of July 2012, and as hereby amended as of October 12, 2012, by and between TRITON PACIFIC INVESTMENT CORPORATION, INC., a Maryland corporation (the “Company”), and TRITON PACIFIC ADVISER, LLC, a Delaware limited liability company (the “Adviser”).
DOCUMENT CUSTODY AGREEMENT PROSPECT FLOATING RATE AND ALTERNATIVE INCOME FUND, INC. Company and Document Custodian Dated September 21, 2023Document Custody Agreement • September 27th, 2023 • Prospect Floating Rate & Alternative Income Fund, Inc. • New York
This DOCUMENT CUSTODY AGREEMENT is made and entered into as of September 21, 2023 by and between PROSPECT FLOATING RATE AND ALTERNATIVE INCOME FUND, INC. (the “Company”), a corporation organized under the laws of the State of Maryland, and U.S. Bank National Association, a national banking association, organized under the laws of the United States, as document custodian (the “Document Custodian”).
INVESTMENT ADVISER AGREEMENT BETWEEN TRITON PACIFIC INVESTMENT CORPORATION, INC. AND TRITON PACIFIC ADVISER, LLCInvestment Adviser Agreement • August 20th, 2012 • Triton Pacific Investment Corporation, Inc. • California
This Agreement is made this 27th day of July 2012, by and between TRITON PACIFIC INVESTMENT CORPORATION, INC., a Maryland corporation (the “Company”), and TRITON PACIFIC ADVISER, LLC, a Delaware limited liability company (the “Adviser”).
INVESTMENT SUB-ADVISORY AGREEMENT BETWEEN TRITON PACIFIC ADVISER, LLC, ZAIS GROUP, LLC AND TRITON PACIFIC INVESTMENT CORPORATION, INC.Investment Sub-Advisory Agreement • July 30th, 2014 • Triton Pacific Investment Corporation, Inc. • California
THIS INVESTMENT SUB-ADVISORY AGREEMENT (“Agreement”) made this 24th day of July, 2014, by and between TRITON PACIFIC ADVISER, LLC, a Delaware limited liability company (the “Adviser”), ZAIS Group, LLC, a Delaware limited liability company (the “Sub-Adviser”) and Triton Pacific Investment Corporation, Inc., a Maryland corporation (the “BDC”).
TP Flexible Income Fund, Inc., Los Angeles, California 90045 Re: Dealer Manager Agreement Ladies and Gentlemen:Dealer Agreement • April 1st, 2019 • TP Flexible Income Fund, Inc. • New York
TP Flexible Income Fund, Inc., a Maryland corporation (the “Company”), has registered for public sale (the “Offering”) shares of its Class A 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 “Participating Dealers”). The Offered Shares will be sold at the initial offering prices, which may be subject to change, as more fully described in its registration statement on Form N-2 filed by the Company with the Securities and Exchange Commission (the “Commission”) (currently File No. 333-206730 and including any subsequent registration statement to the extent that it continues the Offering) (as may be amended or supplemented from time to time, the “Registration Statement”), which includes the Company’s prospectus, as amended or supplemented from time to time. Terms not otherwise de
Amended and Restated Expense Limitation AgreementLimitation Agreement • July 7th, 2021 • Prospect Flexible Income Fund, Inc. • New York
This Amended and Restated Expense Limitation Agreement (the “Agreement”) is entered into this 7th day of July 2021, by and between Prospect Flexible Income Fund, Inc. (the “Fund”) and Prospect Capital Management L.P. (the “Adviser”).
TRADEMARK LICENSE AGREEMENTTrademark License Agreement • June 14th, 2011 • Triton Pacific Investment Corporation, Inc. • California
This TRADEMARK LICENSE AGREEMENT (the “Agreement”) is made and effective as of June , 2011 (the “Effective Date”) by and between Triton Pacific Group, Inc., a California Corporation (“Licensor”), and Triton Pacific Investment Corporation, Inc., a Maryland Corporation (the “Company”).
AMENDED AND RESTATED EXPENSE SUPPORT AND CONDITIONAL REIMBURSEMENT AGREEMENTExpense Support and Conditional Reimbursement Agreement • November 19th, 2014 • Triton Pacific Investment Corporation, Inc. • California
This Amended and Restated Expense Support and Conditional Reimbursement Agreement (this “Agreement”) is made as of November 17, 2014 by and between Triton Pacific Investment Corporation, Inc., a Maryland corporation (the “Company”) and Triton Pacific Adviser, LLC, a Delaware limited liability company (the “Adviser”).
INDEMNIFICATION AGREEMENTIndemnification Agreement • November 19th, 2014 • Triton Pacific Investment Corporation, Inc. • California
This Indemnification Agreement (this “Agreement”), dated November 17, 2014, is entered into by and among Triton Pacific Investment Corporation, Inc., a Maryland corporation (the “Company”), and Triton Pacific Adviser, LLC, a Delaware limited liability company (the “Adviser”).
Initially up to $50,000,000 REVOLVING LOAN AGREEMENTRevolving Loan Agreement • May 22nd, 2019 • TP Flexible Income Fund, Inc.
This REVOLVING LOAN AGREEMENT (as amended, modified, waived, supplemented, restated or replaced from time to time, this “Agreement”) is dated as of May 16, 2019, by and among:
EXPENSE SUPPORT AND CONDITIONAL REIMBURSEMENT AGREEMENTExpense Support and Conditional Reimbursement Agreement • March 31st, 2014 • Triton Pacific Investment Corporation, Inc. • California
This Expense Support and Conditional Reimbursement Agreement (this “Agreement”) is made as of March 27, 2014 by and between Triton Pacific Investment Corporation, Inc., a Maryland corporation (the “Company”) and Triton Pacific Adviser, LLC, a Delaware limited liability company (the “Adviser”).
FIRST AMENDED AND RESTATED ADMINISTRATION AGREEMENTFirst Amended And • June 20th, 2019 • TP Flexible Income Fund, Inc. • New York
THIS FIRST AMENDED AND RESTATED AGREEMENT (this “Agreement”) is made as of June 17, 2019 by and between TP Flexible Income Fund, Inc., a Maryland corporation (hereinafter referred to as the “Corporation”), and Prospect Administration LLC, a Delaware limited liability company (hereinafter referred to as the “Administrator”).
AMENDED AND RESTATED EXPENSE SUPPORT AND CONDITIONAL REIMBURSEMENT AGREEMENTAnd Conditional Reimbursement Agreement • April 5th, 2018 • Triton Pacific Investment Corporation, Inc. • California
This Amended and Restated Expense Support and Conditional Reimbursement Agreement (this “Agreement”) is made as of April 5, 2018 by and between Triton Pacific Investment Corporation, Inc., a Maryland corporation (the “Company”) and Triton Pacific Adviser, LLC, a Delaware limited liability company (the “Adviser”).
GLOBAL CUSTODY AGREEMENTGlobal Custody Agreement • April 3rd, 2017 • Triton Pacific Investment Corporation, Inc. • New York
AGREEMENT, dated as of March 7, 2014 between Triton Pacific Investment Corporation, Inc. (“Customer”) and The Bank of New York Mellon Trust Company, National Association (“Custodian”).
PROSPECT FLOATING RATE AND ALTERNATIVE INCOME FUND, INC. DEALER MANAGER AGREEMENT January [__], 2024Selected Dealer Agreement • January 23rd, 2024 • Prospect Floating Rate & Alternative Income Fund, Inc. • New York
THIS SELECTED INVESTMENT ADVISOR AGREEMENT is made and entered into as of the date indicated on Exhibit A attached hereto (this “Agreement”), among Preferred Capital Securities, LLC, a Georgia limited liability company (the “Dealer Manager”), Prospect Floating Rate and Alternative Income Fund, Inc., a Maryland corporation (the “Company”), and the selected investment advisor identified in Exhibit A hereto (the “SIA”).
JOINT FILING AGREEMENTJoint Filing Agreement • February 26th, 2024 • Prospect Floating Rate & Alternative Income Fund, Inc.
This joint filing agreement (this “Agreement”) is made and entered into as of this 26 day of February, 2024, by and among the undersigned.
PROSPECT FLOATING RATE AND ALTERNATIVE INCOME FUND, INC. DEALER MANAGER AGREEMENT September 19, 2022Dealer Manager Agreement • September 21st, 2022 • Prospect Floating Rate & Alternative Income Fund, Inc. • New York
Prospect Floating Rate and Alternative Income Fund, Inc., a Maryland corporation (the “Company”), will offer to “accredited investors” (within the meaning of Rule 501(a) under the Securities Act of 1933, as amended (the “Securities Act”)) only shares of its Class A common stock, $0.001 par value per share (the “Shares”) (the “Offering”) on the terms and conditions set forth in the Company’s confidential private placement memorandum, as the same may be amended or supplemented (the “Memorandum”).In addition, the parties hereto generally intend that participants in the Company’s distribution reinvestment plan, as amended or supplemented, (the “DRIP”) during this offering will receive a number of Shares as determined by the DRIP, and no commissions or fees will be assessed in connection therewith. Please see “Distribution Reinvestment Plan” in the prospectus for additional information regarding the plan. All shares subject to discounts and other price adjustments as described in the Memora
Fourth Amended and Restated Expense Limitation AgreementExpense Limitation Agreement • May 13th, 2024 • Prospect Floating Rate & Alternative Income Fund, Inc.
This Amended and Restated Expense Limitation Agreement (the “Agreement”) is entered into this 13th day of May 2024, by and between Prospect Floating Rate and Alternative Income Fund, Inc. (the “Fund”) and Prospect Capital Management L.P. (the “Adviser”).
FUND SERVICES AGREEMENT between TRITON PACIFIC INVESTMENT CORPORATION, INC. andFund Services Agreement • May 29th, 2014 • Triton Pacific Investment Corporation, Inc. • New York
THIS FUND SERVICES AGREEMENT (this “Agreement”) effective as of the 27th day of May, 2014, by and between TRITON PACIFIC INVESTMENT CORPORATION, INC., a Maryland corporation having its principal office and place of business at 10877 Wilshire Boulevard, 12th Floor, Los Angeles, California 90024 (the “Company”) and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“GFS”). This Agreement replaces and supersedes all prior understandings and agreements between the parties hereto for the services described below.
