CUSTODY AGREEMENTCustody Agreement • May 2nd, 2013 • Harvest Capital Credit Corp • New York
This CUSTODY AGREEMENT (this “Agreement”) is dated as of April [], 2013, and is by and between HARVEST CAPITAL CREDIT CORPORATION (and any successor or permitted assign, the “Company”), a corporation organized under the laws of the State of [], having its principal place of business at [] 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, MA 02110.
LICENSE AGREEMENTLicense Agreement • March 26th, 2013 • Harvest Capital Credit Corp • New York
This LICENSE AGREEMENT (this “Agreement”) is made and effective as of _____ __, 2012 (the “Effective Date”) by and between Harvest Capital Strategies, LLC (the “Licensor”), a Delaware limited liability company, and Harvest Capital Credit Corporation, a Delaware corporation (the “Licensee”) (each a “party,” and collectively, the “parties”).
Common Stock, $0.001 par value per share EQUITY DISTRIBUTION AGREEMENT Dated September 29, 2017Equity Distribution Agreement • September 29th, 2017 • Harvest Capital Credit Corp • New York
Pursuant to Section 7(m) of the Equity Distribution Agreement, dated September 29, 2017 (the “Equity Distribution Agreement”) (terms defined therein being used herein as therein defined), by and among Harvest Capital Credit Corporation, a Delaware corporation (the “Company”), and JMP Securities LLC (the “Sales Manager”), the undersigned officers of the Company each hereby certifies, in his or her capacity as Chief Executive Officer, and Chief Financial Officer, respectively, of, and on behalf of, the Company:
AGREEMENT AND PLAN OF MERGER by and among PORTMAN RIDGE FINANCE CORPORATION, RYE ACQUISITION SUB INC., HARVEST CAPITAL CREDIT CORPORATION and SIERRA CREST INVESTMENT MANAGEMENT LLC Dated as of December 23, 2020Agreement and Plan of Merger • December 28th, 2020 • Harvest Capital Credit Corp • Delaware
THIS AGREEMENT AND PLAN OF MERGER, dated as of December 23, 2020 (this “Agreement”), is made by and among Portman Ridge Finance Corporation, a Delaware corporation (“Parent”), Rye Acquisition Sub Inc., a Delaware corporation and a direct wholly-owned Subsidiary of Parent (“Acquisition Sub”), Harvest Capital Credit Corporation, a Delaware corporation (the “Company”), and Sierra Crest Investment Management LLC, a Delaware limited liability company (the “Parent External Adviser”). Defined terms used in this Agreement have the respective meanings ascribed to them by definition in this Agreement or in Appendix A.
NINTH AMENDMENT TO LOAN AND SECURITY AGREEMENTLoan and Security Agreement • May 27th, 2020 • Harvest Capital Credit Corp • New York
THIS LOAN AND SECURITY AGREEMENT (as may be amended, restated, supplemented, or otherwise modified from time to time, the “Agreement”) dated as of October 29, 2013, is entered into by and among HARVEST CAPITAL CREDIT CORPORATION, a Delaware corporation (“Harvest”), HCAP Equity Holdings, LLC, a Delaware limited liability company (“Attached Equity Holder”), and HCAP ICC, LLC, a Delaware limited liability company (“ICC Loan Subsidiary”), and each other Subsidiary of Harvest from time to time party hereto as a “Borrower” (together with Attached Equity Holder and ICC Loan Subsidiary, each individually a “Subsidiary Borrower” and collectively the “Subsidiary Borrowers” and together with Harvest, each individually and collectively, jointly and severally, the “Borrower”), each of the financial institutions from time to time party hereto (individually each a “Lender” and collectively the “Lenders”) and PACIFIC WESTERN BANK (successor-by-merger to CapitalSource Bank), a California state-chartere
ADMINISTRATION AGREEMENTAdministration Agreement • May 3rd, 2018 • Harvest Capital Credit Corp • New York
This ADMINISTRATION AGREEMENT (this “Agreement”) made as of April 29, 2018, by and between Harvest Capital Credit Corporation, a Delaware Company (the “Corporation”), and HCAP Advisors LLC, a Delaware limited liability company (the “Administrator”).
FORM OF UNDERWRITING AGREEMENT] Harvest Capital Credit CorporationUnderwriting Agreement • August 21st, 2017 • Harvest Capital Credit Corp • New York
Harvest Capital Credit Corporation, a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representative (in such capacity, the “Representative”) $25,000,000 aggregate principal amount of ____% Notes due 2022 of the Company (the “Initial Notes”) set forth in Schedule I hereto. The Company also proposes to sell to the several Underwriters, for the sole purpose of covering over-allotments in connection with the sale of the Initial Notes, at the option of the Underwriters, up to an additional $3,750,000 aggregate principal amount of _____% Notes due 2022 of the Company (the “Option Notes”). The Initial Notes and the Option Notes are hereinafter referred to collectively as the “Notes.”
INVESTMENT ADVISORY AND MANAGEMENT AGREEMENT BETWEEN HARVEST CAPITAL CREDIT CORPORATION AND HCAP ADVISORS LLCInvestment Advisory and Management Agreement • November 12th, 2013 • Harvest Capital Credit Corp • New York
AGREEMENT, dated as of April 29, 2013 between Harvest Capital Credit Corporation, a Delaware corporation (the “Corporation”), and HCAP Advisors LLC (the “Adviser”), a Delaware limited liability company.
LETTER AGREEMENTLetter Agreement • December 28th, 2020 • Harvest Capital Credit Corp • New York
This Letter Agreement (this “Agreement”) is made as of December 23, 2020, by and between Harvest Capital Credit Corporation, a Delaware corporation (“HCAP”), and Joseph A. Jolson (the “Stockholder”).
TRI-PARTY AGREEMENT (Custody Agreement)Tri-Party Agreement • October 31st, 2013 • Harvest Capital Credit Corp • New York
THIS TRI-PARTY AGREEMENT (as may be amended, restated, supplemented, or otherwise modified from time to time, this “Agreement”) is entered into as of October 29, 2013, by and among U.S. BANK NATIONAL ASSOCIATION (“Custodian”), HARVEST CAPITAL CREDIT CORPORATION, a Delaware corporation (“Borrower”), and CAPITALSOURCE BANK, a California industrial bank, in its capacity as administrative, payment and collateral agent (in such capacity, together with its successors and assigns, the “Agent”) for the Lenders (as defined below).
REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • April 24th, 2013 • Harvest Capital Credit Corp • New York
THIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”) is made and entered into as of August 18, 2011, by and among (i) Harvest Capital Credit LLC, a Delaware limited liability company (“Harvest”), and (ii) JMP Securities, LLC, a Delaware limited liability company (“JMP”), for the benefit of the holders from time to time of the Registrable Units (as defined below).
AGREEMENT AND PLAN OF MERGERAgreement and Plan of Merger • May 2nd, 2013 • Harvest Capital Credit Corp • Delaware
This Agreement and Plan of Merger (the “Agreement”), dated as of April 25, 2013, is by and between Harvest Capital Credit Corporation, a Delaware corporation (the “Corporation”), and Harvest Capital Credit LLC, a Delaware limited liability company (the “Fund”).
FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENTLoan and Security Agreement • March 31st, 2014 • Harvest Capital Credit Corp • New York
THIS FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”) is entered into as of December 30, 2013, by and among HARVEST CAPITAL CREDIT CORPORATION, a Delaware corporation (“Borrower”), each of the financial institutions from time to time party hereto (individually each a “Lender” and collectively the “Lenders”) and CAPITALSOURCE BANK, a California industrial bank (“CapitalSource”), as administrative, payment and collateral agent for itself, as a Lender and for the other Lenders (together with its successors and assigns in such capacities, “Agent”).
TENTH AMENDMENT TO LOAN AND SECURITY AGREEMENTLoan and Security Agreement • August 6th, 2020 • Harvest Capital Credit Corp • New York
THIS TENTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”) is entered into as of August 6, 2020 (for purposes hereof, the “Tenth Amendment Effective Date”), by and among HARVEST CAPITAL CREDIT CORPORATION, a Delaware corporation (“Harvest”), HCAP Equity Holdings, LLC, a Delaware limited liability company (“Attached Equity Holder”), and HCAP ICC, LLC, a Delaware limited liability company (“ICC Loan Subsidiary”), and each other Subsidiary of Harvest from time to time party hereto as a “Borrower” (together with Attached Equity Holder and ICC Loan Subsidiary, each individually a “Subsidiary Borrower” and collectively the “Subsidiary Borrowers” and together with Harvest, each individually and collectively, jointly and severally, the “Borrower”), each of the undersigned financial institutions (individually each a “Lender” and collectively the “Lenders”), which Lenders collectively constitute all of the Lenders party to the Loan Agreement (defined below) as of the date hereof, and
TWELFTH AMENDMENT TO LOAN AND SECURITY AGREEMENTLoan and Security Agreement • January 26th, 2021 • Harvest Capital Credit Corp • New York
THIS TWELFTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”) is entered into as of January 22, 2021 (for purposes hereof, the “Twelfth Amendment Effective Date”), by and among HARVEST CAPITAL CREDIT CORPORATION, a Delaware corporation (“Harvest”), HCAP Equity Holdings, LLC, a Delaware limited liability company (“Attached Equity Holder”), and HCAP ICC, LLC, a Delaware limited liability company (“ICC Loan Subsidiary”), and each other Subsidiary of Harvest from time to time party hereto as a “Borrower” (together with Attached Equity Holder and ICC Loan Subsidiary, each individually a “Subsidiary Borrower” and collectively the “Subsidiary Borrowers” and together with Harvest, each individually and collectively, jointly and severally, the “Borrower”), each of the undersigned financial institutions (individually each a “Lender” and collectively the “Lenders”), which Lenders collectively constitute all of the Lenders party to the Loan Agreement (defined below) as of the date hereo
THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENTLoan and Security Agreement • September 28th, 2015 • Harvest Capital Credit Corp • California
THIS THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”) is entered into as of September 22, 2015 (for purposes hereof, the “Third Amendment Effective Date”), by and among HARVEST CAPITAL CREDIT CORPORATION, a Delaware corporation (“Borrower”), each of the financial institutions from time to time party hereto (individually each a “Lender” and collectively the “Lenders”) and PACIFIC WESTERN BANK (successor-by-merger to CapitalSource Bank), a California state-chartered bank and, as administrative, payment and collateral agent for itself, as a Lender, and for the other Lenders (together with its successors and assigns in such capacities, “Agent”).
LOAN AGREEMENT dated as of August 24, 2011 between HARVEST CAPITAL CREDIT LLC As Company and JMP GROUP LLC As LenderLoan Agreement • April 24th, 2013 • Harvest Capital Credit Corp • California
THIS LOAN AGREEMENT (this “Agreement”), dated as of August 24, 2011, is made between HARVEST CAPITAL CREDIT LLC, a Delaware limited liability company (the “Company”), and JMP GROUP LLC, a Delaware limited liability company (the “Lender”).
AMENDMENT NUMBER ONE TO LOAN AGREEMENT & OMNIBUS ASSUMPTION AGREEMENTLoan Agreement • April 24th, 2013 • Harvest Capital Credit Corp • California
This AMENDMENT NUMBER ONE TO LOAN AGREEMENT & OMNIBUS ASSUMPTION AGREEMENT (this “Amendment”), dated as of March 25, 2013 is entered into by and among HARVEST CAPITAL CREDIT LLC, a Delaware limited liability company (“HCC”), HARVEST CAPITAL CREDIT CORPORATION, a Delaware Corporation (“BDC”), and JMP GROUP LLC, a Delaware limited liability company (“Lender”), and in light of the following:
SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENTLoan and Security Agreement • January 27th, 2015 • Harvest Capital Credit Corp • California
THIS SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”) is entered into as of December 17, 2014, by and among HARVEST CAPITAL CREDIT CORPORATION, a Delaware corporation (“Borrower”), each of the financial institutions from time to time party hereto (individually each a “Lender” and collectively the “Lenders”) and PACIFIC WESTERN BANK (successor-by-merger to CapitalSource Bank), a California state-chartered bank and, as administrative, payment and collateral agent for itself, as a Lender, and for the other Lenders (together with its successors and assigns in such capacities, “Agent”).
ELEVENTH AMENDMENT TO LOAN AND SECURITY AGREEMENTLoan and Security Agreement • November 5th, 2020 • Harvest Capital Credit Corp • New York
THIS ELEVENTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”) is entered into as of October 30, 2020 (for purposes hereof, the “Eleventh Amendment Effective Date”), by and among HARVEST CAPITAL CREDIT CORPORATION, a Delaware corporation (“Harvest”), HCAP Equity Holdings, LLC, a Delaware limited liability company (“Attached Equity Holder”), and HCAP ICC, LLC, a Delaware limited liability company (“ICC Loan Subsidiary”), and each other Subsidiary of Harvest from time to time party hereto as a “Borrower” (together with Attached Equity Holder and ICC Loan Subsidiary, each individually a “Subsidiary Borrower” and collectively the “Subsidiary Borrowers” and together with Harvest, each individually and collectively, jointly and severally, the “Borrower”), each of the undersigned financial institutions (individually each a “Lender” and collectively the “Lenders”), which Lenders collectively constitute all of the Lenders party to the Loan Agreement (defined below) as of the date her
SECOND SUPPLEMENTAL INDENTURE between HARVEST CAPITAL CREDIT CORPORATION and as Trustee Dated as of August 24, 2017Second Supplemental Indenture • August 24th, 2017 • Harvest Capital Credit Corp • New York
THIS SECOND SUPPLEMENTAL INDENTURE (this “Second Supplemental Indenture”), dated as of August 24, 2017, is between Harvest Capital Credit Corporation, a Delaware 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).
PLEDGE AGREEMENTPledge Agreement • August 9th, 2016 • Harvest Capital Credit Corp • California
This PLEDGE AGREEMENT, dated as of August 4, 2016 (as may be amended, restated, supplemented, or otherwise modified from time to time, this “Agreement”) made by HARVEST CAPITAL CREDIT CORPORATION, a Delaware corporation (“Pledgor”), in favor of PACIFIC WESTERN BANK, a California state chartered bank, in its capacity as agent (in such capacity, together with its successors and assigns, the “Agent”) on behalf of itself as a Lender (as defined below) and the other Lenders.
FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND JOINDER AND LIMITED WAIVER AND CONSENTLoan and Security Agreement • August 9th, 2016 • Harvest Capital Credit Corp • California
THIS FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND JOINDER AND LIMITED WAIVER AND CONSENT (this “Amendment”) is entered into as of August 4, 2016 (for purposes hereof, the “Fourth Amendment Effective Date”), by and among HARVEST CAPITAL CREDIT CORPORATION, a Delaware corporation (“Existing Borrower” and “Harvest” herein), HCAP EQUITY HOLDINGS, LLC, a Delaware limited liability company (“New Borrower” and “Attached Equity Holder” herein, and together with the Existing Borrower, each individually and collectively, jointly and severally, the “Borrower”), each of the financial institutions from time to time party hereto (individually each a “Lender” and collectively the “Lenders”) and PACIFIC WESTERN BANK (successor-by-merger to CapitalSource Bank), a California state-chartered bank and, as administrative, payment and collateral agent for itself, as a Lender, and for the other Lenders (together with its successors and assigns in such capacities, “Agent”).
SIXTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND JOINDER AND LIMITED WAIVER AND CONSENTLoan and Security Agreement • April 2nd, 2018 • Harvest Capital Credit Corp • California
THIS SIXTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND JOINDER AND LIMITED WAIVER AND CONSENT (this “Amendment”) is entered into as of November 28, 2017 (for purposes hereof, the “Sixth Amendment Effective Date”), by and among HARVEST CAPITAL CREDIT CORPORATION, a Delaware corporation (“Harvest”), HCAP EQUITY HOLDINGS, LLC, a Delaware limited liability company (“Attached Equity Holder” and together with Harvest, each an “Existing Borrower” and collectively, the “Existing Borrowers”), HCAP ICC, LLC, a Delaware limited liability company (“New Borrower” and “ICC Loan Subsidiary” herein, and together with the Existing Borrowers, each individually and collectively, jointly and severally, the “Borrower”), each of the financial institutions from time to time party hereto (individually each a “Lender” and collectively the “Lenders”) and PACIFIC WESTERN BANK (successor-by-merger to CapitalSource Bank), a California state-chartered bank and, as administrative, payment and collateral agent for i
LIMITED WAIVER AND CONSENT TO Loan and Security AgreementLoan and Security Agreement • August 21st, 2017 • Harvest Capital Credit Corp • New York
THIS LIMTIED WAIVER AND CONSENT to Loan and Security Agreement, dated as of August 18, 2017 (this “Waiver”), is entered into by and among HARVEST CAPITAL CREDIT CORPORATION, a Delaware corporation (“Harvest”), HCAP EQUITY HOLDINGS, LLC, a Delaware limited liability company (“Attached Equity Holder” herein, and together with Harvest, each individually and collectively, jointly and severally, the “Borrower”), each of the undersigned Lenders, and PACIFIC WESTERN BANK (successor-by-merger to CapitalSource Bank), a California state-chartered bank and, as administrative, payment and collateral agent for itself, as a Lender, and for the other Lenders (together with its successors and assigns in such capacities, “Agent”).
WARRANT TO PURCHASE COMMON STOCKPurchase Common Stock • May 2nd, 2013 • Harvest Capital Credit Corp • New York
THIS WARRANT TO PURCHASE COMMON STOCK (this “Warrant Agreement”) is for the benefit of [___________] (the “Warrant Holder”) and entitles the Warrant Holder to subscribe for and purchase from Harvest Capital Credit Corporation, a Delaware corporation (the “Company”), subject to the terms set forth below, an aggregate of [______(_____)] shares of common stock, par value $0.001 per share (“Common Stock”) of the Company (such aggregate number of shares of Common Stock being referred to herein as the “Warrant Shares”) at the purchase price of $[____] per Share (the “Warrant Price”), upon surrender of the duly executed Notice of Exercise (“Notice of Exercise”) attached hereto as Exhibit A, at the principal office of the Company, and simultaneous payment therefor in lawful money of the United States. The number, character and Warrant Price of such Warrant Shares are subject to adjustment as provided below. The term “Warrant” as used herein shall include this Warrant Agreement and any warrant
