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For more information visit our privacy policy.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
Contract Type FiledMay 31st, 2023 Company JurisdictionOxford 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
FULL CIRCLE CAPITAL CORPORATION Up to 11,949,034 Shares of Common Stock Issuable Upon Exercise of Non-transferable Rights to Subscribe for Such Shares of Common Stock DEALER MANAGER AGREEMENTDealer Manager Agreement • March 10th, 2015 • Full Circle Capital Corp • New York
Contract Type FiledMarch 10th, 2015 Company JurisdictionFull Circle Capital Corporation, a Maryland corporation (the “Company”), Full Circle Advisors, LLC, a Delaware limited liability company (the “Adviser”), and the Full Circle Service Company, 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 March 6, 2015 (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 non-transferable rights entitling Holders to subscribe collectively for up to an aggregate of up to 11,949,034 whole shares (each, a “Share” and, collectively, the “Shares”) of Common Stock (the “Rights Offering”). Pursuant to the terms of the Rights Offer
FORM OF DEALER MANAGER AGREEMENT] OXFORD LANE CAPITAL CORP. Up to 4,021,373 Shares of Common Stock Issuable Upon Exercise of Non-transferable Rights to Subscribe for Such Shares of Common Stock DEALER MANAGER AGREEMENTDealer Manager Agreement • January 23rd, 2014 • Oxford Lane Capital Corp. • New York
Contract Type FiledJanuary 23rd, 2014 Company JurisdictionOxford Lane Capital Corp., a Maryland corporation (the “Company”), Oxford Lane Management, LLC, a Connecticut limited liability company (the “Adviser”), and the Adviser’s managing member, BDC Partners, LLC, a Delaware limited liability company (“BDC Partners”), each confirms its agreement with and appointment of Deutsche Bank Securities Inc. (“Deutsche Bank”) and Ladenburg Thalmann & Co. Inc. (“Ladenburg” ) to act as dealer managers (each a “Dealer Manager” and together, the “Dealer Managers”) 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 February 4, 2014 (the “Record Date ”) or such other date as is established as the record date for such purpose of shares of common stock, par value $.01 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 4,021,373 whole shares (each, a “Share” and, collectively, the “Shares”
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
Contract Type FiledNovember 1st, 2013 Company JurisdictionKeating 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 DEALER MANAGER AGREEMENT] OXFORD LANE CAPITAL CORP. Up to 2,522,077 Shares of Common Stock Issuable Upon Exercise of Non-transferable Rights to Subscribe for Such Shares of Common Stock DEALER MANAGER AGREEMENTDealer Manager Agreement • January 7th, 2013 • Oxford Lane Capital Corp. • New York
Contract Type FiledJanuary 7th, 2013 Company JurisdictionOxford Lane Capital Corp., a Maryland corporation (the “Company”), Oxford Lane Management, LLC, a Connecticut limited liability company (the “ Adviser ”), and the Adviser’s managing member, BDC Partners, LLC, a Delaware limited liability company (“ BDC Partners ”), 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 January 18, 2013 (the “Record Date ”) or such other date as is established as the record date for such purpose of shares of common stock, par value $.01 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 2,522,077 whole shares (each, a “Share ” and, collectively, the “Shares ”) of Common Stock (the “Rights Offering ”). Pursuant to the terms of the Rights Offe
FORM OF DEALER MANAGER AGREEMENT] OXFORD LANE CAPITAL CORP. Up to ● Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares of Common Stock DEALER MANAGER AGREEMENTDealer Manager Agreement • March 27th, 2012 • Oxford Lane Capital Corp. • New York
Contract Type FiledMarch 27th, 2012 Company JurisdictionOxford Lane Capital Corp., a Maryland corporation (the “Company”), Oxford Lane Management, LLC, a Connecticut limited liability company (the “Adviser”), and the Adviser’s managing member, BDC Partners, LLC, a Delaware limited liability company (“BDC Partners”), 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 $.01 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 ● 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 H
FORM OF DEALER MANAGER AGREEMENT] OXFORD LANE CAPITAL CORP. Up to ● Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares of Common Stock DEALER MANAGER AGREEMENTDealer Manager Agreement • July 28th, 2011 • Oxford Lane Capital Corp. • New York
Contract Type FiledJuly 28th, 2011 Company JurisdictionOxford Lane Capital Corp., a Maryland corporation (the “Company”), Oxford Lane Management, LLC, a Delaware limited liability company (the “Adviser”), and the Adviser’s managing member, BDC Partners, LLC, a Delaware limited liability company (“BDC Partners”), 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 “Record Date Holders”) at 5:00 p.m. (New York City time) on ●, 2011 (the “Record Date”) or such other date as is established as the record date for such purpose of shares of common stock, par value $.01 per share (the “Common Stock”), of the Company, of transferable rights entitling Record Date Holders, and any transferees of rights thereof (collectively, the “Holders”), to subscribe collectively for up to an aggregate of up to ● whole shares (each, a “Share” and, collectively, the “Shares”) of Common Stock (the “R
FORM OF DEALER MANAGER AGREEMENT] TICC CAPITAL CORP. Up to • Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares of Common Stock DEALER MANAGER AGREEMENTDealer Manager Agreement • May 15th, 2008 • TICC Capital Corp. • New York
Contract Type FiledMay 15th, 2008 Company JurisdictionTICC Capital Corp., a Maryland corporation (the “Company”), TICC Management, LLC, a Delaware limited liability company (the “Adviser”), and the Adviser’s managing member, BDC Partners, LLC, a Delaware limited liability company (“BDC Partners”), each confirms its agreement with and appointment of RBC Capital Markets Corporation (“RBC”) to act as dealer manager (the “Dealer Manager”) in connection with the issuance by the Company to the holders of record (the “Record Date Holders”) at 5:00 p.m. (New York City time) on •, 2008 (the “Record Date”) or such other date as is established as the record date for such purpose of shares of common stock, par value $.01 per share (the “Common Stock”), of the Company, of transferable rights entitling Record Date Holders, and any transferees of rights thereof (collectively, the “Holders”), to subscribe collectively for up to an aggregate of up to • whole shares (each, a “Share” and, collectively, the “Shares”) of Common Stock (the “Rights Offering”).
Form of Dealer Manager Agreement] TECHNOLOGY INVESTMENT CAPITAL CORP. Up to 3,500,000 Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares of Common Stock DEALER MANAGER AGREEMENTDealer Manager Agreement • December 22nd, 2004 • Technology Investment Capital Corp • New York
Contract Type FiledDecember 22nd, 2004 Company JurisdictionTechnology Investment Capital Corp., a Maryland corporation (the "Company"), Technology Investment Management, LLC., a Delaware limited liability company (the "Adviser") and the Adviser's managing member BDC Partners, LLC, a Delaware limited liability company, ("BDC Partners") each confirms its agreement with and appointment of UBS Securities LLC to act as dealer manager (the "Dealer Manager") in connection with the issuance by the Company to the holders of record (the "Record Date Holders") at 5:00 p.m. (New York City time) on December 29, 2004 (the "Record Date") or such other date as is established as the record date for such purpose of shares of common stock, par value $.01 per share, of the Company (the "Common Stock"), of transferable rights entitling Record Date Holders, and any transferees of rights thereof (collectively, the "Holders"), to collectively subscribe for up to an aggregate of up to 3,500,000 whole shares (each, a "Share" and, collectively, the "Shares") of Common S