Common Contracts

30 similar Underwriting Agreement contracts by Main Street Capital CORP, Capital Southwest Corp, Stellus Capital Investment Corp

Main Street Capital Corporation (a Maryland Corporation)
Underwriting Agreement • May 30th, 2024 • Main Street Capital CORP • New York

The Securities will be issued under an indenture dated as of April 2, 2013 (the “Base Indenture”), as supplemented by the Seventh Supplemental Indenture, to be dated as of June 4, 2024 (the “Seventh Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

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Main Street Capital Corporation (a Maryland Corporation)
Underwriting Agreement • January 12th, 2024 • Main Street Capital CORP • New York

The Securities will be issued under an indenture dated as of April 2, 2013 (the “Base Indenture”), as supplemented by the Sixth Supplemental Indenture, to be dated as of January 12, 2024 (the “Sixth Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

CAPITAL SOUTHWEST CORPORATION (a Texas Corporation) $62,500,000 7.75% Notes due 2028 UNDERWRITING AGREEMENT June 7, 2023
Underwriting Agreement • June 8th, 2023 • Capital Southwest Corp • New York

Capital Southwest Corporation, a Texas corporation (the “Company”), confirms its agreement with the underwriters named in Schedule A hereto (the “Underwriters”), for whom Oppenheimer & Co. Inc. (“OpCo”) is acting as representative (in such capacity, the “Representative”), with respect to the issue and sale by the Company and the purchase by the Underwriters, acting severally and not jointly (the “Offering”), of $62,500,000 aggregate principal amount of 7.75% Notes due 2028 (the “Initial Securities”), as set forth on Schedule A hereto, and with respect to the grant by the Company to the Underwriters of the option described in Section 2(b) hereof to purchase all or any part of $9,375,000 aggregate principal amount of Notes (the “Option Securities”) to cover over-allotments, if any. The Initial Securities to be purchased by the Underwriters and all or any part of the Option Securities are hereinafter called, collectively, the “Securities.” In the event that only one Underwriter is listed

CAPITAL SOUTHWEST CORPORATION (a Texas Corporation) $50,000,000 3.375% Notes due 2026 UNDERWRITING AGREEMENT November 4, 2021
Underwriting Agreement • November 9th, 2021 • Capital Southwest Corp • New York

The Securities will be issued under an indenture dated as of October 23, 2017 (the “Base Indenture”), as supplemented by the Fourth Supplemental Indenture, dated as of August 27, 2021 (the “Fourth Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and U.S. Bank National Association, as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

Main Street Capital Corporation
Underwriting Agreement • September 30th, 2021 • Main Street Capital CORP • New York

The Securities will be issued under an indenture dated as of April 2, 2013 (the “Base Indenture”), as supplemented by the Fifth Supplemental Indenture, dated as of January 14, 2021 (the “Fifth Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

CAPITAL SOUTHWEST CORPORATION (a Texas Corporation) $100,000,000 3.375% Notes due 2026 UNDERWRITING AGREEMENT August 24, 2021
Underwriting Agreement • August 27th, 2021 • Capital Southwest Corp • New York

The Securities will be issued under an indenture dated as of October 23, 2017 (the “Base Indenture”), as supplemented by the Fourth Supplemental Indenture, to be dated as of August 27, 2021 (the “Fourth Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and U.S. Bank National Association, as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

CAPITAL SOUTHWEST CORPORATION (a Texas Corporation)
Underwriting Agreement • February 25th, 2021 • Capital Southwest Corp • New York

The Securities will be issued under an indenture dated as of October 23, 2017 (the “Base Indenture”), as supplemented by the Third Supplemental Indenture, dated as of December 29, 2020 (the “Third Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and U.S. Bank National Association, as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

a Maryland Corporation) Underwriting Agreement January 12, 2021
Underwriting Agreement • January 14th, 2021 • Main Street Capital CORP • New York
CAPITAL SOUTHWEST CORPORATION (a Texas Corporation)
Underwriting Agreement • December 29th, 2020 • Capital Southwest Corp • New York

The Securities will be issued under an indenture dated as of October 23, 2017 (the “Base Indenture”), as supplemented by the Third Supplemental Indenture, to be dated as of December 29, 2020 (the “Third Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and U.S. Bank National Association, as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

CAPITAL SOUTHWEST CORPORATION (a Texas Corporation)
Underwriting Agreement • August 13th, 2020 • Capital Southwest Corp • New York

The Securities will be issued under an indenture dated as of October 23, 2017 (the “Base Indenture”), as supplemented by the Second Supplemental Indenture, dated as of September 27, 2019 (the “Second Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and U.S. Bank National Association, as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

Main Street Capital Corporation
Underwriting Agreement • July 24th, 2020 • Main Street Capital CORP • New York

The Securities will be issued under an indenture dated as of April 2, 2013 (the “Base Indenture”), as supplemented by the Fourth Supplemental Indenture, dated as of April 23, 2019 (the “Fourth Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

Main Street Capital Corporation
Underwriting Agreement • December 3rd, 2019 • Main Street Capital CORP • New York

The Securities will be issued under an indenture dated as of April 2, 2013 (the “Base Indenture”), as supplemented by the Fourth Supplemental Indenture, dated as of April 23, 2019 (the “Fourth Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

CAPITAL SOUTHWEST CORPORATION (a Texas Corporation)
Underwriting Agreement • October 8th, 2019 • Capital Southwest Corp • New York

The Securities will be issued under an indenture dated as of October 23, 2017 (the “Base Indenture”), as supplemented by the Second Supplemental Indenture, to be dated as of September 27, 2019 (the “Second Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and U.S. Bank National Association, as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

CAPITAL SOUTHWEST CORPORATION
Underwriting Agreement • September 27th, 2019 • Capital Southwest Corp • New York

The Securities will be issued under an indenture dated as of October 23, 2017 (the “Base Indenture”), as supplemented by the Second Supplemental Indenture, to be dated as of September 27, 2019 (the “Second Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and U.S. Bank National Association, as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

MAIN STREET CAPITAL CORPORATION (a Maryland Corporation)
Underwriting Agreement • April 18th, 2019 • Main Street Capital CORP • New York

The Securities will be issued under an indenture dated as of April 2, 2013 (the “Base Indenture”), as supplemented by the Fourth Supplemental Indenture, to be dated as of April 23, 2019 (the “Fourth Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

MAIN STREET CAPITAL CORPORATION (a Maryland Corporation)
Underwriting Agreement • November 17th, 2017 • Main Street Capital CORP • New York

The Securities will be issued under an indenture dated as of April 2, 2013 (the “Base Indenture”), as supplemented by the Third Supplemental Indenture, to be dated as of November 21, 2017 (the “Third Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”), between the Company and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

a Maryland Corporation) $42,500,000 Aggregate Principal Amount of 5.750% Notes due 2022 Underwriting Agreement August 16, 2017
Underwriting Agreement • August 21st, 2017 • Stellus Capital Investment Corp • New York
MAIN STREET CAPITAL CORPORATION (a Maryland Corporation)
Underwriting Agreement • November 4th, 2014 • Main Street Capital CORP • New York

The Securities will be issued under an indenture dated as of April 2, 2013 (the “Base Indenture”), as supplemented by the Second Supplemental Indenture, to be dated as of November 5, 2014 (the “Second Supplemental Indenture” and, collectively with the Base Indenture, the “Indenture”) between the Company and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”). The Securities will be issued to Cede & Co. as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) between the Company and DTC. The Company understands that the Underwriters propose to make a public offering of the Securities as soon as the Underwriters deem advisable after this Agreement has been executed and delivered.

a Maryland Corporation) $25,000,000 Aggregate Principal Amount of 6.50% Notes due 2019 Underwriting Agreement April 29, 2014
Underwriting Agreement • May 2nd, 2014 • Stellus Capital Investment Corp • New York
MAIN STREET CAPITAL CORPORATION (a Maryland Corporation) 4,000,000 Shares of Common Stock Par Value $0.01 per Share UNDERWRITING AGREEMENT April 8, 2014
Underwriting Agreement • April 9th, 2014 • Main Street Capital CORP • New York
MAIN STREET CAPITAL CORPORATION (a Maryland Corporation) 4,000,000 Shares of Common Stock Par Value $0.01 per Share UNDERWRITING AGREEMENT August 13, 2013
Underwriting Agreement • August 13th, 2013 • Main Street Capital CORP • New York
MAIN STREET CAPITAL CORPORATION (a Maryland Corporation)
Underwriting Agreement • March 28th, 2013 • Main Street Capital CORP • New York

Main Street Capital Corporation, a Maryland corporation (the “Company”), confirms its agreement with the underwriters listed on Schedule A, for whom Keefe, Bruyette & Woods, Inc. (“Keefe”) is acting as representative (collectively, the “Underwriters”), with respect to the issue and sale by the Company and the purchase by the Underwriters, acting severally and not jointly (the “Offering”), of $80,000,000 aggregate principal amount of 6.125% Senior Notes due 2023 (the “Senior Notes”), set forth in Schedule A hereof, and with respect to the grant by the Company to the Underwriters, acting severally and not jointly, of the option described in Section 2(b) hereof to purchase up to an additional $12,000,000 aggregate principal amount of Senior Notes to cover over-allotments, if any.

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MAIN STREET CAPITAL CORPORATION (a Maryland Corporation) 2,500,000 Shares of Common Stock Par Value $0.01 per Share UNDERWRITING AGREEMENT December 11, 2012
Underwriting Agreement • December 11th, 2012 • Main Street Capital CORP • New York
MAIN STREET CAPITAL CORPORATION (a Maryland Corporation) 3,750,000 Shares of Common Stock Par Value $0.01 per Share UNDERWRITING AGREEMENT June 21, 2012
Underwriting Agreement • June 22nd, 2012 • Main Street Capital CORP • New York
MAIN STREET CAPITAL CORPORATION (a Maryland Corporation) 3,000,000 Shares of Common Stock Par Value $0.01 per Share UNDERWRITING AGREEMENT October 18, 2011
Underwriting Agreement • October 19th, 2011 • Main Street Capital CORP • New York
MAIN STREET CAPITAL CORPORATION (a Maryland Corporation) 3,500,000 Shares of Common Stock Par Value $0.01 per Share UNDERWRITING AGREEMENT March 22, 2011
Underwriting Agreement • March 22nd, 2011 • Main Street Capital CORP • New York
MAIN STREET CAPITAL CORPORATION (a Maryland Corporation) 2,800,000 Shares of Common Stock Par Value $0.01 per Share UNDERWRITING AGREEMENT August 17, 2010
Underwriting Agreement • August 17th, 2010 • Main Street Capital CORP • New York
Main Street Capital Corporation (a Maryland Corporation) 2,500,000 Shares of Common Stock Par Value $0.01 per Share Underwriting Agreement January 13, 2010
Underwriting Agreement • January 13th, 2010 • Main Street Capital CORP • New York

Morgan Keegan & Company, Inc. As representative of the several Underwriters named in Schedule A c/o Morgan Keegan & Company, Inc. 50 North Front Street Memphis, Tennessee 38103

Main Street Capital Corporation (a Maryland Corporation) 1,250,000 Shares of Common Stock Par Value $0.01 per Share Underwriting Agreement May 28, 2009
Underwriting Agreement • May 28th, 2009 • Main Street Capital CORP • New York

BB&T Capital Markets, a division of Scott & Stringfellow, LLC As representative of the several Underwriters named in Schedule A c/o BB&T Capital Markets 909 East Main Street Richmond, VA 23219

Main Street Capital Corporation (a Maryland Corporation) Shares of Common Stock Par Value $0.01 per Share Underwriting Agreement
Underwriting Agreement • August 15th, 2007 • Main Street Capital CORP • New York

Morgan Keegan & Company, Inc. BB&T Capital Markets As representatives of the several Underwriters named in Schedule A c/o Morgan Keegan & Company, Inc. 50 North Front Street Memphis, TN 38103

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