Common Contracts
9 similar Underwriting Agreement contracts by Saratoga Investment Corp.
SARATOGA INVESTMENT CORP.Underwriting Agreement • April 14th, 2023 • Saratoga Investment Corp. • New York
The Securities will be issued under the indenture dated as of May 10, 2013 between the Fund and U.S. Bank National Association, as trustee (the “Trustee”), as amended and supplemented by that certain Fifteenth Supplemental Indenture to be dated as of April 14, 2023 (such indenture, as so amended and supplemented, the “Indenture”). The Fund also proposes to sell to the several Underwriters up to an additional $7,500,000 total aggregate principal amount of Notes (the “Additional Notes”) if and to the extent that Ladenburg Thalmann & Co. Inc., as the representative of the Underwriters in the offering (the “Representative”), shall have determined to exercise, on behalf of the Underwriters, the right to purchase such Additional Notes granted to the Underwriters in Section 3 hereof. The Notes and the Additional Notes are hereinafter collectively referred to as the “Securities.”
SARATOGA INVESTMENT CORP.Underwriting Agreement • October 20th, 2022 • Saratoga Investment Corp. • New York
The Securities will be issued under the indenture dated as of May 10, 2013 between the Fund and U.S. Bank National Association, as trustee (the “Trustee”), as amended and supplemented by that certain Twelfth Supplemental Indenture to be dated as of October 27, 2022 (such indenture, as so amended and supplemented, the “Indenture”). The Fund also proposes to sell to the several Underwriters up to an additional $6,000,000 total aggregate principal amount of Notes (the “Additional Notes”) if and to the extent that Ladenburg Thalmann & Co. Inc., as the representative of the Underwriters in the offering (the “Representative”), shall have determined to exercise, on behalf of the Underwriters, the right to purchase such Additional Notes granted to the Underwriters in Section 3 hereof. The Notes and the Additional Notes are hereinafter collectively referred to as the “Securities.”
SARATOGA INVESTMENT CORP.Underwriting Agreement • April 20th, 2022 • Saratoga Investment Corp. • New York
The Securities will be issued under the indenture dated as of May 10, 2013 between the Fund and U.S. Bank National Association, as trustee (the “Trustee”), as amended and supplemented by that certain Tenth Supplemental Indenture to be dated as of April 27, 2022 (such indenture, as so amended and supplemented, the “Indenture”). The Fund also proposes to sell to the several Underwriters up to an additional $12,500,000 total aggregate principal amount of Notes (the “Additional Notes”) if and to the extent that Ladenburg Thalmann & Co. Inc., as the representative of the Underwriters in the offering (the “Representative”), shall have determined to exercise, on behalf of the Underwriters, the right to purchase such Additional Notes granted to the Underwriters in Section 3 hereof. The Notes and the Additional Notes are hereinafter collectively referred to as the “Securities.”
SARATOGA INVESTMENT CORP.Underwriting Agreement • June 23rd, 2020 • Saratoga Investment Corp. • New York
The Securities will be issued under the indenture dated as of May 10, 2013 between the Fund and U.S. Bank National Association, as trustee (the “Trustee”), as amended and supplemented by that certain Fourth Supplemental Indenture to be dated as of June 24, 2020 (such indenture, as so amended and supplemented, the “Indenture”). The Fund also proposes to sell to the several Underwriters up to an additional $5.625 million total aggregate principal amount of Notes (the “Additional Notes”) if and to the extent that Ladenburg Thalmann & Co. Inc., as the representative of the Underwriters in the offering (the “Representative”), shall have determined to exercise, on behalf of the Underwriters, the right to purchase such Additional Notes granted to the Underwriters in Section 3 hereof. The Notes and the Additional Notes are hereinafter collectively referred to as the “Securities.”
SARATOGA INVESTMENT CORP. UNDERWRITING AGREEMENTUnderwriting Agreement • February 5th, 2019 • Saratoga Investment Corp. • New York
Saratoga Investment Corp., a corporation incorporated under the laws of the State of Maryland (the “Fund”), is a non-diversified closed-end management investment company that has elected to be treated as a business development company under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Fund proposes to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) $17.5 million total aggregate principal amount of its 6.25% Senior Notes due 2025 (the “Notes”).
SARATOGA INVESTMENT CORP.Underwriting Agreement • August 28th, 2018 • Saratoga Investment Corp. • New York
Saratoga Investment Corp., a corporation incorporated under the laws of the State of Maryland (the “Fund”), is a non-diversified closed-end management investment company that has elected to be treated as a business development company under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Fund proposes to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) $35 million total aggregate principal amount of its 6.25% Senior Notes due 2025 (the “Notes”). The Securities will be issued under the indenture dated as of May 10, 2013 between the Fund and U.S. Bank National Association, as trustee (the “Trustee”), as amended and supplemented by that certain Supplemental Indenture to be dated as of August 28, 2018 (such indenture, as so amended and supplemented, the “Indenture”). The Fund also proposes to sell to the several Underwriters up to an additional $5 million total aggregate principal amount of Notes (the “Additional
1,150,000 SHARES OF COMMON STOCK $0.001 PAR VALUE PER SHARE OF SARATOGA INVESTMENT CORP. UNDERWRITING AGREEMENTUnderwriting Agreement • July 12th, 2018 • Saratoga Investment Corp. • New York
SARATOGA INVESTMENT CORP. [ • ]% Notes due 202[ • ] UNDERWRITING AGREEMENTUnderwriting Agreement • December 12th, 2016 • Saratoga Investment Corp. • New York
SARATOGA INVESTMENT CORP. % Senior Notes due 2020 UNDERWRITING AGREEMENTUnderwriting Agreement • April 29th, 2013 • Saratoga Investment Corp. • New York
