Common Contracts
10 similar Underwriting Agreement contracts by KCAP Financial, Inc., Kohlberg Capital CORP, Capital Southwest Corp
50,000,000 Aggregate Principal Amount 5.95% Notes due 2022 UNDERWRITING AGREEMENT New York, New York December 12, 2017Underwriting Agreement • December 15th, 2017 • Capital Southwest Corp • New York
Capital Southwest Corporation, a Texas corporation (the “Company”), confirms its agreement with Keefe, Bruyette & Woods, Inc. and each of the other Underwriters named in Schedule A hereto (collectively, the “Underwriters”, which term shall also include any underwriter substituted as hereinafter provided in Section 9 hereof), for whom Keefe, Bruyette & Woods, Inc. 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, of $50,000,000 aggregate principal amount of 5.95% Notes due 2022 (the “Securities”) of the Company, 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 Option Securities (as hereinafter defined). The Securities will be issued under an indenture, dated as of October 23, 2017 (the “Base Indenture”), between the Company and U.S. Bank N
17,830,175 Aggregate Principal Amount 6.125% Notes due 2022 UNDERWRITING AGREEMENTUnderwriting Agreement • September 20th, 2017 • KCAP Financial, Inc. • New York
KCAP Financial, Inc., a Delaware corporation (the “Company”), confirms its agreement with Keefe, Bruyette & Woods, Inc. and each of the other Underwriters named in Schedule A hereto (collectively, the “Underwriters”, which term shall also include any underwriter substituted as hereinafter provided in Section 9 hereof), for whom Keefe, Bruyette & Woods, Inc. 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, of $17,830,175 aggregate principal amount of 6.125% Notes due 2022 (the “Securities”) of the Company, 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 additional Securities (as hereinafter defined).
50,000,000 Aggregate Principal Amount Notes due 2022 UNDERWRITING AGREEMENTUnderwriting Agreement • August 14th, 2017 • KCAP Financial, Inc. • New York
KCAP Financial, Inc., a Delaware corporation (the “Company”), confirms its agreement with Keefe, Bruyette & Woods, Inc. and each of the other Underwriters named in Schedule A hereto (collectively, the “Underwriters”, which term shall also include any underwriter substituted as hereinafter provided in Section 9 hereof), for whom Keefe, Bruyette & Woods, Inc. 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, of $50,000,000 aggregate principal amount of notes due 2022 (the “Securities”) of the Company, 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 additional Securities (as hereinafter defined). The Securities will be issued under an indenture dated as of October 10, 2012 (the “Base Indenture”), between the Company and U.S. Bank National A
3,000,000 Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 9th, 2014 • KCAP Financial, Inc. • New York
] Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • February 4th, 2013 • KCAP Financial, Inc. • New York
] Aggregate Principal Amount Senior Notes due 20[ ] UNDERWRITING AGREEMENTUnderwriting Agreement • October 3rd, 2012 • KCAP Financial, Inc. • New York
KCAP Financial, Inc., a Delaware corporation (the “Company”), confirms its agreement with Stifel, Nicolaus & Company, Incorporated and each of the other Underwriters named in Schedule A hereto (collectively, the “Underwriters”, which term shall also include any underwriter substituted as hereinafter provided in Section 9 hereof), for whom Stifel, Nicolaus & Company, Incorporated 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, of $[ ] aggregate principal amount of senior notes due 20[ ] (the “Securities”) of the Company, 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 additional Securities (as hereinafter defined). The Securities will be issued under an indenture dated as of [ ], 2012, between the Company and U.S. Bank National Associat
] Aggregate Principal Amount Senior Securities $[ ] Aggregate Principal Amount Subordinated Securities and [ ] Warrants to Purchase Debt Securities UNDERWRITING AGREEMENTUnderwriting Agreement • August 1st, 2011 • Kohlberg Capital CORP • New York
Kohlberg Capital Corporation, a Delaware corporation (the “Company”), confirms its agreement with [ ] and each of the other Underwriters named in Schedule A hereto (collectively, the “Underwriters”, which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom [ ] are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Company and the purchase by the Underwriters, acting severally and not jointly, $[ ] aggregate principal amount of senior debt securities (the “Senior Securities”) or subordinated debt securities (the “Subordinated Securities”), or both, or warrants (the “Debt Warrants”) to purchase Senior Securities or Subordinated Securities, or both, of the Company set forth in said Schedule A, 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 additional Securities (as
] Shares of Common Stock [ ] Shares of Preferred Stock and [ ] Warrants to Purchase Common Stock or Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • August 1st, 2011 • Kohlberg Capital CORP • New York
Kohlberg Capital Corporation, a Delaware corporation (the “Company”), confirms its agreement with [ ] and each of the other Underwriters named in Schedule A hereto (collectively, the “Underwriters”, which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom [ ] are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Company and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of shares of common stock, par value $0.01 per share (“Common Stock”), or preferred stock, par value $0.01 per share (“Preferred Stock”), or both, or warrants (the “Warrants”) to purchase Common Stock or Preferred Stock, or both, of the Company set forth in said Schedule A, 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 additional Securities (as he
] Aggregate Principal Amount Senior Securities $[ ] Aggregate Principal Amount Subordinated Securities and [ ] Warrants to Purchase Debt Securities UNDERWRITING AGREEMENTUnderwriting Agreement • May 29th, 2008 • Kohlberg Capital CORP • New York
Kohlberg Capital Corporation, a Delaware corporation (the “Company”), confirms its agreement with [ ] and each of the other Underwriters named in Schedule A hereto (collectively, the “Underwriters”, which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom [ ] are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Company and the purchase by the Underwriters, acting severally and not jointly, $[ ] aggregate principal amount of senior debt securities (the “Senior Securities”) or subordinated debt securities (the “Subordinated Securities”), or both, or warrants (the “Debt Warrants”) to purchase Senior Securities or Subordinated Securities, or both, of the Company set forth in said Schedule A, 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 additional Securities (as
] Shares of Common Stock [ ] Shares of Preferred Stock and [ ] Warrants to Purchase Common Stock or Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • May 29th, 2008 • Kohlberg Capital CORP • New York
Kohlberg Capital Corporation, a Delaware corporation (the “Company”), confirms its agreement with [ ] and each of the other Underwriters named in Schedule A hereto (collectively, the “Underwriters”, which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom [ ] are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Company and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of shares of common stock, par value $0.01 per share (“Common Stock”), or preferred stock, par value $0.01 per share (“Preferred Stock”), or both, or warrants (the “Warrants”) to purchase Common Stock or Preferred Stock, or both, of the Company set forth in said Schedule A, 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 additional Securities (as he
