Common Contracts
36 similar Underwriting Agreement contracts by Oxford Lane Capital Corp., Full Circle Capital Corp, GSV Capital Corp., others
100,000,000 Principal Amount OXFORD LANE CAPITAL CORP.Underwriting Agreement • July 8th, 2024 • Oxford Lane Capital Corp. • New York
Oxford Lane Capital Corp., a corporation incorporated under the laws of the State of Maryland (the “Fund”), is a closed-end management investment company that has registered as an investment 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”) $100,000,000 in aggregate principal amount of its 8.75% Notes Due 2030 (the “Notes”). The Fund also proposes to sell to the several Underwriters up to an additional $15,000,000 aggregate principal amount of Notes (the “Additional Notes” and, together with the Notes, the “Securities”) if and to the extent that Lucid Capital Markets, LLC, 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 Securities will be i
2,400,000 ShARES OXFORD LANE CAPITAL CORP. Series 2029 Term Preferred Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • June 16th, 2022 • Oxford Lane Capital Corp. • New York
87,000,000 Principal Amount OXFORD LANE CAPITAL CORP.Underwriting Agreement • January 13th, 2022 • Oxford Lane Capital Corp. • New York
Oxford Lane Capital 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 registered as an investment 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”) $87,000,000 in aggregate principal amount of its 5.00% Notes Due 2027 (the “Notes”). The Fund also proposes to sell to the several Underwriters up to an additional $13,000,000 aggregate principal amount of Notes (the “Additional Notes” and, together with the Notes, the “Securities”) 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 Se
2,400,000 Shares OXFORD LANE CAPITAL CORP. Series 2029 Term Preferred Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • August 17th, 2021 • Oxford Lane Capital Corp. • New York
OXFORD SQUARE CAPITAL CORP.Underwriting Agreement • May 14th, 2021 • Oxford Square Capital Corp. • New York
Oxford Square Capital 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 regulated 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”) $70,000,000 aggregate principal amount of its 5.50% Notes Due 2028 (the “Notes”). The Securities will be issued under an indenture dated as of April 12, 2017 by and between the Fund and U.S. Bank National Association, as trustee (the “Trustee”), as amended and supplemented by that certain Third Supplemental Indenture to be dated as of or about May 20, 2021 (such indenture, as amended and supplemented, the “Indenture”). The Fund also proposes to sell to the several Underwriters up to an additional $10,500,000 aggregate principal amount of Notes (the “Addition
87,000,000 Principal AmountUnderwriting Agreement • March 11th, 2021 • Oxford Lane Capital Corp. • New York
Oxford Lane Capital 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 registered as an investment 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”) $87,000,000 in aggregate principal amount of its 6.75% Notes Due 2031 (the “Notes”). The Fund also proposes to sell to the several Underwriters up to an additional $13,000,000 aggregate principal amount of Notes (the “Additional Notes” and, together with the Notes, the “Securities”) 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 Se
3,500,000 Shares OXFORD LANE CAPITAL CORP. Series 2027 Term Preferred Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • February 7th, 2020 • Oxford Lane Capital Corp. • New York
OXFORD SQUARE CAPITAL CORP. 6.25% Notes due 2026 UNDERWRITING AGREEMENTUnderwriting Agreement • April 3rd, 2019 • Oxford Square Capital Corp. • New York
RIVERNORTH MARKETPLACE LENDING CORPORATION [Ÿ] % Series ___ Term Preferred Stock Due 20[Ÿ], $0.0001 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • October 2nd, 2017 • RiverNorth Marketplace Lending Corp • New York
2,500,000 Shares OXFORD LANE CAPITAL CORP. Series 2024 Term Preferred Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • June 7th, 2017 • Oxford Lane Capital Corp. • New York
Oxford Lane Capital 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 registered as an investment 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”) 2,500,000 shares of a new Series 2024 Term Preferred Stock, $0.01 par value per share (the “Firm Shares”). The Fund also proposes to sell to the several Underwriters not more than an additional 375,000 shares of the new Series 2024 Term Preferred Stock, $0.01 par value per share (the “Additional Shares”) 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 Shares granted to the Underwriters in S
TICC CAPITAL CORP. UNDERWRITING AGREEMENTUnderwriting Agreement • April 12th, 2017 • TICC Capital Corp. • New York
TICC Capital 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 regulated 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”) $57,500,000 aggregate principal amount of its 6.50% notes due March 30, 2024 (the “Notes”). The Securities will be issued under an indenture to be dated as of April 12, 2017 by and between the Fund and U.S. Bank National Association, as trustee (the “Trustee”), as amended and supplemented by that certain First Supplemental Indenture to be dated April 12, 2017 (such indenture, as amended and supplemented, the “Indenture”). The Fund also proposes to sell to the several Underwriters up to an additional $8,625,000 aggregate principal amount of Notes (the “Additional Note
1,224,490 Shares OXFORD LANE CAPITAL CORP. Series 2023 Term Preferred Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • June 19th, 2015 • Oxford Lane Capital Corp. • New York
1,800,000 Shares OXFORD LANE CAPITAL CORP. Common Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • June 4th, 2015 • Oxford Lane Capital Corp. • New York
1,000,000 Shares OXFORD LANE CAPITAL CORP. Series 2024 Term Preferred Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • November 21st, 2014 • Oxford Lane Capital Corp. • New York
1,120,000 Shares OXFORD LANE CAPITAL CORP. Series 2024 Term Preferred Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • May 30th, 2014 • Oxford Lane Capital Corp. • New York
2,800,000 Shares OXFORD LANE CAPITAL CORP. Common Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • March 12th, 2014 • Oxford Lane Capital Corp. • New York
1,650,000 Shares FULL CIRCLE CAPITAL CORPORATION Common Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • January 15th, 2014 • Full Circle Capital Corp • New York
1,625,000 Shares OXFORD LANE CAPITAL CORP. Series 2023 Term Preferred Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • November 14th, 2013 • Oxford Lane Capital Corp. • New York
FORM OF UNDERWRITING AGREEMENT] FULL CIRCLE CAPITAL CORPORATION [ ]% Senior Notes due 2020 UNDERWRITING AGREEMENTUnderwriting Agreement • June 19th, 2013 • Full Circle Capital Corp • New York
800,000 Shares OXFORD LANE CAPITAL CORP. Series 2023 Term Preferred Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • June 14th, 2013 • Oxford Lane Capital Corp. • New York
1,350,000 Shares FULL CIRCLE CAPITAL CORPORATION Common Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • November 28th, 2012 • Full Circle Capital Corp • New York
600,000 Shares OXFORD LANE CAPITAL CORP. Preferred Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • November 20th, 2012 • Oxford Lane Capital Corp. • New York
Form of Underwriting Agreement] [ ] Shares OXFORD LANE CAPITAL CORP. Common Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • October 5th, 2012 • Oxford Lane Capital Corp. • New York
Oxford Lane Capital 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 registered as an investment 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”) [ ] shares of common stock, $0.01 par value per share (the “Firm Shares”). The Fund also proposes to sell to the several Underwriters not more than an additional [ ] shares of common stock, $0.01 par value per share (the “Additional Shares”) if and to the extent that [ ], 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 shares granted to the Underwriters in Section 3 hereof. The Firm Shares and the Additional Shares are hereinafter collectively referred to a
FORM OF UNDERWRITING AGREEMENT] _____________ Shares FULL CIRCLE CAPITAL CORPORATION Common Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • July 13th, 2012 • Full Circle Capital Corp • New York
Full Circle Capital Corporation, 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”) __________ shares of common stock, $0.01 par value per share (the “Firm Shares”). The Fund also proposes to sell to the several Underwriters not more than an additional _____________ shares of common stock, $0.01 par value per share (the “Additional Shares”) if and to the extent that ________________, 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 shares granted to the Underwriters in Section 3 hereof. The Firm Shares and the Addi
6,000,000 Shares GSV CAPITAL CORP. Common Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • May 11th, 2012 • GSV Capital Corp. • New York
Citigroup Global Markets Inc. As Representative of the several Underwriters named in Schedule I attached hereto, 388 Greenwich Street
FORM OF UNDERWRITING AGREEMENT]Underwriting Agreement • May 7th, 2012 • GSV Capital Corp. • New York
GSV Capital 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”) [·] shares of common stock, $0.01 par value per share (the “Firm Shares”). The Fund also proposes to sell to the several Underwriters not more than an additional [·] shares of common stock, $0.01 par value per share (the “Additional Shares”) if and to the extent that [ ], as the representative of the Underwriters named in Schedule I attached hereto (the “Representative”), shall have determined to exercise, on behalf of the Underwriters, the right to purchase such shares granted to the Underwriters in Section 3 hereof. The Firm Shares and the Additional Shares are herein
·] Shares GSV CAPITAL CORP. Common Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • February 9th, 2012 • GSV Capital Corp. • New York
Citigroup Global Markets Inc. As Representative of the several Underwriters named in Schedule I attached hereto, 388 Greenwich Street
FORM OF UNDERWRITING AGREEMENT] [·] Shares GSV CAPITAL CORP. Common Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • September 13th, 2011 • GSV Capital Corp. • New York
FORM OF UNDERWRITING AGREEMENT] [●] Shares NEXT INNOVATION CORP. Common Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • March 30th, 2011 • NeXt BDC Capital Corp. • New York
6,000,000 Shares THE CUSHING MLP TOTAL RETURN FUND Common Shares of Beneficial Interest, $0.001 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • February 25th, 2011 • Cushing MLP Total Return Fund • New York
Based upon and subject to the foregoing, we are of the opinion that under current U.S. federal income tax law, although the discussion set forth in the Base Prospectus under the heading “Tax Matters,” as supplemented by the Prospectus Supplement, does not purport to discuss all possible U.S. federal income tax consequences of the purchase, ownership or disposition of the Shares, such discussion constitutes, in all material respects, a fair and accurate summary of the U.S. federal income tax consequences that are anticipated to be material to holders who purchase the Shares pursuant to the Prospectus, subject to the qualifications set forth in such discussion.
Form of Underwriting Agreement]Underwriting Agreement • November 30th, 2010 • Oxford Lane Capital Corp. • New York
Form of Underwriting Agreement] 2,800,000 Shares FULL CIRCLE CAPITAL CORPORATION Common Stock, $0.01 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • August 26th, 2010 • Full Circle Capital Corp • New York
7,500,000 Shares THE CUSHING MLP TOTAL RETURN FUND Common Shares of Beneficial Interest, $0.001 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • July 19th, 2010 • Cushing MLP Total Return Fund • New York
Based upon and subject to the foregoing, we are of the opinion that under current U.S. federal income tax law, although the discussion set forth in the Base Prospectus under the heading “Tax Matters,” as supplemented by the Prospectus Supplement, does not purport to discuss all possible U.S. federal income tax consequences of the purchase, ownership or disposition of the Shares, such discussion constitutes, in all material respects, a fair and accurate summary of the U.S. federal income tax consequences that are anticipated to be material to holders who purchase the Shares pursuant to the Prospectus, subject to the qualifications set forth in such discussion.
4,000,000 Shares THE CUSHING MLP TOTAL RETURN FUND Common Shares of Beneficial Interest, $0.001 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • March 12th, 2010 • Cushing MLP Total Return Fund • New York
Based upon and subject to the foregoing, we are of the opinion that under current U.S. federal income tax law, although the discussion set forth in the Base Prospectus under the heading “Tax Matters,”, as supplemented by the Prospectus Supplement, does not purport to discuss all possible U.S. federal income tax consequences of the purchase, ownership or disposition of the Shares, such discussion constitutes, in all material respects, a fair and accurate summary of the U.S. federal income tax consequences that are anticipated to be material to holders who purchase the Shares pursuant to the Prospectus, subject to the qualifications set forth in such discussion.
MORGAN STANLEY FRONTIER EMERGING MARKETS FUND, INC. COMMON STOCK (Par Value $0.01 Per Share) UNDERWRITING AGREEMENTUnderwriting Agreement • July 15th, 2008 • Morgan Stanley Frontier Emerging Markets Fund, Inc. • New York
Morgan Stanley Frontier Emerging Markets Fund, Inc., a corporation organized under the laws of the State of Maryland (the “Fund”), is a newly organized, non-diversified closed-end management investment company registered 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”) [·] shares of its common stock (par value $0.01 per share) (the “Firm Shares”). The Fund also proposes to issue and sell to the several Underwriters not more than an additional [·] shares of its common stock (par value $0.01 per share) (the “Additional Shares”) if and to the extent that you, as manager of the offering, shall have determined to exercise, on behalf of the Underwriters, the right to purchase such shares of common stock granted to the Underwriters in Section 3 hereof. The Firm Shares and the Additional Shares are hereinafter collectively referred to as the “Share
