Common Contracts
7 similar Underwriting Agreement contracts by Great Elm Capital Corp., Gladstone Capital Corp
GREAT ELM CAPITAL CORP. $[__________] [_____]% Notes Due 2029 UNDERWRITING AGREEMENTUnderwriting Agreement • February 29th, 2024 • Great Elm Capital Corp. • New York
Great Elm Capital Corp., a Maryland corporation (the “Company”), and Great Elm Capital Management, Inc., a Delaware corporation (the “Adviser”), each confirms with Ladenburg Thalmann & Co. Inc. (“Ladenburg”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Ladenburg is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $[__________] aggregate principal amount (the “Initial Securities”) of the Company’s [_____]% Notes due 2029, and the purchase by the Underwriters, acting severally and not jointly, of the respective aggregate principal amount of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect to the grant by the Company to the Underwriters of the option described in Section 3(b) hereof to purchase all or any part of a
GREAT ELM CAPITAL CORP. $[ ] [ ]% Notes Due 2028 UNDERWRITING AGREEMENTUnderwriting Agreement • July 24th, 2023 • Great Elm Capital Corp. • New York
The Company has entered into an amended and restated investment management agreement, dated as of August 1, 2022 (the “Investment Advisory Agreement”), with the Adviser. The Company has entered into an administration agreement, dated as of September 27, 2016 (the “Administration Agreement”), with the Adviser.
GREAT ELM CAPITAL CORP. $[•] [•]% Notes Due 2026 UNDERWRITING AGREEMENTUnderwriting Agreement • May 12th, 2021 • Great Elm Capital Corp. • New York
Great Elm Capital Corp., a Maryland corporation (the “Company”), and Great Elm Capital Management, Inc., a Delaware corporation (the “Adviser”), each confirms with Oppenheimer & Co. Inc. (“Oppenheimer”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Oppenheimer is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $[•] aggregate principal amount (the “Initial Securities”) of the Company’s [•]% Notes due 2026, and the purchase by the Underwriters, acting severally and not jointly, of the respective aggregate principal amount of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect to the grant by the Company to the Underwriters of the option described in Section 3(b) hereof to purchase all or any part of an additional $[•
GREAT ELM CAPITAL CORP. $[●] [●]% Notes Due 2024 UNDERWRITING AGREEMENTUnderwriting Agreement • December 15th, 2017 • Great Elm Capital Corp. • New York
Great Elm Capital Corp., a Maryland corporation (the “Company”), and Great Elm Capital Management, Inc., a Delaware corporation (the “Adviser”), each confirms with Ladenburg Thalmann & Co. Inc. (“Ladenburg”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Ladenburg is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $[●] aggregate principal amount (the “Initial Securities”) of the Company’s [●]% Notes due 2024, and the purchase by the Underwriters, acting severally and not jointly, of the respective aggregate principal amount of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect to the grant by the Company to the Underwriters of the option described in Section 3(b) hereof to purchase all or any part of an additional
GREAT ELM CAPITAL CORP. $28,375,000 6.50% Notes Due 2022 UNDERWRITING AGREEMENTUnderwriting Agreement • September 21st, 2017 • Great Elm Capital Corp. • New York
Great Elm Capital Corp., a Maryland corporation (the “Company”), and Great Elm Capital Management, Inc., a Delaware corporation (the “Adviser”), each confirms with Janney Montgomery Scott LLC (“Janney”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Janney is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $28,375,000 aggregate principal amount (the “Initial Securities”) of the Company’s 6.50% Notes due 2022, and the purchase by the Underwriters, acting severally and not jointly, of the respective aggregate principal amount of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect to the grant by the Company to the Underwriters of the option described in Section 3(b) hereof to purchase all or any part of an additional
GREAT ELM CAPITAL CORP. $28,375,000 6.50% Notes Due 2022 UNDERWRITING AGREEMENTUnderwriting Agreement • September 19th, 2017 • Great Elm Capital Corp. • New York
Great Elm Capital Corp., a Maryland corporation (the “Company”), and Great Elm Capital Management, Inc., a Delaware corporation (the “Adviser”), each confirms with Janney Montgomery Scott LLC (“Janney”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as provided in Section 8 hereof), for whom Janney is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $28,375,000 aggregate principal amount (the “Initial Securities”) of the Company’s 6.50% Notes due 2022, and the purchase by the Underwriters, acting severally and not jointly, of the respective aggregate principal amount of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect to the grant by the Company to the Underwriters of the option described in Section 3(b) hereof to purchase all or any part of an additional
GLADSTONE CAPITAL CORPORATION Up to 1,610,000 Shares of Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 31st, 2011 • Gladstone Capital Corp • New York
Gladstone Capital Corporation, a Maryland corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation (the “Adviser”), and Gladstone Administration LLC, a Delaware limited liability company (the “Administrator”) each confirms with Janney Montgomery Scott LLC (“JMS”) and each of the other underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 8 hereof), for whom JMS is acting as the representative (in such capacity, the “Representative”), with respect to the issuance and sale by the Company of a total of 1,400,000 shares (the “Initial Securities”) of the Company’s preferred stock, par value $0.001 per share (the “Preferred Stock”), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect to the grant by the Com
