CUSTODY AGREEMENT by and between STONECASTLE FINANCIAL CORP. and THE BANK OF NEW YORK MELLONCustody Agreement • July 29th, 2014 • StoneCastle Financial Corp. • New York
CUSTODY AGREEMENT, dated as of the latest date set forth on the signature page hereto, between STONECASTLE FINANCIAL CORP., a corporation organized under the laws of Delaware (the “Fund”) and THE BANK OF NEW YORK MELLON, a bank organized under the laws of the state of New York (the “Custodian”).
FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • July 29th, 2014 • StoneCastle Financial Corp. • New York
· Provide financial reporting calendar that includes when drafts of the above will be available and the due dates for each.
MANAGEMENT AGREEMENT BETWEEN STONECASTLE FINANCIAL CORP. AND STONECASTLE ASSET MANAGEMENT LLCManagement Agreement • July 29th, 2014 • StoneCastle Financial Corp.
THIS MANAGEMENT AGREEMENT (the “Agreement”), dated November 1, 2013 (the “Effective Date”), is entered into between StoneCastle Financial Corp., a Delaware corporation (the “Company”) and StoneCastle Asset Management LLC, a Delaware limited liability company (the “Advisor”).
TRADEMARK LICENSE AGREEMENTTrademark License Agreement • July 29th, 2014 • StoneCastle Financial Corp. • New York
THIS TRADEMARK LICENSE AGREEMENT (“Agreement”) is made as of November 1, 2013 (“Effective Date”) by and between StoneCastle Partners, LLC, a Delaware limited liability company with a principal place of business located at 152 W 57th St., 35th Floor, New York, NY 10019 (“Licensor”) and StoneCastle Financial Corp., a Delaware corporation, with a principal place of business located at 152 W 57th St., 35th Floor, New York, NY 10019 (“Licensee”, with Licensor collectively the “Parties” and singularly a “Party”).
FIRST AMENDMENT TO CREDIT AGREEMENTCredit Agreement • July 29th, 2014 • StoneCastle Financial Corp. • Texas
THIS FIRST AMENDMENT TO CREDIT AGREEMENT (this “First Amendment”), dated as of July 24, 2014, is by and among STONECASTLE FINANCIAL CORP., a Delaware corporation (the “Borrower”), the lender listed on the signature pages hereof (the “Lender”), and TEXAS CAPITAL BANK, NATIONAL ASSOCIATION, as Administrative Agent and L/C Issuer (in said capacity as Administrative Agent, the “Administrative Agent”).
Transfer Agency and Service Agreement Between StoneCastle Financial Corp. and Computershare Trust Company, N.A. and Computershare Inc.Transfer Agency and Service Agreement • July 29th, 2014 • StoneCastle Financial Corp. • New York
AGREEMENT effective as of the 9th day of September, 2013 (“Effective Date”) by and between StoneCastle Financial Corp., a Delaware corporation, having its principal office and place of business at 152 West 57th Street, 35th Floor, New York, New York 10019 (“Company”), and Computershare Inc., a Delaware corporation, and its fully owned subsidiary Computershare Trust Company, N.A., a federally chartered trust company, having its principal office and place of business at 250 Royall Street, Canton, Massachusetts 02021 (collectively, “Transfer Agent” or individually, “Computershare” and “Trust Company”, respectively).
StoneCastle Financial Corp. [·] Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • July 29th, 2014 • StoneCastle Financial Corp. • New York
StoneCastle Financial Corp., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representative (the “Representative”) an aggregate of [·] shares (the “Firm Shares”) of the common stock, par value $0.001 per share, of the Company (the “Common Stock”). The Company also proposes to sell to the several Underwriters, for the sole purpose of covering over-allotments in connection with the sale of the Firm Shares, at the option of the Underwriters, up to an additional [·] shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares.”
STAFFING AGREEMENTStaffing Agreement • July 29th, 2014 • StoneCastle Financial Corp. • New York
THIS STAFFING AGREEMENT (“Agreement”) is made and entered into as of the 1st day of November, 2013, by and among StoneCastle Partners, LLC (“SCP”), StoneCastle Cash Management, LLC (“SCCM” and, together with SCP, the “SCP Affiliates”) and StoneCastle Asset Management LLC (“SAM”).
