UNDERWRITING AGREEMENTUnderwriting Agreement • March 28th, 2018 • GSV Capital Corp. • New York
GSV Capital Corp., a Maryland corporation (the “Company”), 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, and the rules and regulations thereunder (collectively, the “Investment Company Act”). The Company proposes to issue and sell $40,000,000 aggregate principal amount of its 4.75% Convertible Notes due 2023 (the “Firm Notes”). Subject to the conditions hereinafter stated, the Company will sell the Firm Notes to BTIG, LLC (the “Underwriter”) in connection with the offer and sale of such Firm Notes.
FIRST AMENDMENT AND CONSENT TO LOAN AND SECURITY AGREEMENTLoan and Security Agreement • March 28th, 2018 • GSV Capital Corp. • New York
This First Amendment and Consent to Loan and Security Agreement is entered into as of March 22, 2018 (the “Amendment”), by and between WESTERN ALLIANCE BANK (“Bank”) and GSV CAPITAL CORP. (“Borrower”).
GSV CAPITAL CORP., Issuer and Trustee First Supplemental Indenture Dated as of March 28, 2018 to Indenture Dated as of March 28, 2018 Providing for the Issuance ofFirst Supplemental Indenture • March 28th, 2018 • GSV Capital Corp. • New York
FIRST SUPPLEMENTAL INDENTURE dated as of March 28, 2018 (the “Supplemental Indenture”) between GSV CAPITAL CORP., a Maryland corporation, as issuer (the “Company,” as more fully set forth in Section 1.01) and U.S. BANK NATIONAL ASSOCIATION, as trustee (the “Trustee,” as more fully set forth in Section 1.01) supplementing the Indenture, dated as of March 28, 2018, between the Company and the Trustee (the “Base Indenture” and the Base Indenture, as amended and supplemented by this Supplemental Indenture, and as it may be further amended or supplemented from time to time with respect to the Notes, the “Indenture”).
