FORM OF DEALER MANAGER AGREEMENT ] DEALER MANAGER AGREEMENT KEATING CAPITAL, INC. Up to 10,000,000 Shares of Common Stock, $0.001 par value per shareSelected Dealer Agreement • May 1st, 2009 • Keating Capital Inc • Colorado
Keating Capital, Inc., a Maryland corporation (the “Company”), has registered for public sale (the “Offering”) a maximum of 10,000,000 shares of its common stock, $0.001 par value per share (the “Common Stock”), to be issued and sold to the public on a “best efforts” basis (the “Offered Shares”) through you as the managing dealer (the “Dealer Manager”) and the broker-dealers participating in the offering (the “Selected Dealers”) at an initial offering price of $10.00 per share (subject in certain circumstances to discounts based upon the volume of shares purchased). Terms not otherwise defined herein shall have the same meaning as in the Prospectus, as that term is defined in Section 2.1 below.
FORM OF LOCK-UP LETTER AGREEMENT ]Letter Agreement • May 1st, 2009 • Keating Capital Inc • New York
FORM OF ESCROW AGREEMENT ]Escrow Agreement • May 1st, 2009 • Keating Capital Inc • Colorado
This ESCROW AGREEMENT (this “Agreement”) made as of __________, 2009 by and among KEATING CAPITAL, INC., a Maryland corporation (the “Company”), ANDREWS SECURITIES, LLC, a Delaware limited liability company (the “Investor Agent”), whose addresses and other information appear on the Information Sheet (as defined herein) attached to this Agreement, and STEELE STREET BANK & TRUST, 55 Adams Street, Denver, Colorado 80206 (the “Escrow Agent”).
FORM OF AMENDED AND RESTATED INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENT ] AMENDED AND RESTATED INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENT BETWEEN KEATING CAPITAL, INC. AND KEATING INVESTMENTS, LLCInvestment Advisory And • May 1st, 2009 • Keating Capital Inc • New York
This Agreement (the “Agreement”) made this ____ day of _____, 2009, by and between KEATING CAPITAL, INC, a Maryland corporation (the “Company”), and KEATING INVESTMENTS, LLC, a Delaware limited liability company (the “Adviser”).
