FORM OF DEALER MANAGER AGREEMENT] KEATING CAPITAL, INC. Up to Approximately [2,945,113] Shares of Common Stock Issuable Upon Exercise of Non-Transferable Rights to Subscribe for Such Shares of Common Stock DEALER MANAGER AGREEMENTDealer Manager Agreement • November 1st, 2013 • Keating Capital Inc • New York
Keating Capital, Inc., a Maryland corporation (the “Company”) and Keating Investments, LLC, a Delaware limited liability company (the “Adviser”), each confirms its agreement with and appointment of Ladenburg Thalmann & Co, Inc. (“Ladenburg”) to act as dealer manager (the “Dealer Manager”) in connection with the issuance by the Company to the holders of record (the “Holders”) at 5:00 p.m. (New York City time) on ● (the “Record Date”) or such other date as is established as the record date for such purpose of shares of common stock, par value $0.001 per share (the “Common Stock”), of the Company, of non-transferable rights entitling Holders to subscribe collectively for up to an aggregate of up to approximately [2,945,113] whole shares (each, a “Share” and, collectively, the “Shares”) of Common Stock (the “Rights Offering”). Pursuant to the terms of the Rights Offering, the Company is issuing each Holder one non-transferable right (each, a “Right” and, collectively, the “Rights”) for eve
FORM OF SUBSCRIPTION AGENT AGREEMENT] SUBSCRIPTION AGENT AGREEMENTSubscription Agent Agreement • November 1st, 2013 • Keating Capital Inc • Missouri
This Subscription Agent Agreement (this “Agreement”) is made as of _________, 2013, by and among Keating Capital, Inc. a Maryland corporation (the “Company”), and DST Systems, Inc., a Delaware corporation (the “Agent”), and relates to the registration statement on Form N-2, File No. 333-191525, filed by the Company with the Securities and Exchange Commission (the “Commission”) on October 2, 2013, and as amended on _______, 2013 (in the form such registration statement was declared effective by the Commission on ________, 2013, the “Registration Statement”) and the related prospectus, dated as of _________, 2013 (the “Prospectus”). Capitalized terms not otherwise defined herein shall have the meanings given to them in the Subscription Certificate (as defined below).
FORM OF INFORMATION AGENT AGREEMENT]Information Agent Agreement • November 1st, 2013 • Keating Capital Inc • New York
