GLADSTONE INVESTMENT CORPORATION Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • May 12th, 2017 • Gladstone Investment Corporation\de • New York
Gladstone Investment Corporation, a Delaware 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 (“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 2,100,000 shares (the “Initial Securities”) of the Company’s common stock, par value $0.001 per share (the “Common 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 Company to the Underwr
AMENDMENT NO. 3 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENTFifth Amended and Restated Credit Agreement • May 12th, 2017 • Gladstone Investment Corporation\de • New York
THIS AMENDMENT NO. 3 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”) dated as of January 20, 2017, is entered into among GLADSTONE BUSINESS INVESTMENT, LLC, as Borrower (the “Borrower”), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the “Servicer”), KEYBANK NATIONAL ASSOCIATION (“KeyBank”), ALOSTAR BANK OF COMMERCE (“Alostar”), MANUFACTURERS AND TRADERS TRUST (“MT&T”), EAST WEST BANK (“East West Bank”), CHEMICAL BANK (“Chemical Bank”) and CUSTOMERS BANK (“Customers”) as Lenders (collectively, the “Lenders”) and as Managing Agents (in such capacity, collectively the “Managing Agents”) and KeyBank, as Administrative Agent (in such capacity, the “Administrative Agent”). Capitalized terms used but not otherwise defined herein shall have the meanings ascribed thereto in the “Credit Agreement” referred to below.
