PHENIXFIN CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • November 12th, 2021 • PhenixFIN Corp • New York
PhenixFIN Corporation, a Delaware corporation (the “Company”) confirms with Oppenheimer & Co. Inc. (“OpCo”) 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 OpCo is acting as the representative (in such capacity, the “Representative”) with respect to the issuance and sale by the Company of $50,000,000 aggregate principal amount (the “Initial Securities”) of the Company’s 5.25% notes due 2028 (the “Notes”), and the purchase by the Underwriters, acting severally and not jointly, of the aggregate principal amount of Initial Securities set forth opposite their respective names in Exhibit A hereto, and with respect to the grant by the Company to the Underwriters of the option described in Section 3(b) hereof to purchase all or any part of $7,500,000 aggregate principal amount of Notes (the “Option Securities”) to cover over-allotments, if any. T
