SARATOGA INVESTMENT CORP.Underwriting Agreement • April 14th, 2023 • Saratoga Investment Corp. • New York
The Securities will be issued under the indenture dated as of May 10, 2013 between the Fund and U.S. Bank National Association, as trustee (the “Trustee”), as amended and supplemented by that certain Fifteenth Supplemental Indenture to be dated as of April 14, 2023 (such indenture, as so amended and supplemented, the “Indenture”). The Fund also proposes to sell to the several Underwriters up to an additional $7,500,000 total aggregate principal amount of Notes (the “Additional Notes”) if and to the extent that Ladenburg Thalmann & Co. Inc., as the representative of the Underwriters in the offering (the “Representative”), shall have determined to exercise, on behalf of the Underwriters, the right to purchase such Additional Notes granted to the Underwriters in Section 3 hereof. The Notes and the Additional Notes are hereinafter collectively referred to as the “Securities.”
FIFTEENTH SUPPLEMENTAL INDENTURE between SARATOGA INVESTMENT CORP. and as Trustee Dated as of April 14, 2023Fifteenth Supplemental Indenture • April 14th, 2023 • Saratoga Investment Corp.
THIS FIFTEENTH SUPPLEMENTAL INDENTURE (this “Fifteenth Supplemental Indenture”), dated as of April 14, 2023, is between Saratoga Investment Corp., a Maryland corporation (the “Company”), and U.S. Bank Trust Company, National Association (as successor in interest to U.S. Bank National Association), as trustee (the “Trustee”). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).
