SUBSCRIPTION ESCROW AGREEMENTSubscription Escrow Agreement • August 5th, 2020 • Prospect Capital Corp • New York
THIS SUBSCRIPTION ESCROW AGREEMENT dated as of August 3, 2020 (this “Agreement”), is entered into among Preferred Capital Securities, LLC (the “Dealer Manager”), Prospect Capital Corporation (the “Issuer”) and UMB Bank, National Association, a national banking association, as escrow agent (the “Escrow Agent”).
PROSPECT CAPITAL CORPORATION DEALER MANAGER AGREEMENT August 3, 2020Dealer Manager Agreement • August 5th, 2020 • Prospect Capital Corp • New York
Prospect Capital Corporation, a corporation organized under the laws of Maryland (the “Company”), proposes to offer up to 40,000,000 shares, par value $0.001 per share, of preferred stock, with a $1,000,000,000 aggregate liquidation preference (the “Preferred Stock”). The Preferred Stock will be issued in multiple series, including the 5.50% Series A1 Preferred Stock (“Series A1 Preferred Stock”), the 5.50% Series M1 Preferred Stock (“Series M1 Preferred Stock”), and the 5.50% Series M2 Preferred Stock (“Series M2 Preferred Stock”), and the Company may offer any future series of Preferred Stock, provided that the aggregate number of shares issued across all series of Preferred Stock offered pursuant to this Dealer Manager Agreement (this “Agreement”) shall not exceed 40,000,000 shares (the “Offering”). Each share of Preferred Stock will be sold at a public offering price of $25.00 per share (the “Stated Value”). The minimum investment amount is $5,000, but purchases of less than $5,000
