CUSTODY AGREEMENTCustody Agreement • May 2nd, 2013 • Harvest Capital Credit Corp • New York
This CUSTODY AGREEMENT (this “Agreement”) is dated as of April [], 2013, and is by and between HARVEST CAPITAL CREDIT CORPORATION (and any successor or permitted assign, the “Company”), a corporation organized under the laws of the State of [], having its principal place of business at [] and U.S. BANK NATIONAL ASSOCIATION (and any successor or permitted assign acting as custodian hereunder, the “Custodian”), a national banking association having a place of business at One Federal Street, Boston, MA 02110.
•] Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • May 2nd, 2013 • Harvest Capital Credit Corp • New York
Harvest Capital Credit Corporation, a Delaware corporation (the "Company"), proposes to issue and sell to the several underwriters named in Schedule I hereto (the "Underwriters") for whom you are acting as representative (the "Representative") an aggregate of [•] shares (the "Firm Shares") of the common stock, par value $0.001 per share, of the Company (the "Common Stock"). The Company also proposes to sell to the several Underwriters, for the sole purpose of covering over-allotments in connection with the sale of the Firm Shares, at the option of the Underwriters, up to an additional [•] shares of Common Stock (the "Option Shares"). The Firm Shares and the Option Shares are hereinafter referred to collectively as the "Shares."
INVESTMENT ADVISORY AND MANAGEMENT AGREEMENTInvestment Advisory and Management Agreement • May 2nd, 2013 • Harvest Capital Credit Corp • New York
AGREEMENT, dated as of ____________ between Harvest Capital Credit Corporation, a Delaware corporation (the “Corporation”), and HCAP Advisors LLC (the “Adviser”), a Delaware limited liability company.
AGREEMENT AND PLAN OF MERGERAgreement and Plan of Merger • May 2nd, 2013 • Harvest Capital Credit Corp • Delaware
This Agreement and Plan of Merger (the “Agreement”), dated as of April 25, 2013, is by and between Harvest Capital Credit Corporation, a Delaware corporation (the “Corporation”), and Harvest Capital Credit LLC, a Delaware limited liability company (the “Fund”).
WARRANT TO PURCHASE COMMON STOCKPurchase Common Stock • May 2nd, 2013 • Harvest Capital Credit Corp • New York
THIS WARRANT TO PURCHASE COMMON STOCK (this “Warrant Agreement”) is for the benefit of [___________] (the “Warrant Holder”) and entitles the Warrant Holder to subscribe for and purchase from Harvest Capital Credit Corporation, a Delaware corporation (the “Company”), subject to the terms set forth below, an aggregate of [______(_____)] shares of common stock, par value $0.001 per share (“Common Stock”) of the Company (such aggregate number of shares of Common Stock being referred to herein as the “Warrant Shares”) at the purchase price of $[____] per Share (the “Warrant Price”), upon surrender of the duly executed Notice of Exercise (“Notice of Exercise”) attached hereto as Exhibit A, at the principal office of the Company, and simultaneous payment therefor in lawful money of the United States. The number, character and Warrant Price of such Warrant Shares are subject to adjustment as provided below. The term “Warrant” as used herein shall include this Warrant Agreement and any warrant
