Rule 430C. “Rule 436” and “Rule 492” refer to such rules under the 1933 Act. If the foregoing is in accordance with your understanding of our agreement, please sign and return to us the enclosed duplicate hereof, whereupon this letter and your acceptance shall represent a binding agreement among the Company, the Adviser, the Administrator and the several Underwriters. Very truly yours, Prospect Capital Corporation By: Name: Title: Prospect Capital Management LLC By: Name: Title: Prospect Administration LLC By: Name: Title: The foregoing Agreement is hereby confirmed and accepted as of the date specified in Schedule I hereto. Xxx-Xxxx Xxxxxx Xxxxxxx Xxxxxxx Xxxxxx (USA) LLC By: Name: Title: Xxxxxxxxxxx & Co. Inc. By: Name: Title: RBC Capital Markets Corporation By: Name: Title: For themselves and the other several Underwriters, if any, named in Schedule II to the foregoing Agreement. SCHEDULE I Underwriting Agreement dated June 30, 2009 Registration Statement No. 333-143819 Representatives: Xxx-Xxxx Xxxxxx Xxxxxxx Xxxxxxx Xxxxxx (USA) LLC, Xxxxxxxxxxx & Co. Inc and RBC Capital Markets Corporation Title, Purchase Price and Description of Securities: Title: Common Stock Number of Underwritten Securities to be sold by the Company: 4,500,000 Number of Option Securities to be sold by the Company: 675,000 Price per Share to Public: $9.00 Price per Share to the Underwriters: $8.55 Closing Date, Time and Location: July 7, 2009 at 10:00 a.m. at Xxxxxxxx Xxxxxx XX XXX, Xxx Xxxx, Xxx Xxxx 00000. Type of Offering: Non-Delayed Date referred to in Section 6(k) after which the Company may offer or sell securities issued by the Company without the consent of the Representatives: 30 days after the date hereof Modification of items to be covered by the letter from BDO Xxxxxxx, LLP delivered pursuant to Section 7(g) at the Applicable Time: None SCHEDULE II Underwriters Number of Underwritten Securities to be Purchased Number of Option Securities to be Purchased Xxx-Xxxx Xxxxxx Xxxxxxx Xxxxxxx Xxxxxx (USA) LLC 1,125,000 168,750 Xxxxxxxxxxx & Co. Inc. 1,125,000 168,750 RBC Capital Markets Corporation 1,125,000 168,750 BB&T Capital Markets, a division of Xxxxx & Xxxxxxxxxxxx, LLC 675,000 101,250 Ladenburg Xxxxxxxx & Co. Inc. 225,000 33,750 Maxim Group LLC 225,000 33,750 Total 4,500,000 675,000 ANNEX A Number of Underwritten Securities to be sold by the Company: 4,500,000 Number of Option Securities to be sold by the Company: 675,000 Price per Share to Public: $9.00 Price per Share to the U...
Rule 430C means Rule 430C, as amended from time to time, promulgated by the Commission pursuant to the Securities Act.
Examples of Rule 430C in a sentence
A final prospectus containing the Rule 430C Information shall have been filed with the Commission in accordance with Rule 497.
The term “Registration Statement” means the registration statement as amended at the time it becomes or became effective, including financial statements and all exhibits and any information deemed to be included therein by Rule 430A, Rule 430B or Rule 430C of the Rules and Regulations, as applicable.
Such registration statement, including any amendments thereto, the financial statements and exhibits and any information contained or incorporated by reference in a prospectus filed with the Commission pursuant to Rule 424(b) under the Securities Act, to the extent such information is deemed pursuant to Rule 430B or Rule 430C under the Securities Act to be included in the registration statement at the time it became effective, is hereinafter called the “Registration Statement”.
For purposes of this definition, 430A Information, 430B Information and 430C Information, if any, shall be considered to be included in the Registration Statement as of the time specified in Rule 430A, Rule 430B or Rule 430C, respectively.
Item 512(a)(5)(ii) is required for any prospectus filed in reliance on Rule 430C and Item 512(a)(6) is required for any offering that involves an initial distribution of securities pursuant to Rule 159A.
More Definitions of Rule 430C
Rule 430C. “Rule 433” and “Regulation S-K” refer to such rules or regulations under the Act. “Rule 430 Information” means information with respect to the Securities and the offering thereof permitted to be omitted from the Registration Statement when it becomes effective pursuant to Rule 430A, Rule 430B or Rule 430C. Any reference herein to the Registration Statement, the Basic Prospectus, any Preliminary Final Prospectus, the Pricing Disclosure Package or the Final Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 which were filed under the Exchange Act on or before the Effective Date of the Registration Statement or the issue date of the Basic Prospectus, any Preliminary Final Prospectus, the Pricing Disclosure Package or the Final Prospectus, as the case may be, and any reference herein to the terms “amend,” “amendment” or “supplement” with respect to the Registration Statement, the Basic Prospectus, any Preliminary Final Prospectus or the Final Prospectus shall be deemed to refer to and include the filing of any document under the Exchange Act after the Effective Date of the Registration Statement or the issue date of the Basic Prospectus, any Preliminary Final Prospectus or the Final Prospectus, as the case may be, deemed to be incorporated therein by reference. A “Delayed Offering” shall mean an offering of securities pursuant to Rule 415 which does not commence promptly after the effective date of a registration statement, with the result that only information required pursuant to Rule 415 needs to be included in such registration statement at the effective date thereof with respect to the securities so offered. (f) The financial statements (including the related notes thereto) of the Company and its consolidated subsidiaries included or incorporated by reference in the Registration Statement, the Pricing Disclosure Package and the Final Prospectus comply in all material respects with the applicable requirements of the Act and the Exchange Act, as applicable, and present fairly in all material respects the financial position of the Company and its consolidated subsidiaries, as of the dates indicated and the results of operations and the changes in cash flow for the periods specified; except as stated therein, and in the case of interim financial statements subject to year-end adjustments, such consolidated financial statements have been prepared in conformity with generally accept...
Rule 430C refers to Rule 430C under the 1933 Act.
Rule 430C is defined in Section 2(a).
Rule 430C. Rule 430C (as amended or replaced) under the Securities Act. SEC: The U.S. Securities and Exchange Commission. Securities: See the introductory paragraphs hereto.
Rule 430C refers to Rule 430C under the Securities Act.
Rule 430C mean, in each case, such rule promulgated by the SEC pursuant to the Securities Act, as such rule may be amended from time to time, or any similar rule or regulation hereafter adopted by the SEC having substantially the same effect as such rule. Exhibit K