Sales Agreements in the Capital Markets Industry

46 Contracts & Agreements

Browse by Company

APOLLO INVESTMENT CORP (1 contract)
B. Riley Financial, Inc. (4)
BGC Partners, Inc. (1)
COHEN & STEERS INC (1)
GLADSTONE CAPITAL CORP (4)
GLADSTONE INVESTMENT CORPORATION (10)
GSV Capital Corp. (2)
Hercules Capital, Inc. (1)
Horizon Technology Finance Corp (1)
MONROE CAPITAL Corp (2)
Oxford Square Capital Corp. (2)
PennantPark Floating Rate Capital Ltd. (11)
PENNANTPARK INVESTMENT CORP (2)
TriplePoint Venture Growth BDC Corp. (2)
WhiteHorse Finance, Inc. (2)

Recent Contracts

Amended and Restated Equity Distribution Agreement, dated as of August 16, 2024, by and among Oxford Square Capital Corp., Oxford Square Management, LLC, Oxford Funds, LLC, Lucid... (Oxford Square Capital Corp., Filed With SEC on August 16, 2024)
Equity Distribution Agreement, dated as of August 16, 2024, by and among Gladstone Capital Corporation, Gladstone Management Corporation, Gladstone Administration, LLC and... (GLADSTONE CAPITAL CORP, Filed With SEC on August 16, 2024)
Form of Equity Distribution Agreement, dated as of August 13, 2024, by and among MidCap Financial Investment Corporation, Apollo Investment Management, L.P., Apollo Investment... (APOLLO INVESTMENT CORP, Filed With SEC on August 13, 2024)
Equity Distribution Agreement, dated as of July 17, 2024, by and among PennantPark Floating Rate Capital Ltd., PennantPark Investment Advisers, LLC, PennantPark Investment... (PennantPark Floating Rate Capital Ltd., Filed With SEC on July 18, 2024)
Equity Distribution Agreement, dated as of July 17, 2024, by and among PennantPark Floating Rate Capital Ltd., PennantPark Investment Advisers, LLC, PennantPark Investment... (PennantPark Floating Rate Capital Ltd., Filed With SEC on July 18, 2024)
Equity Distribution Agreement, dated as of July 17, 2024, by and among PennantPark Floating Rate Capital Ltd., PennantPark Investment Advisers, LLC, PennantPark Investment... (PennantPark Floating Rate Capital Ltd., Filed With SEC on July 18, 2024)
Equity Distribution Agreement, dated as of June 4, 2024 by and among PennantPark Investment Corporation, PennantPark Investment Advisers, LLC, PennantPark Investment... (PENNANTPARK INVESTMENT CORP, Filed With SEC on June 4, 2024)
Equity Distribution Agreement, dated as of June 4, 2024, by and among PennantPark Investment Corporation, PennantPark Investment Advisers, LLC, PennantPark Investment... (PENNANTPARK INVESTMENT CORP, Filed With SEC on June 4, 2024)
Sales Agreement, dated as of May 14, 2024, by and among the Company, Gladstone Management Corporation, Gladstone Administration, LLC and Virtu Americas LLC (GLADSTONE INVESTMENT CORPORATION, Filed With SEC on May 14, 2024)
Sales Agreement, dated as of May 14, 2024, by and among the Company, Gladstone Management Corporation, Gladstone Administration, LLC and B. Riley Securities, Inc (GLADSTONE INVESTMENT CORPORATION, Filed With SEC on May 14, 2024)
Sales Agreement, dated as of May 14, 2024, by and among the Company, Gladstone Management Corporation, Gladstone Administration, LLC and Oppenheimer & Co. Inc (GLADSTONE INVESTMENT CORPORATION, Filed With SEC on May 14, 2024)
Sales Agreement, dated as of May 2, 2024, by and among the Company, TriplePoint Advisers LLC, TriplePoint Administrator LLC and the Sales Agent (TriplePoint Venture Growth BDC Corp., Filed With SEC on May 2, 2024)
ATM Equity Offering Sales Agreement, dated April 22, 2024, between the Company and BofA Securities, Inc (COHEN & STEERS INC, Filed With SEC on April 22, 2024)
Amendment No. 1 to the Equity Distribution Agreement, dated as of August 22, 2023, by and among Oxford Square Capital Corp., Oxford Square Management, LLC, Oxford Funds, LLC and... (Oxford Square Capital Corp., Filed With SEC on August 23, 2023)
First Amendment to Sales Agreement, dated as of August 7, 2023, by and among the Company, Gladstone Management Corporation, Gladstone Administration, LLC and Virtu Americas LLC (GLADSTONE INVESTMENT CORPORATION, Filed With SEC on August 8, 2023)
First Amendment to Sales Agreement, dated as of August 7, 2023, by and among the Company, Gladstone Management Corporation, Gladstone Administration, LLC and Oppenheimer & Co. Inc (GLADSTONE INVESTMENT CORPORATION, Filed With SEC on August 8, 2023)
Sales Agreement, dated as of August 7, 2023, by and among the Company, Gladstone Management Corporation, Gladstone Administration, LLC and B. Riley Securities Inc (GLADSTONE INVESTMENT CORPORATION, Filed With SEC on August 8, 2023)
Amended and Restated Equity Distribution Agreement, dated as of July 28, 2023, by and among Gladstone Capital Corporation, Gladstone Management Corporation, Gladstone... (GLADSTONE CAPITAL CORP, Filed With SEC on July 28, 2023)
Equity Distribution Agreement, dated as of March 31, 2023, by and among WhiteHorse Finance, Inc., B. Riley Securities, Inc., as the sales agent, H.I.G. WhiteHorse Advisers, LLC,... (WhiteHorse Finance, Inc., Filed With SEC on April 3, 2023)
Sales Agreement, dated as of September 30, 2022, by and among the Company, TriplePoint Advisers LLC, TriplePoint Administrator LLC and the Sales Agent (TriplePoint Venture Growth BDC Corp., Filed With SEC on September 30, 2022)
Sales Agreement, dated as of August 15, 2022, by and among the Company, Gladstone Management Corporation, Gladstone Administration, LLC and Virtu Americas LLC (GLADSTONE INVESTMENT CORPORATION, Filed With SEC on August 16, 2022)
Sales Agreement, dated as of August 15, 2022, by and among the Company, Gladstone Management Corporation, Gladstone Administration, LLC and Oppenheimer & Co. Inc (GLADSTONE INVESTMENT CORPORATION, Filed With SEC on August 16, 2022)
Controlled Equity Offeringsm Sales Agreement, dated August 12, 2022, between BGC Partners, Inc. and Cantor Fitzgerald & Co (BGC Partners, Inc., Filed With SEC on August 12, 2022)
Amendment No. 1 to Equity Distribution Agreement, dated as of August 5, 2022, by and among Gladstone Capital Corporation, Gladstone Management Corporation, Gladstone... (GLADSTONE CAPITAL CORP, Filed With SEC on August 5, 2022)
Second Amended and Restated Sales and Servicing Agreement (Horizon Technology Finance Corp, Filed With SEC on June 23, 2021)
Equity Distribution Agreement, dated as of May 10, 2021, by and among Gladstone Capital Corporation, Gladstone Management Corporation, Gladstone Administration, LLC and Jefferies... (GLADSTONE CAPITAL CORP, Filed With SEC on May 10, 2021)
Equity Distribution Agreement, dated as of March 15, 2021, by and among WhiteHorse Finance, Inc., Raymond James & Associates, Inc., as the sales agent, H.I.G. WhiteHorse Advisers,... (WhiteHorse Finance, Inc., Filed With SEC on March 16, 2021)
Amendment No. 1 to the At-the-Market Sales Agreement, dated as of September 23, 2020, by and among SuRo Capital Corp., BTIG, LLC, JMP Securities LLC and Ladenburg Thalmann & Co.,... (GSV Capital Corp., Filed With SEC on September 23, 2020)
At-the-Market Sales Agreement, dated as of July 29, 2020, by and among SuRo Capital Corp., BTIG, LLC, JMP Securities LLC and Ladenburg Thalmann & Co., Inc (GSV Capital Corp., Filed With SEC on August 3, 2020)
Equity Distribution Agreement, dated July 2, 2020, between the Company and the Sales Agent (Hercules Capital, Inc., Filed With SEC on July 2, 2020)
Sales Agreement, dated as of May 21, 2020, by and among the Company, Gladstone Management Corporation, Gladstone Administration, LLC and Virtu Americas LLC (GLADSTONE INVESTMENT CORPORATION, Filed With SEC on May 21, 2020)
Sales Agreement, dated as of May 21, 2020, by and among the Company, Gladstone Management Corporation, Gladstone Administration, LLC and Wedbush Securities Inc (GLADSTONE INVESTMENT CORPORATION, Filed With SEC on May 21, 2020)
Equity Distribution Agreement, dated as of August 11, 2023, by and among PennantPark Floating Rate Capital, Ltd., PennantPark Investment Advisers, LLC, PennantPark Investment... (PennantPark Floating Rate Capital Ltd., Filed With SEC on August 11, 2023)
Equity Distribution Agreement, dated as of August 11, 2023, by and among PennantPark Floating Rate Capital, Ltd., PennantPark Investment Advisers, LLC, PennantPark Investment... (PennantPark Floating Rate Capital Ltd., Filed With SEC on August 11, 2023)
Equity Distribution Agreement, dated as of August 11, 2023, by and among PennantPark Floating Rate Capital, Ltd., PennantPark Investment Advisers, LLC, PennantPark Investment... (PennantPark Floating Rate Capital Ltd., Filed With SEC on August 11, 2023)
Equity Distribution Agreement, dated as of March 31, 2023, by and among PennantPark Floating Rate Capital, Ltd., PennantPark Investment Advisers, LLC, PennantPark Investment... (PennantPark Floating Rate Capital Ltd., Filed With SEC on March 31, 2023)
Equity Distribution Agreement, dated as of March 31, 2023, by and among PennantPark Floating Rate Capital, Ltd., PennantPark Investment Advisers, LLC, PennantPark Investment... (PennantPark Floating Rate Capital Ltd., Filed With SEC on March 31, 2023)
Equity Distribution Agreement, dated as of March 31, 2023, by and among PennantPark Floating Rate Capital, Ltd., PennantPark Investment Advisers, LLC, PennantPark Investment... (PennantPark Floating Rate Capital Ltd., Filed With SEC on March 31, 2023)
Equity Distribution Agreement, dated as of August 20, 2021, by and among PennantPark Floating Rate Capital, Ltd., PennantPark Investment Advisers, LLC, PennantPark Investment... (PennantPark Floating Rate Capital Ltd., Filed With SEC on August 20, 2021)
Equity Distribution Agreement, dated as of August 20, 2021, by and among PennantPark Floating Rate Capital, Ltd., PennantPark Investment Advisers, LLC, PennantPark Investment... (PennantPark Floating Rate Capital Ltd., Filed With SEC on August 20, 2021)