Sales Agreements in the Capital Markets Industry

48 Contracts & Agreements
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Company
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Filed
Equity Distribution Agreement between Sixth Street Specialty Lending, Inc. and [Manager]
Equity Distribution Agreements
TPG Specialty Lending, Inc.
Capital Markets
NY
2025
Amendment No. 2 to At-the-Market Sales Agreement by and among SuRo Capital Corp., BTIG, LLC, Citizens JMP Securities, LLC, Ladenburg Thalmann & Co. Inc., and Barrington Research...
Equity Distribution Agreements
GSV Capital Corp.
Capital Markets
2024
Amended and Restated Equity Distribution Agreement among Oxford Square Capital Corp., Oxford Square Management, Oxford Funds, Lucid Capital Markets, and Ladenburg Thalmann (August...
Equity Distribution Agreements
Oxford Square Capital Corp.
Capital Markets
DE
2024
Equity Distribution Agreement between Gladstone Capital Corporation and Jefferies LLC and Huntington Securities, Inc.
Equity Distribution Agreements
GLADSTONE CAPITAL CORP
Capital Markets
NY
2024
Equity Distribution Agreement between MidCap Financial Investment Corporation and Sales Agent
Equity Distribution Agreements
APOLLO INVESTMENT CORP
Capital Markets
DE
2024
Equity Distribution Agreement between PennantPark Floating Rate Capital Ltd. and Truist Securities, Inc. (July 17, 2024)
Equity Distribution Agreements
PennantPark Floating Rate Capital Ltd.
Capital Markets
NY
2024
Equity Distribution Agreement between PennantPark Floating Rate Capital Ltd. and Raymond James & Associates, Inc. (July 17, 2024)
Equity Distribution Agreements
PennantPark Floating Rate Capital Ltd.
Capital Markets
NY
2024
Equity Distribution Agreement between PennantPark Floating Rate Capital Ltd. and Citizens JMP Securities, LLC
Equity Distribution Agreements
PennantPark Floating Rate Capital Ltd.
Capital Markets
NY
2024
Equity Distribution Agreement between PennantPark Investment Corporation and Keefe, Bruyette & Woods, Inc.
Equity Distribution Agreements
PENNANTPARK INVESTMENT CORP
Capital Markets
NY
2024
Equity Distribution Agreement between PennantPark Investment Corporation and Truist Securities, Inc. (June 4, 2024)
Equity Distribution Agreements
PENNANTPARK INVESTMENT CORP
Capital Markets
NY
2024
Gladstone Investment Corporation $75,000,000 Common Stock Sales Agreement with Virtu Americas LLC (May 2024)
Sales Agreements
GLADSTONE INVESTMENT CORPORATION
Capital Markets
NY
2024
Gladstone Investment Corporation $75 Million Common Stock Sales Agreement with B. Riley Securities, Inc.
Equity Distribution Agreements
GLADSTONE INVESTMENT CORPORATION
Capital Markets
NY
2024
Gladstone Investment Corporation $75 Million Common Stock Sales Agreement with Oppenheimer & Co. Inc.
Equity Distribution Agreements
GLADSTONE INVESTMENT CORPORATION
Capital Markets
NY
2024
Sales Agreement among TriplePoint Venture Growth BDC Corp., TriplePoint Advisers LLC, TriplePoint Administrator LLC, and UBS Securities LLC (Sales Agent) dated May 2, 2024
Sales Agreements
TriplePoint Venture Growth BDC Corp.
Capital Markets
NY
2024
Cohen & Steers, Inc. ATM Equity Offering Sales Agreement with BofA Securities, Inc.
Equity Distribution Agreements
COHEN & STEERS INC
Capital Markets
NY
2024
Amendment No. 1 to Equity Distribution Agreement by and among Oxford Square Capital Corp., Oxford Square Management, LLC, Oxford Funds, LLC, and Ladenburg Thalmann & Co. Inc.
Equity Distribution Agreements
Oxford Square Capital Corp.
Capital Markets
2023
Amended and Restated Equity Distribution Agreement between PennantPark Floating Rate Capital Ltd. and Truist Securities, Inc.
Equity Distribution Agreements
PennantPark Floating Rate Capital Ltd.
Capital Markets
NY
2023
Amended and Restated Equity Distribution Agreement between PennantPark Floating Rate Capital Ltd. and Raymond James & Associates, Inc. (August 11, 2023)
Equity Distribution Agreements
PennantPark Floating Rate Capital Ltd.
Capital Markets
NY
2023
Amended and Restated Equity Distribution Agreement between PennantPark Floating Rate Capital Ltd. and Citizens JMP Securities, LLC (August 11, 2023)
Equity Distribution Agreements
PennantPark Floating Rate Capital Ltd.
Capital Markets
NY
2023
First Amendment to Sales Agreement among Gladstone Investment Corporation, Gladstone Management Corporation, Gladstone Administration, LLC, and Virtu Americas LLC
Modification Agreements
GLADSTONE INVESTMENT CORPORATION
Capital Markets
2023
First Amendment to Sales Agreement among Gladstone Investment Corporation, Gladstone Management Corporation, Gladstone Administration, LLC, and Oppenheimer & Co. Inc.
Equity Distribution Agreements
GLADSTONE INVESTMENT CORPORATION
Capital Markets
2023
Sales Agreement between Gladstone Investment Corporation and B. Riley Securities, Inc. for Up to $50,000,000 of Common Stock
Sales Agreements
GLADSTONE INVESTMENT CORPORATION
Capital Markets
NY
2023
Amended and Restated Equity Distribution Agreement between Gladstone Capital Corporation and Jefferies LLC and Huntington Securities, Inc.
Equity Distribution Agreements
GLADSTONE CAPITAL CORP
Capital Markets
NY
2023
Equity Distribution Agreement between WhiteHorse Finance, Inc. and B. Riley Securities, Inc. (March 31, 2023)
Equity Distribution Agreements
WhiteHorse Finance, Inc.
Capital Markets
DE
2023
Equity Distribution Agreement between PennantPark Floating Rate Capital Ltd. and Truist Securities, Inc. (March 31, 2023)
Equity Distribution Agreements
PennantPark Floating Rate Capital Ltd.
Capital Markets
NY
2023
Equity Distribution Agreement between PennantPark Floating Rate Capital Ltd. and Raymond James & Associates, Inc.
Equity Distribution Agreements
PennantPark Floating Rate Capital Ltd.
Capital Markets
NY
2023
Equity Distribution Agreement between PennantPark Floating Rate Capital Ltd. and JMP Securities LLC
Equity Distribution Agreements
PennantPark Floating Rate Capital Ltd.
Capital Markets
NY
2023
Sales Agreement among TriplePoint Venture Growth BDC Corp., TriplePoint Advisers LLC, TriplePoint Administrator LLC, and UBS Securities LLC (Sales Agent) dated September 30, 2022
Sales Agreements
TriplePoint Venture Growth BDC Corp.
Capital Markets
NY
2022
Gladstone Investment Corporation $50 Million Common Stock Sales Agreement with Virtu Americas LLC
Equity Distribution Agreements
GLADSTONE INVESTMENT CORPORATION
Capital Markets
NY
2022
Gladstone Investment Corporation $50,000,000 Common Stock Sales Agreement with Oppenheimer & Co. Inc.
Equity Distribution Agreements
GLADSTONE INVESTMENT CORPORATION
Capital Markets
NY
2022
Amendment No. 1 to Equity Distribution Agreement among Gladstone Capital Corporation, Gladstone Management Corporation, Gladstone Administration, LLC, and Jefferies LLC
Equity Distribution Agreements
GLADSTONE CAPITAL CORP
Capital Markets
2022
Equity Distribution Agreement between PennantPark Floating Rate Capital Ltd. and Raymond James & Associates, Inc.
Equity Distribution Agreements
PennantPark Floating Rate Capital Ltd.
Capital Markets
NY
2021
Second Amended and Restated Sale and Servicing Agreement among Horizon Credit II LLC, Horizon Technology Finance Corporation, Horizon Technology Finance Management LLC, U.S. Bank...
Sales Agreements
Horizon Technology Finance Corp
Capital Markets
DE
2021
Amendment No. 1 to At-the-Market Sales Agreement by and among SuRo Capital Corp., BTIG, LLC, JMP Securities LLC, and Ladenburg Thalmann & Co. Inc.
Equity Distribution Agreements
GSV Capital Corp.
Capital Markets
2020
At-the-Market Sales Agreement between SuRo Capital Corp. and BTIG, LLC, JMP Securities LLC, and Ladenburg Thalmann & Co., Inc. (July 29, 2020)
Equity Distribution Agreements
GSV Capital Corp.
Capital Markets
NY
2020
Equity Distribution Agreement between Hercules Capital, Inc. and JMP Securities LLC (July 2, 2020)
Equity Distribution Agreements
Hercules Capital, Inc.
Capital Markets
MD
2020
BGC Partners, Inc. $300 Million At-the-Market Equity Sales Agreement with Cantor Fitzgerald & Co.
Equity Distribution Agreements
BGC Partners, Inc.
Capital Markets
NY
2022
Equity Distribution Agreement between PennantPark Floating Rate Capital Ltd. and JMP Securities LLC
Equity Distribution Agreements
PennantPark Floating Rate Capital Ltd.
Capital Markets
NY
2021
Equity Distribution Agreement between Gladstone Capital Corporation and Jefferies LLC
Equity Distribution Agreements
GLADSTONE CAPITAL CORP
Capital Markets
NY
2021
Equity Distribution Agreement between WhiteHorse Finance, Inc. and Raymond James & Associates, Inc. (March 15, 2021)
Equity Distribution Agreements
WhiteHorse Finance, Inc.
Capital Markets
DE
2021