Sales Agreements in the Capital Markets Industry
33 Contracts & Agreements
- B. Riley Financial, Inc. (4 contracts)
- BGC Partners, Inc. (1)
- GLADSTONE CAPITAL CORP (3)
- GLADSTONE INVESTMENT CORPORATION (7)
- GSV Capital Corp. (2)
- Hercules Capital, Inc. (1)
- Horizon Technology Finance Corp (1)
- MONROE CAPITAL Corp (2)
- Oxford Square Capital Corp. (1)
- PennantPark Floating Rate Capital Ltd. (8)
- TriplePoint Venture Growth BDC Corp. (1)
- WhiteHorse Finance, Inc. (2)
- 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)
- 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)
- 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)
- 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)
- 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)
- 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)
- 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)
- Amendment No. 1 to Amended and Restated At Market Issuance Sales Agreement, dated May 8, 2020, by and between the Company and B. Riley FBR, Inc (MONROE CAPITAL Corp, Filed With SEC on May 8, 2020)
- Amendment No. 1 to Amended and Restated At Market Issuance Sales Agreement, dated May 8, 2020, by and between the Company and JMP Securities LLC (MONROE CAPITAL Corp, Filed With SEC on May 8, 2020)
- At Market Issuance Sales Agreement, dated December 5, 2019, by and between the Company and B. Riley FBR, Inc (B. Riley Financial, Inc., Filed With SEC on December 5, 2019)
- At Market Issuance Sales Agreement, dated December 18, 2018, by and between the Company and B. Riley FBR, Inc (B. Riley Financial, Inc., Filed With SEC on December 18, 2018)
- At Market Issuance Sales Agreement, dated June 5, 2018, by and between the Company and B. Riley FBR, Inc (B. Riley Financial, Inc., Filed With SEC on June 5, 2018)
- At Market Issuance Sales Agreement, dated December 18, 2017, by and between the Company and B. Riley FBR, Inc (B. Riley Financial, Inc., Filed With SEC on December 19, 2017)