Great Elm Capital Corp. Contracts & Agreements

38 Contracts & Agreements
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Filed
Equity Distribution Agreement between Great Elm Capital Corp. and Lucid Capital Markets, LLC (May 6, 2025)
Equity Distribution Agreements
Great Elm Capital Corp.
Capital Markets
DE
2025
Description of Securities Registered Under Section 12 of the Exchange Act – Great Elm Capital Corp.
Equity Distribution Agreements
Great Elm Capital Corp.
Capital Markets
2025
Share Purchase Agreement between Great Elm Capital Corp. and Summit Grove Partners, LLC (December 11, 2024)
Purchase Agreements
Great Elm Capital Corp.
Capital Markets
NY
2024
Second Amended and Restated Limited Liability Company Agreement of CLO Formation JV, LLC (August 20, 2024)
Limited Liability Company Agreements
Great Elm Capital Corp.
Capital Markets
MD
2024
Purchase Agreement by and among Great Elm Capital Corp., Great Elm Capital Management, LLC, and Purchasers (July 9, 2024)
Purchase Agreements
Great Elm Capital Corp.
Capital Markets
DE
2024
Share Purchase Agreement between Great Elm Capital Corp. and Prosper Peak Holdings, LLC (June 21, 2024)
Purchase Agreements
Great Elm Capital Corp.
Capital Markets
NY
2024
Custody Agreement between Great Elm Capital Corp. and The Northern Trust Company (July 1, 2023)
Administration Agreements
Great Elm Capital Corp.
Capital Markets
IL
2024
Share Purchase Agreement between Great Elm Capital Corp. and Great Elm Strategic Partnership I, LLC (February 8, 2024)
Purchase Agreements
Great Elm Capital Corp.
Capital Markets
NY
2024
Description of Securities Registered Under Section 12 of the Exchange Act – Great Elm Capital Corp.
Equity Distribution Agreements
Great Elm Capital Corp.
Capital Markets
2022
Loan, Guarantee and Security Agreement among Great Elm Capital Corp., Subsidiary Guarantors, and City National Bank (May 5, 2021)
Loan Agreements
Great Elm Capital Corp.
Capital Markets
NY
2021
Description of Securities Registered under Section 12 of the Exchange Act – Great Elm Capital Corp.
Equity Distribution Agreements
Great Elm Capital Corp.
Capital Markets
2020
Confidential Separation Agreement and Release between Michael Sell and Great Elm Capital Management, Inc.
Separation Agreements
Great Elm Capital Corp.
Capital Markets
2018
Great Elm Capital Corp. 6.50% Notes Due 2022 (Global Note) Issued Under Indenture with American Stock Transfer & Trust Company, LLC
Note Agreements
Great Elm Capital Corp.
Capital Markets
2017
Seventh Supplemental Indenture between Great Elm Capital Corp. and Equiniti Trust Company, LLC (8.125% Notes Due 2029)
Indenture Agreements
Great Elm Capital Corp.
Capital Markets
2024
Great Elm Capital Corp. 8.50% Notes Due 2029 Global Note Certificate
Note Agreements
Great Elm Capital Corp.
Capital Markets
2024
Sixth Supplemental Indenture between Great Elm Capital Corp. and Equiniti Trust Company, LLC, dated April 17, 2024
Indenture Agreements
Great Elm Capital Corp.
Capital Markets
2024
Great Elm Capital Corp. 8.50% Global Note Due 2029 (Indenture with Equiniti Trust Company, LLC)
Note Agreements
Great Elm Capital Corp.
Capital Markets
2024
Description of Securities Registered under Section 12 of the Exchange Act – Great Elm Capital Corp.
Stock Agreements
Great Elm Capital Corp.
Capital Markets
2024
Fifth Supplemental Indenture between Great Elm Capital Corp. and Equiniti Trust Company, LLC (8.75% Notes due 2028)
Indenture Agreements
Great Elm Capital Corp.
Capital Markets
2023
Great Elm Capital Corp. 8.75% Notes Due 2028 Global Note (Indenture Series)
Note Agreements
Great Elm Capital Corp.
Capital Markets
2023
Fourth Supplemental Indenture for 5.875% Notes due 2026 between Great Elm Capital Corp. and American Stock Transfer & Trust Company, LLC
Indenture Agreements
Great Elm Capital Corp.
Capital Markets
2021
Great Elm Capital Corp. 5.875% Notes Due 2026 Global Note Certificate
Note Agreements
Great Elm Capital Corp.
Capital Markets
2021
Custody Agreement between Great Elm Capital Corp. and U.S. Bank National Association dated January 2, 2020
Great Elm Capital Corp.
Capital Markets
MA
2020
Underwriting Agreement for $43,000,000 6.75% Notes Due 2025 between Great Elm Capital Corp. and Ladenburg Thalmann & Co. Inc.
Underwriting Agreements
Great Elm Capital Corp.
Capital Markets
NY
2018
Underwriting Agreement for $28,375,000 6.50% Notes Due 2022 between Great Elm Capital Corp. and Janney Montgomery Scott LLC
Underwriting Agreements
Great Elm Capital Corp.
Capital Markets
NY
2017
Indenture Agreement between Great Elm Capital Corp. and American Stock Transfer & Trust Company, LLC (September 18, 2017)
Indenture Agreements
Great Elm Capital Corp.
Capital Markets
NY
2017
First Supplemental Indenture between Great Elm Capital Corp. and American Stock Transfer & Trust Company, LLC (6.50% Notes Due 2022)
Indenture Agreements
Great Elm Capital Corp.
Capital Markets
2017
Great Elm Capital Corp. 6.50% Notes Due 2022 (Global Note) Issued Under Indenture with American Stock Transfer & Trust Company, LLC
Note Agreements
Great Elm Capital Corp.
Capital Markets
2017
Underwriting Agreement for $28,375,000 6.50% Notes Due 2022 between Great Elm Capital Corp. and Janney Montgomery Scott LLC
Underwriting Agreements
Great Elm Capital Corp.
Capital Markets
NY
2017
Indenture Agreement between Great Elm Capital Corp. and American Stock Transfer & Trust Company, LLC (September 18, 2017)
Indenture Agreements
Great Elm Capital Corp.
Capital Markets
NY
2017
First Supplemental Indenture between Great Elm Capital Corp. and American Stock Transfer & Trust Company, LLC (6.50% Notes Due 2022)
Indenture Agreements
Great Elm Capital Corp.
Capital Markets
2017
Great Elm Capital Corp. 6.50% Notes Due 2022 (Global Note)
Note Agreements
Great Elm Capital Corp.
Capital Markets
2017
Second Supplemental Indenture among Full Circle Capital Corporation, Great Elm Capital Corp., and U.S. Bank National Association (Trustee)
Indenture Agreements
Great Elm Capital Corp.
Capital Markets
NY
2017
Custodian Agreement between Great Elm Capital Corp. and State Street Bank and Trust Company (October 27, 2016)
Great Elm Capital Corp.
Capital Markets
MA
2017
Investment Management Agreement between Great Elm Capital Corp. and Great Elm Capital Management, Inc. (September 27, 2016)
Investment Agreements
Great Elm Capital Corp.
Capital Markets
DE
2016
Administration Agreement between Great Elm Capital Management, Inc. and Great Elm Capital Corp. (September 27, 2016)
Administration Agreements
Great Elm Capital Corp.
Capital Markets
DE
2016
Amended and Restated Registration Rights Agreement between Great Elm Capital Corp. and Holders
Registration Rights Agreements
Great Elm Capital Corp.
Capital Markets
NY
2016
Indemnification Agreement between Great Elm Capital Corp. and Director/Officer (Indemnitee)
Indemnification Agreements
Great Elm Capital Corp.
Capital Markets
MD
2016