KCAP Financial, Inc. Contracts & Agreements

62 Contracts & Agreements
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Fee Waiver Agreement by and between Portman Ridge Finance Corporation and Sierra Crest Investment Management LLC, dated as of January 29, 2025
KCAP Financial, Inc.
Capital Markets
2025
Agreement and Plan of Merger by and among Portman Ridge Finance Corporation, Logan Ridge Finance Corporation, Portman Ridge Merger Sub, Inc., Mount Logan Management LLC (for the...
KCAP Financial, Inc.
Capital Markets
2025
Loan and Security Agreement Conformed Through the Second Amendment dated as of July 23, 2024 among Great Lakes Portman Ridge Funding LLC, The Lenders Party Hereto, The Collateral...
Loan Agreements
KCAP Financial, Inc.
Capital Markets
NY
2024
Description of Portman Ridge Finance Corporation's Registered Securities
KCAP Financial, Inc.
Capital Markets
2024
Loan and Security Agreement Conformed Through the First Amendment dated as of April 29, 2022 among Great Lakes Portman Ridge Funding LLC, The Lenders Party Hereto, The Collateral...
Loan Agreements
KCAP Financial, Inc.
Capital Markets
NY
2022
Description of Portman Ridge Finance Corporation's Registered Securities
KCAP Financial, Inc.
Capital Markets
2022
Registration Rights Agreement, dated as of June 23, 2021, by and among the Company and the Purchasers (as defined therein)
Registration Rights Agreements
KCAP Financial, Inc.
Capital Markets
NY
2021
Third Supplemental Indenture, dated as of April 30, 2021, relating to the 4.875% Notes due 2026, by and between the Company and U.S. Bank National Association, as trustee
Indenture Agreements
KCAP Financial, Inc.
Capital Markets
2021
Registration Rights Agreement, dated as of April 30, 2021, by and among the Company and the Purchasers (as defined therein)
Registration Rights Agreements
KCAP Financial, Inc.
Capital Markets
NY
2021
Description of Portman Ridge Finance Corporations Registered Securities
KCAP Financial, Inc.
Capital Markets
2021
Agreement and Plan of Merger, dated as of December 23, 2020 by and among Portman Ridge Finance Corporation, Rye Acquisition Sub Inc., Harvest Capital Credit Corporation and Sierra...
Merger Agreements
KCAP Financial, Inc.
Capital Markets
DE
2020
Voting and Support Agreement, dated as of December 23, 2020 by and among Portman Ridge Finance Corporation, Joseph A. Jolson, Joseph A. Jolson Trust DTD 6/4/91 and Jolson Family...
Voting Agreements
KCAP Financial, Inc.
Capital Markets
DE
2020
Voting and Support Agreement, dated as of December 23, 2020 by and among Portman Ridge Finance Corporation and JMP Securities LLC
Voting Agreements
KCAP Financial, Inc.
Capital Markets
DE
2020
Agreement and Plan of Merger, dated as of June 24, 2020 by and among Portman Ridge Finance Corporation, Citadel Acquisition Sub Inc., Garrison Capital Inc. and Sierra Crest...
Merger Agreements
KCAP Financial, Inc.
Capital Markets
DE
2020
Description of Portman Ridge Finance Corporations Registered Securities
KCAP Financial, Inc.
Capital Markets
2020
Loan and Security Agreement dated as of December 18, 2019 among Great Lakes Portman Ridge Funding LLC, The Lenders Party Hereto, The Collateral Administrator, Collateral Agent ad...
Loan Agreements
KCAP Financial, Inc.
Capital Markets
NY
2019
Agreement and Plan of Merger, dated as of July 31, 2019 by and among Portman Ridge Finance Corporation, Storm Acquisition Sub Inc., OHA Investment Corporation, and Sierra Crest...
Merger Agreements
KCAP Financial, Inc.
Capital Markets
DE
2019
Investment Advisory Agreement, dated April 1, 2019, by and between the Company and Sierra Crest Investment Management LLC
Management Agreements
KCAP Financial, Inc.
Capital Markets
NY
2019
Third Amendment to Loan and Security Agreement, dated as of April 1, 2019, by and among Great Lakes KCAP Funding I, LLC, KCAP Financial, Inc., the financial institutions party to...
Loan Agreements
KCAP Financial, Inc.
Capital Markets
2019
Incentive Fee Letter Agreement, dated April 1, 2019, by and between the Company and Sierra Crest Investment Management LLC
Bonus & Incentive Agreements
KCAP Financial, Inc.
Capital Markets
2019
Administration Agreement, dated April 1, 2019, by and between the Company and BC Partners Management LLC
Management Agreements
KCAP Financial, Inc.
Capital Markets
NY
2019
Second Amendment to Loan and Security Agreement, dated as of March 27, 2019, by and among Great Lakes KCAP Funding I, LLC, KCAP Financial, Inc., the financial institutions party...
Loan Agreements
KCAP Financial, Inc.
Capital Markets
2019
Agreement and Plan of Merger, dated as of November 8, 2018, by and among KCAP, Commodore, the Disposed Companies, LibreMax and the Merger Subs
Merger Agreements
KCAP Financial, Inc.
Capital Markets
DE
2019
Stock Purchase and Transaction Agreement, dated December 14, 2018, by and between KCAP Financial, Inc. and BC Partners Advisors L.P
Stock Agreements
KCAP Financial, Inc.
Capital Markets
DE
2018
Form of Voting and Support Agreement, dated December 14, 2018, by and between BC Partners Advisors L.P. and the members of the board of directors of KCAP Financial, Inc
Voting Agreements
KCAP Financial, Inc.
Capital Markets
DE
2018
Loan and Security Agreement, dated as of March 1, 2018, by and among KCAP Funding I, LLC, KCAP Financial, Inc., the financial institutions party to the Agreement from time to time...
Loan Agreements
KCAP Financial, Inc.
Capital Markets
GA
2018
AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF KCAP FREEDOM 3 LLC A Delaware Limited Liability Company Dated as of July 19, 2017
Limited Partnership Agreements
KCAP Financial, Inc.
Capital Markets
DE
2017
2006 EQUITY INCENTIVEPLAN As Amended and Restated Effective June 23, 2015
KCAP Financial, Inc.
Capital Markets
2015
FORM OF EXECUTIVE EMPLOYMENT AGREEMENT
Employment Agreements
KCAP Financial, Inc.
Capital Markets
2015
FIRST SUPPLEMENTAL INDENTURE dated as of December 8, 2014 among KCAP SENIOR FUNDING I, LLC, as Issuer and U.S. Bank National Association, as Trustee to the Indenture, dated as of...
Funding Agreements
KCAP Financial, Inc.
Capital Markets
2014
KCAP SENIORFUNDING I, LLC NOTES U.S.$30,900,000Class A-2 Senior Secured Floating Rate Notes due 2024 U.S.$3,600,000CLASS B-2 SENIOR SECURED FLOATING RATE NOTES DUE 2024...
KCAP Financial, Inc.
Capital Markets
NY
2014
KCAP SENIOR FUNDING I, LLC SUBORDINATED NOTES DUE 2024 SUBORDINATED NOTE PURCHASE AGREEMENT By and Between KCAP SENIOR FUNDING I, LLC Issuer and KCAP SENIOR FUNDING I HOLDINGS,...
Note Agreements
KCAP Financial, Inc.
Capital Markets
NY
2014
KCAP FINANCIAL, INC. 2006 EQUITY INCENTIVEPLAN As Amended and Restated Effective June 20, 2014
KCAP Financial, Inc.
Capital Markets
2014
KCAP FINANCIAL,INC. NON-EMPLOYEE DIRECTOR PLAN As Amended and Restated June 20, 2014
KCAP Financial, Inc.
Capital Markets
2014
KCAP Financial, Inc. Employee Restricted Stock Award Agreement
Stock Agreements
KCAP Financial, Inc.
Capital Markets
2014
KCAP Financial, Inc. EXECUTIVE Restricted Stock Award Agreement
Stock Agreements
KCAP Financial, Inc.
Capital Markets
2014
MASTER LOAN SALE AGREEMENT among KCAP FINANCIAL, INC., as the Originator, KCAP SENIOR FUNDING I HOLDINGS, LLC, as the Depositor and KCAP SENIOR FUNDING I, LLC, as the Issuer Dated...
Loan Agreements
KCAP Financial, Inc.
Capital Markets
DE
2013
KCAP SENIORFUNDING I, LLC NOTES U.S.$77,250,000Class A-1 Senior Secured Floating Rate Notes due 2024 U.S.$9,000,000CLASS B-1 SENIOR SECURED FLOATING RATE NOTES DUE 2024...
KCAP Financial, Inc.
Capital Markets
NY
2013
PURCHASE AND SALE AGREEMENT BY AND AMONG KOHLBERG CAPITAL CORPORATION CommodoreHoldings, L.L.C. TrimaranAdvisors, L.L.C. HBK CARAVELLE, L.L.C. TRIMARAN FUND MANAGEMENT, L.L.C....
Purchase Agreements
KCAP Financial, Inc.
Capital Markets
DE
2012
[Trimaran Advisors, L.L.C. letterhead]
KCAP Financial, Inc.
Capital Markets
2012
ESCROW AGREEMENT BETWEEN COMMODORE HOLDINGS, L.L.C., HBK CARAVELLE, L.L.C. TRIMARAN FUND MANAGEMENT, LLC THE SELLERS’ REPRESENTATIVE NAMED HEREIN AND THE BANK OF NEW YORK MELLON...
Escrow Agreements
KCAP Financial, Inc.
Capital Markets
NY
2012
NOTE PURCHASE AGREEMENT
Note Agreements
KCAP Financial, Inc.
Capital Markets
2012
COLLATERAL ADMINISTRATIONAGREEMENT
KCAP Financial, Inc.
Capital Markets
2012
[Trimaran Advisors, L.L.C. letterhead]
KCAP Financial, Inc.
Capital Markets
2012
KOHLBERG CAPITAL CORPORATION
KCAP Financial, Inc.
Capital Markets
DE
2011
Katonah Debt Advisors, L.L.C. 295 Madison Avenue, 6th Floor New York, NY 10017
KCAP Financial, Inc.
Capital Markets
2011
295Madison Avenue, 6th Floor New York, NY10017
KCAP Financial, Inc.
Capital Markets
2011
KATONAH DEBT ADVISORS, L.L.C. CONSULTING AGREEMENT
Consulting Agreements
KCAP Financial, Inc.
Capital Markets
DE
2011
FORBEARANCEAND SETTLEMENT AGREEMENT
Settlement Agreements
KCAP Financial, Inc.
Capital Markets
NY
2010
295 MadisonAvenue, 6th Floor New York, NY 10017 Telephone ###-###-#### Facsimile ###-###-####
KCAP Financial, Inc.
Capital Markets
2010
295Madison Avenue, 6th Floor New York, NY10017
KCAP Financial, Inc.
Capital Markets
2009
295Madison Avenue, 6th Floor New York, NY10017 Telephone(212) 455-8300 Facsimile ###-###-####
KCAP Financial, Inc.
Capital Markets
2009
295Madison Avenue, 6th Floor New York, NY10017 Telephone(212) 455-8300 Facsimile ###-###-####
KCAP Financial, Inc.
Capital Markets
2009
KOHLBERG CAPITAL CORPORATION AMENDED AND RESTATED 2006 EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
KCAP Financial, Inc.
Capital Markets
2008
Kohlberg Capital Corporation Restricted Stock Award Agreement
Stock Agreements
KCAP Financial, Inc.
Capital Markets
2008
[Remainder of Page Intentionally Left Blank]
KCAP Financial, Inc.
Capital Markets
2008
Telephone ###-###-#### Facsimile ###-###-####
KCAP Financial, Inc.
Capital Markets
2008
THIRD AMENDMENT TO LOAN FUNDING AND SERVICING AGREEMENT
Loan Agreements
KCAP Financial, Inc.
Capital Markets
2008
U.S.$200,000,000 LOAN FUNDING AND SERVICING AGREEMENT
Loan Agreements
KCAP Financial, Inc.
Capital Markets
MN
2007
U.S.$200,000,000 LOAN FUNDING AND SERVICING AGREEMENT by and among
Loan Agreements
KCAP Financial, Inc.
Capital Markets
MN
2007
by andbetween KOHLBERG CAPITAL FUNDING LLC I, as the Buyer and KOHLBERG CAPITAL CORPORATION, as the Seller
Funding Agreements
KCAP Financial, Inc.
Capital Markets
DE
2007
MASTER PAR/NEAR PAR PARTICIPATION AGREEMENT
Participation Agreements
KCAP Financial, Inc.
Capital Markets
NY
2006