KCAP Financial, Inc. Contracts & Agreements

68 Contracts & Agreements
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Agreement and Plan of Merger among Portman Ridge Finance Corporation, Portman Ridge Merger Sub, Inc., and Logan Ridge Finance Corporation
Merger Agreements
KCAP Financial, Inc.
Capital Markets
DE
2025
Fee Waiver Agreement between Sierra Crest Investment Management LLC and Portman Ridge Finance Corporation
Waiver Agreements
KCAP Financial, Inc.
Capital Markets
DE
2025
Second Amendment to Loan and Security Agreement among Great Lakes Portman Ridge Funding LLC, JPMorgan Chase Bank, and Others
Loan Agreements
KCAP Financial, Inc.
Capital Markets
NY
2024
Description of Portman Ridge Finance Corporation’s Registered Common Stock
Stock Agreements
KCAP Financial, Inc.
Capital Markets
2024
First Amendment to Loan and Security Agreement among Great Lakes Portman Ridge Funding LLC, JPMorgan Chase Bank, and Others
Loan Agreements
KCAP Financial, Inc.
Capital Markets
NY
2022
Description of Portman Ridge Finance Corporation’s Registered Common Stock
Stock Agreements
KCAP Financial, Inc.
Capital Markets
2022
Portman Ridge Finance Corporation Registration Rights Agreement with Purchasers of 4.875% Notes Due 2026
Registration Rights Agreements
KCAP Financial, Inc.
Capital Markets
NY
2021
Portman Ridge Finance Corporation Registration Rights Agreement with Note Purchasers (April 2021)
Registration Rights Agreements
KCAP Financial, Inc.
Capital Markets
NY
2021
Description of Portman Ridge Finance Corporation’s Registered Common Stock
Stock Agreements
KCAP Financial, Inc.
Capital Markets
2021
Voting and Support Agreement between Portman Ridge Finance Corporation and Certain Stockholders of Harvest Capital Credit Corporation
Voting Agreements
KCAP Financial, Inc.
Capital Markets
DE
2020
Voting and Support Agreement between Portman Ridge Finance Corporation and JMP Securities LLC (December 23, 2020)
Voting Agreements
KCAP Financial, Inc.
Capital Markets
DE
2020
Description of Portman Ridge Finance Corporation’s Registered Common Stock
Stock Agreements
KCAP Financial, Inc.
Capital Markets
2020
Loan and Security Agreement among Great Lakes Portman Ridge Funding LLC, JPMorgan Chase Bank, and Others, dated December 18, 2019
Loan Agreements
KCAP Financial, Inc.
Capital Markets
NY
2019
Investment Advisory Agreement between Portman Ridge Finance Corporation and Sierra Crest Investment Management LLC (April 1, 2019)
Advisory Agreements
KCAP Financial, Inc.
Capital Markets
NY
2019
Letter Agreement Regarding Incentive Fees between Portman Ridge Finance Corporation and Sierra Crest Investment Management LLC (April 1, 2019)
Investment Agreements
KCAP Financial, Inc.
Capital Markets
2019
Administration Agreement between Portman Ridge Finance Corporation and BC Partners Management LLC dated April 1, 2019
Administration Agreements
KCAP Financial, Inc.
Capital Markets
NY
2019
Agreement and Plan of Merger among KCAP Financial, Inc., Commodore Holdings, L.L.C., Katonah Debt Advisors, L.L.C., Trimaran Advisors, L.L.C., Trimaran Advisors Management,...
Merger Agreements
KCAP Financial, Inc.
Capital Markets
DE
2019
Stock Purchase and Transaction Agreement between KCAP Financial, Inc. and BC Partners Advisors L.P. (December 14, 2018)
Purchase Agreements
KCAP Financial, Inc.
Capital Markets
DE
2018
Voting and Support Agreement between BC Partners Advisors L.P. and KCAP Financial Inc. Stockholder (December 14, 2018)
Voting Agreements
KCAP Financial, Inc.
Capital Markets
DE
2018
Amended and Restated Limited Liability Company Agreement of KCAP Freedom 3 LLC
Limited Liability Company Agreements
KCAP Financial, Inc.
Capital Markets
DE
2017
KCAP Financial, Inc. 2006 Equity Incentive Plan (Amended and Restated as of June 23, 2015)
Bonus & Incentive Agreements
KCAP Financial, Inc.
Capital Markets
2015
Upsize Purchase Agreement for Senior Secured Floating Rate Notes between KCAP Senior Funding I, LLC and Guggenheim Securities, LLC (2014)
Purchase Agreements
KCAP Financial, Inc.
Capital Markets
NY
2014
Subordinated Note Purchase Agreement between KCAP Senior Funding I, LLC and KCAP Senior Funding I Holdings, LLC (December 8, 2014)
Note Agreements
KCAP Financial, Inc.
Capital Markets
NY
2014
KCAP Financial, Inc. 2006 Equity Incentive Plan (Amended and Restated as of June 20, 2014)
Bonus & Incentive Agreements
KCAP Financial, Inc.
Capital Markets
2014
KCAP Financial, Inc. Amended and Restated Non-Employee Director Plan (June 20, 2014)
Bonus & Incentive Agreements
KCAP Financial, Inc.
Capital Markets
2014
KCAP Financial, Inc. Employee Restricted Stock Award Agreement (2014)
Compensation Agreements
KCAP Financial, Inc.
Capital Markets
2014
KCAP Senior Funding I, LLC Note Purchase Agreement with Guggenheim Securities, LLC (June 16, 2013)
Purchase Agreements
KCAP Financial, Inc.
Capital Markets
NY
2013
Purchase and Sale Agreement among Kohlberg Capital Corporation, Commodore Holdings, L.L.C., Trimaran Advisors, L.L.C., HBK Caravelle, L.L.C., Trimaran Fund Management, L.L.C., Jay...
Purchase Agreements
KCAP Financial, Inc.
Capital Markets
DE
2012
Escrow Agreement among Commodore Holdings, LLC, HBK Caravelle, LLC, Trimaran Fund Management, LLC, Sellers’ Representative, and The Bank of New York Mellon dated February 29,...
Escrow Agreements
KCAP Financial, Inc.
Capital Markets
NY
2012
Note Purchase Agreement among Kohlberg Capital Corporation, Credit Suisse AG, KCAP Funding, and The Bank of New York Mellon Trust Company (Feb. 24, 2012)
Note Agreements
KCAP Financial, Inc.
Capital Markets
2012
Collateral Administration Agreement among KCAP Funding, Kohlberg Capital Corporation, Credit Suisse AG, and The Bank of New York Mellon Trust Company (2012)
Administration Agreements
KCAP Financial, Inc.
Capital Markets
2012
Employment Agreement between Trimaran Advisors, L.L.C. and Jay R. Bloom (Portfolio Manager)
Employment Agreements
KCAP Financial, Inc.
Capital Markets
2012
Employment Agreement between Trimaran Advisors, L.L.C. and Dean C. Kehler
Employment Agreements
KCAP Financial, Inc.
Capital Markets
2012
Indenture for 8.75% Convertible Senior Notes due 2016 between Kohlberg Capital Corporation and U.S. Bank National Association
Indenture Agreements
KCAP Financial, Inc.
Capital Markets
DE
2011
Separation Agreement between Katonah Debt Advisors, L.L.C. and John M. Stack, Dated December 10, 2010
Separation Agreements
KCAP Financial, Inc.
Capital Markets
2011
Employment Agreement between Katonah Debt Advisors, L.L.C. and Daniel Gilligan (August 13, 2009)
Employment Agreements
KCAP Financial, Inc.
Capital Markets
2011
Forbearance and Settlement Agreement among Kohlberg Capital Funding LLC I, Kohlberg Capital Corporation, BMO Capital Markets Corp., and Lenders (September 20, 2010)
Forbearance Agreements
KCAP Financial, Inc.
Capital Markets
NY
2010
Employment Agreement between Katonah Debt Advisors, L.L.C. and John M. Stack (December 14, 2009)
Employment Agreements
KCAP Financial, Inc.
Capital Markets
2010
Employment Agreement between Kohlberg Capital Corporation and Dayl W. Pearson (President and CEO)
Employment Agreements
KCAP Financial, Inc.
Capital Markets
2009
Employment Agreement between Kohlberg Capital, LLC and Michael Wirth (August 5, 2009)
Employment Agreements
KCAP Financial, Inc.
Capital Markets
2009
Employment Agreement between Kohlberg Capital Corporation and R. Jon Corless (August 5, 2009)
Employment Agreements
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 with Grantee
Equity Distribution Agreements
KCAP Financial, Inc.
Capital Markets
2008
Employment Agreement between Kohlberg Capital Corporation and E.A. Kratzman III
Employment Agreements
KCAP Financial, Inc.
Capital Markets
2008
Employment Agreement between Katonah Debt Advisors, LLC and E.A. Kratzman III
Employment Agreements
KCAP Financial, Inc.
Capital Markets
2008
Third Amendment to Loan Funding and Servicing Agreement among Kohlberg Capital Funding LLC I, Kohlberg Capital Corporation, and Lenders
Loan Agreements
KCAP Financial, Inc.
Capital Markets
2008
Loan Funding and Servicing Agreement among Kohlberg Capital Funding LLC I, Kohlberg Capital Corporation, Lenders, Agents, and U.S. Bank
Loan Agreements
KCAP Financial, Inc.
Capital Markets
MN
2007
Loan Funding and Servicing Agreement among Kohlberg Capital Funding LLC I, Kohlberg Capital Corporation, Lenders, Agents, and U.S. Bank
Loan Agreements
KCAP Financial, Inc.
Capital Markets
MN
2007
Purchase and Sale Agreement between Kohlberg Capital Corporation and Kohlberg Capital Funding LLC I (February 14, 2007)
Purchase Agreements
KCAP Financial, Inc.
Capital Markets
DE
2007
Master Par/Near Par Participation Agreement between Katonah X CLO Ltd. and Kohlberg Capital Corporation
Participation Agreements
KCAP Financial, Inc.
Capital Markets
NY
2006
Third Supplemental Indenture between Portman Ridge Finance Corporation and U.S. Bank National Association (April 30, 2021)
Indenture Agreements
KCAP Financial, Inc.
Capital Markets
2021
Agreement and Plan of Merger among Portman Ridge Finance Corporation, Rye Acquisition Sub Inc., Harvest Capital Credit Corporation, and Sierra Crest Investment Management LLC
Merger Agreements
KCAP Financial, Inc.
Capital Markets
DE
2020
Agreement and Plan of Merger among Portman Ridge Finance Corporation, Citadel Acquisition Sub Inc., Garrison Capital Inc., and Sierra Crest Investment Management LLC (June 24,...
Merger Agreements
KCAP Financial, Inc.
Capital Markets
DE
2020
Agreement and Plan of Merger among Portman Ridge Finance Corporation, Storm Acquisition Sub Inc., OHA Investment Corporation, and Sierra Crest Investment Management LLC (July 31,...
Merger Agreements
KCAP Financial, Inc.
Capital Markets
DE
2019
Second Amendment to Loan and Security Agreement by and among Great Lakes KCAP Funding I, LLC, KCAP Financial, Inc., Cadence Bank, N.A., and Lenders
Loan Agreements
KCAP Financial, Inc.
Capital Markets
2019
Third Amendment to Loan and Security Agreement among Great Lakes KCAP Funding I, LLC, Portman Ridge Finance Corporation, Cadence Bank, and Centennial Bank
Loan Agreements
KCAP Financial, Inc.
Capital Markets
2019
Loan and Security Agreement among KCAP Funding I, LLC, KCAP Financial, Inc., and Lenders (March 1, 2018)
Loan Agreements
KCAP Financial, Inc.
Capital Markets
GA
2018
Executive Employment Agreement between KCAP Financial, Inc. and Executive (May 5, 2015)
Employment Agreements
KCAP Financial, Inc.
Capital Markets
2015
First Supplemental Indenture to KCAP Senior Funding I, LLC Indenture (December 8, 2014)
Indenture Agreements
KCAP Financial, Inc.
Capital Markets
2014
KCAP Financial, Inc. Executive Restricted Stock Award Agreement (2014)
Equity Distribution Agreements
KCAP Financial, Inc.
Capital Markets
2014
Master Loan Sale Agreement among KCAP Financial, Inc., KCAP Senior Funding I Holdings, LLC, and KCAP Senior Funding I, LLC (June 18, 2013)
Loan Agreements
KCAP Financial, Inc.
Capital Markets
DE
2013
Amendment to Employment Agreement between KCAP Financial, Inc. and Dayl W. Pearson (April 22, 2013)
Employment Agreements
KCAP Financial, Inc.
Capital Markets
2013
Amendment to Employment Agreement between KCAP Financial, Inc. and Edward Gilpin (April 22, 2013)
Modification Agreements
KCAP Financial, Inc.
Capital Markets
2013
Amendment to Employment Agreement between KCAP Financial, Inc. and R. Jon Corless (April 22, 2013)
Employment Agreements
KCAP Financial, Inc.
Capital Markets
2013
Amendment to Employment Agreement between KCAP Financial, Inc. and Daniel Gilligan
Modification Agreements
KCAP Financial, Inc.
Capital Markets
2013
Employment Agreement between Kohlberg Capital Corporation and Mr. Gilpin (Chief Financial Officer)
Employment Agreements
KCAP Financial, Inc.
Capital Markets
2012
Consulting Agreement between Katonah Debt Advisors, L.L.C. and John M. Stack, Effective January 1, 2011
Consulting Agreements
KCAP Financial, Inc.
Capital Markets
DE
2011
Employment Agreement between Katonah Debt Advisors, L.L.C. and E.A. Kratzman, III (August 5, 2009)
Employment Agreements
KCAP Financial, Inc.
Capital Markets
2009