Current Report Filing (8-k)
2017年8月30日 - 5:04AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8-K
CURRENT REPORT
Pursuant
to Section 13 OR 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): August 29, 2017 (August 24, 2017)
Gladstone Capital Corporation
(Exact name of registrant as specified in its charter)
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Maryland
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814-00237
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54-2040781
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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1521 Westbranch Drive, Suite 100
McLean, Virginia
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22102
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(Address of principal executive offices)
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(Zip Code)
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(703) 287-5800
(Registrants telephone number, including area code)
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the
following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this
chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or
revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 1.01. Entry into a Material Definitive Agreement.
On August 24, 2017 Gladstone Capital Corporation (the Company), through its wholly-owned subsidiary Gladstone Business Loan, LLC, entered into
Amendment No. 3 (the Amendment) to its Fifth Amended and Restated Credit Agreement, with KeyBank National Association (KeyBank), as administrative agent, swingline lender, managing agent and lead arranger, Gladstone
Management Corporation, the Companys Adviser, as servicer, and certain other lenders party thereto (together with the Amendment, the Credit Facility).
Primarily, the Amendment adjusts the calculation of the borrowing base of the Credit Facility and clarifies the application of excess concentrations. The
Amendment also, among other items, increases the excess concentration limits for PIK loans and updates the commitment amounts for the Lenders. As of August 23, 2017, prior to the closing of the Amendment, $76.5 million of borrowings were
outstanding under the Credit Facility.
The foregoing summary of the Amendment is not complete and is qualified in its entirety by reference to the
Amendment, which is filed as Exhibit 10.1 to this Current Report on Form 8-K and incorporated by reference into this Item 1.01.
Item 2.03.
Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.
The information set forth under
Item 1.01 is hereby incorporated by reference into this Item 2.03.
Item 9.01. Financial Statements and Exhibits
(c) Exhibits
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Exhibit No.
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Description
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10.1
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Amendment No. 3 to Fifth Amended and Restated Credit Agreement, dated as of August 24, 2017, by and among Gladstone Business Loan, LLC, as Borrower, Gladstone Management Corporation, as Servicer, Keybank National Association, as
administrative agent, swingline lender, managing agent and lead arranger and certain other lenders party thereto.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
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Dated: August 29, 2017
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GLADSTONE CAPITAL CORPORATION
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By:
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/s/ Nicole Schaltenbrand
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Nicole Schaltenbrand
Chief Financial Officer
& Treasurer
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EXHIBIT INDEX
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Exhibit No.
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Description
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10.1
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Amendment No. 3 to Fifth Amended and Restated Credit Agreement, dated as of August 24, 2017, by and among Gladstone Business Loan, LLC, as Borrower, Gladstone Management Corporation, as Servicer, Keybank National Association, as
administrative agent, swingline lender, managing agent and lead arranger and certain other lenders party thereto.
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