Item 5. Other Information
Item 5. Other Information.
Item 1.01. Entry into a Material Definitive Agreement.
On August 2, 2021, the Board approved a form of indemnification agreement (the Indemnification Agreement), and it is
expected that each of the directors, executive officers and certain other officers of the Company will enter into the Indemnification Agreement. The form of Indemnification Agreement provides for indemnification and advancements by the
Company of certain expenses and costs relating to claims, suits, or proceedings, if any, arising from service to the Company or, at the Companys request, service to other entities, as officers or directors to the maximum extent permitted by
applicable law.
The foregoing description of the Indemnification Agreement does not purport to be complete and is qualified in
its entirety by the terms and conditions of the Indemnification Agreement, the form of which is included as Exhibit 10.1 to this Quarterly Report on Form 10-Q and is incorporated herein by reference.
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FIDUS INVESTMENT CORPORATION
Notes to Consolidated Financial Statements (unaudited)
(in thousands, except shares and per share data)
Item 6. Exhibits.
Number
Exhibit
3.1
Articles of Amendment and Restatement of the Registrant (Filed as Exhibit (a)(1) to
Pre-Effective Amendment No. 2 to the Registrants Registration Statement on Form N-2 (File
No. 333-172550) filed with the U.S. Securities and Exchange Commission on April 29, 2011 and incorporated herein by reference).
3.2
Bylaws of the Registrant (Filed as Exhibit (b)(1) to Pre-Effective Amendment No. 2 to the Registrants
Registration Statement on Form N-2 (File No. 333-172550) filed with the U.S. Securities and Exchange Commission on April 29, 2011 and incorporated herein by
reference).
4.1
Form of Stock Certificate of the Registrant (Filed as Exhibit (d) to
Pre-Effective Amendment No. 2 to the Registrants Registration Statement on Form N-2 (File
No. 333-172550) filed with the U.S. Securities and Exchange Commission on April 29, 2011 and incorporated herein by reference).
10.1
Form of Indemnification Agreement between Fidus Investment Corporation and each officer and director of Fidus Investment Corporation.*
31.1
Chief Executive Officer Certification Pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as adopted pursuant to Section
302 of the Sarbanes-Oxley Act of 2002.*
31.2
Chief Financial Officer Certification Pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as adopted pursuant to Section
302 of the Sarbanes-Oxley Act of 2002.*
32.1
Certification pursuant to Section 1350, Chapter 63 of Title 18, United States Code, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.*
*
Filed herewith.
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FIDUS INVESTMENT CORPORATION
Notes to Consolidated Financial Statements (unaudited)
(in thousands, except shares and per share data)
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
thereunto duly authorized.
FIDUS INVESTMENT CORPORATION
Date: August 5, 2021
/s/ EDWARD H. ROSS
Edward H. Ross
Chairman and Chief Executive Officer
(Principal Executive Officer)
Date: August 5, 2021
/s/ SHELBY E. SHERARD
Shelby E. Sherard
Chief Financial Officer
(Principal Financial and Accounting Officer)
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Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.