Item 5. Other Information
ITEM 5.
OTHER INFORMATION.
Not applicable.
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ITEM 6.
EXHIBITS.
Exhibit
Description
3.1
Articles of Amendment and Restatement to the Articles of Incorporation, incorporated by reference to Exhibit 99.a.2 to Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2 (File No.
333-63700), filed July 27, 2001.
3.2
Articles
Supplementary Establishing and Fixing the Rights and Preferences of Term Preferred Shares, including Appendix A thereto relating to the Term Preferred Shares, 7.125% Series
2016, incorporated by reference to Exhibit 2.a.2 to Post-Effective Amendment No. 5 to the Registration Statement on Form
N-2 (File No. 333-162592), filed October 31, 2011.
3.3
Certificate of Correction to Articles Supplementary Establishing and Fixing the Rights and Preferences of Term Preferred Shares, incorporated by reference
to Exhibit 3.1 to the Current Report on Form 8-K (File No. 814-00237), filed October 29, 2015.
3.4
Articles Supplementary, incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K (File
No. 814-00237), filed September 21, 2017.
3.5
Articles Supplementary Establishing and Fixing the Rights and Preferences of Term Preferred Shares, including Appendix A thereto relating to the
6.00% Series 2024 Term Preferred Stock, incorporated by reference to Exhibit 3.2 to the Current Report on Form 8-K (File No. 814-00237), filed
September 21, 2017.
3.6
Bylaws, incorporated by reference to Exhibit
99.b to Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2 (File No.
333-63700), filed July 27, 2001.
3.7
Amendment to Bylaws, incorporated by reference to Exhibit 3.3 to the Quarterly Report on Form 10-Q (File
No. 814-00237), filed February 17, 2004.
3.8
Second Amendment to Bylaws, incorporated by reference to Exhibit 99.1 to the Current Report on Form 8-K
(File No. 814-00237), filed July 10, 2007.
3.9
Third Amendment to Bylaws, incorporated by reference to Exhibit 99.1 to the Current Report on Form 8-K (File
No. 814-00237), filed June 10, 2011.
3.10
Fourth Amendment to Bylaws, incorporated by reference to Exhibit 3.1 to the Current Report on Form
8-K (File No. 814-00237), filed November 29, 2016.
4.1
Form of Certificate for Common Stock, incorporated by reference to Exhibit 99.d.2 to Pre-Effective Amendment
No. 3 to the Registration Statement on Form N-2 (File No. 333-63700), filed August 23, 2001.
4.2
Indenture between the Registrant and U.S. Bank National Association, dated as of November
6, 2018, incorporated by reference to Exhibit 2.d.10 to Post-Effective Amendment No. 7 to the Registration Statement on Form N-2 (File No.
333-208637), filed November 6, 2018.
4.3
First Supplemental Indenture between the Registrant and U.S. Bank National Association, dated as of November
6, 2018, incorporated by reference to Exhibit 2.d.11 to Post-Effective Amendment No. 7 to the Registration Statement on Form N-2 (File No.
333-208637), filed November 6, 2018.
4.4
Second Supplemental Indenture between the Registrant and U.S. Bank National Association, dated as of October
10, 2019, incorporated by reference to Exhibit 2.d.11 to Post-Effective Amendment No. 2 to the Registration Statement on Form N-2 (File No.
333-228720), filed October 10, 2019.
4.5
Third Supplemental Indenture between Gladstone Capital Corporation and U.S. Bank National Association, dated as of December
15, 2020, incorporated by reference to Exhibit 4.1 to the Current Report on Form 8-K (File No. 814-00237), filed December 15, 2020.
10.1
Amendment No. 7 to Fifth Amended and Restated Credit Agreement, dated as of November
2, 2020 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.*
10.2
Amendment No. 8 to Fifth Amended and Restated Credit Agreement, dated as of December
9, 2020 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.*
31.1
Certification of Chief Executive Officer pursuant to section 302 of the Sarbanes-Oxley Act of 2002.*
31.2
Certification of Chief Financial Officer pursuant to section 302 of the Sarbanes-Oxley Act of 2002.*
32.1
Certification of Chief Executive Officer pursuant to section 906 of the Sarbanes-Oxley Act of 2002.+
32.2
Certification of Chief Financial Officer pursuant to section 906 of the Sarbanes-Oxley Act of 2002.+
*
Filed herewith
+
Furnished herewith
All other exhibits for which provision is made in the applicable regulations of the Securities and Exchange Commission are not required under the related
instruction or are inapplicable and therefore have been omitted.
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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
thereunto duly authorized.
GLADSTONE CAPITAL CORPORATION
By:
/s/ Nicole Schaltenbrand
Nicole Schaltenbrand
Chief Financial Officer and Treasurer
(principal financial and accounting officer)
Date: February 3, 2021
58
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.