20 unchanged sentences
Other Information
+Added: Disclosure Regarding Foreign Jurisdictions that Prevent Inspections.
+Added: Not applicable.
Directors, Executive Officers and Corporate Governance
24 unchanged sentences
Incorporated by Reference
−Removed: Number Description Form and SEC File No.
+Added: Exhibit Number Description Form and SEC File No.
Filing Date with SEC Filed with this 10-K
7 unchanged sentences
N-2/A (333-166363) March 18, 2011
−Removed: 4.2 Form of Base Indenture
+Added: 4.2 Base Indenture
N-2 (333-200376) November 19, 2014
−Removed: 4.3 Form of Warrant Agreement
+Added: 4.3 Warrant Agreement
N-2/A (333-200376) December 16, 2014
−Removed: 4.4 Form of Subscription Agent Agreement
+Added: 4.4 Subscription Agent Agreement
N-2/A (333-200376) December 16, 2014
−Removed: 4.5 Form of Subscription Certificate
+Added: 4.5 Subscription Certificate
N-2/A (333-200376) December 16, 2014
−Removed: 4.6 Form of Certificate of Designation
+Added: 4.6 Certificate of Designation
N-2/A (333-200376) December 16, 2014
−Removed: 4.7 First Supplemental Indenture dated as of April 16, 2018, between OFS Capital Corporation and U.S.
−Removed: Bank National Association, as trustee
−Removed: POS EX (333-217302) April 16, 2018
−Removed: 4.8 Form of 6.375% Note due 2025 (incorporated by reference to Exhibit 4.8 thereto and Exhibit A therein)
−Removed: POS EX (333-217302) April 16, 2018
−Removed: 4.9 Second Supplemental Indenture dated as of October 16, 2018 between OFS Capital Corporation and U.S.
−Removed: Bank National Association, as trustee
−Removed: POS EX (333-222419) October 16, 2018
−Removed: Incorporated by Reference
−Removed: Number Description Form and SEC File No.
−Removed: Filing Date with SEC Filed with this 10-K
−Removed: 4.10 Form of 6.50% Note due 2025 (incorporated by reference to Exhibit 4.10 thereto and Exhibit A therein)
−Removed: POS EX (333-222419) October 16, 2018
−Removed: 4.11 Third Supplemental Indenture dated as of October 15, 2019 between OFS Capital Corporation and U.S.
−Removed: National Bank Association, as trustee
−Removed: POS EX (333-222419) October 15, 2019
−Removed: 4.12 Form of 5.95% Note due 2026 (incorporated by reference to Exhibit 4.11 thereto and Exhibit A therein)
−Removed: POS EX (333-222419) October 15, 2019
−Removed: 4.13 Fourth Supplemental Indenture dated as of September 18, 2020 between OFS Capital Corporation and U.S.
−Removed: National Bank Association, as trustee
−Removed: (333-00813) September 18, 2020
−Removed: 4.14 Form of 6.25% Note due 2023 (incorporated by reference to Exhibit 4.1 thereto and Exhibit A therein)
−Removed: (333-00813) September 18, 2020
4.7 Fifth Supplemental Indenture dated as of February 10, 2021 between OFS Capital Corporation and U.S.
3 unchanged sentences
(814-00813) February 10, 2021
+Added: Incorporated by Reference
+Added: Exhibit Number Description Form and SEC File No.
+Added: Filing Date with SEC Filed with this 10-K
+Added: 4.9 Sixth Supplemental Indenture dated of October 28, 2021 between OFS Capital Corporation and U.S.
+Added: Bank National Association, as trustee
+Added: (814-00813) October 28, 2021
+Added: 4.10 Form of 4.95% Notes due 2028 (incorporated by reference to Exhibit 4.1 thereto and Exhibit A therein)
+Added: (814-00813) October 28, 2021
4.11 Description of Securities
3 unchanged sentences
10-Q (814-00813) November 7, 2014
−Removed: 10.3 Form of Custody Agreement
−Removed: N-2/A (333-166363) March 18, 2011
+Added: 10.3 Custody Agreement
10.4 Administration Agreement between OFS Capital Corporation and OFS Capital Services, LLC
10 unchanged sentences
10-Q (814-00813) November 6, 2015
−Removed: Incorporated by Reference
−Removed: Number Description Form and SEC File No.
−Removed: Filing Date with SEC Filed with this 10-K
10.11 Change in terms to the Business Loan Agreement between OFS Capital Corporation and Pacific Western Bank dated March 7, 2018
12 unchanged sentences
(814-00813) October 9, 2020
−Removed: 10.19 Commercial Guaranty Agreement between among OFS Capital Corporation, OFSCC-MB, Inc., and Pacific Western Bank, dated April 10, 2019
−Removed: (333-00813) April 15, 2019
+Added: Incorporated by Reference
+Added: Exhibit Number Description Form and SEC File No.
+Added: Filing Date with SEC Filed with this 10-K
10.19 Amendment Four to the Business Loan Agreement between OFS Capital Corporation and Pacific Western Bank dated February 17, 2021
2 unchanged sentences
(814-00813) February 19, 2021
+Added: 10.21 Change in Terms to the Business Loan Agreement between OFS Capital Corporation and Pacific Western Bank dated November 15, 2021
+Added: (814-00813) November 18, 2021
+Added: 10.22 Commercial Guaranty Agreement between among OFS Capital Corporation, OFSCC-MB, Inc., and Pacific Western Bank, dated April 10, 2019
+Added: (814-00813) April 15, 2019
10.23 Revolving Credit and Security Agreement by and among OFSCC-FS, LLC, as borrower, the lenders from time to time parties thereto, BNP Paribas, as administrative agent, OFSCC-FS Holdings LLC, as equityholder, OFS Capital Corporation, LLC, as servicer, and Citibank, N.A., as collateral agent, dated June 20, 2019.
6 unchanged sentences
(814-00813) June 24, 2019
+Added: 10.27 Revised Exhibit F dated as of November 10, 2021 to Revolving Credit and Security Agreement by and among OFSCC-FS, LLC, as borrower, the lenders from time to time parties thereto, BNP Paribas, as administrative agent, OFSCC-FS Holdings LLC, as equityholder, OFS Capital Corporation, LLC, as servicer, and Citibank, dated June 20, 2019.
11.1 Computation of Per Share Earnings +
14.1 Joint Code of Ethics of OFS Capital Corporation and OFS Advisor
−Removed: Incorporated by Reference
−Removed: Number Description Form and SEC File No.
−Removed: Filing Date with SEC Filed with this 10-K
+Added: (814-00813) November 5, 2021
21.1 List of Subsidiaries
23.1 Consent from KPMG LLP
−Removed: 23.2 Consent from BDO USA, LLP
−Removed: 31.1 Certification of Chief Executive Officer pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as amended
−Removed: 31.2 Certification of Chief Financial Officer pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as amended
−Removed: 32.1 Certification of Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
−Removed: 32.2 Certificate of Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
−Removed: 99.1 Report of Independent Registered Public Accounting Firm
+Added: 31.1 Certification of Chief Executive Officer pursuant to Rule 13a-14 and 15d-14(a) of the Securities Exchange Act of 1934, as amended
+Added: 31.2 Certification of Chief Financial Officer pursuant to Rule 13a-14 and 15d-1 4(a) of the Securities Exchange Act of 1934, as amended
+Added: Incorporated by Reference
+Added: Exhibit Number Description Form and SEC File No.
+Added: Filing Date with SEC Filed with this 10-K
+Added: 32.1 Certification of Chief Executive Officer pursuant to 18 U.S.C.
+Added: Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
+Added: 32.2 Certifica tion of Chief Financial Officer pursuant to 18 U.S.C.
+Added: Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
99.1 Report of Independent Registered Public Accounting Firm
10 unchanged sentences
Bilal Rashid, Chief Executive Officer and Chairman of the Board of Directors (Principal Executive Officer)
−Removed: March 5, 2021 /s/ Marc Abrams
−Removed: Marc Abrams, Director
+Added: March 4, 2022 /s/ Ashwin Ranganathan
+Added: Ashwin Ranganathan, Director
March 4, 2022 /s/ Romita Shetty
7 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.