What changed in this filing

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Item 9A. Controls and Procedures

2021-02-25 compared with 2020-02-26 · 49 added, 35 removed, 102 unchanged (45% of the section changed)

19 unchanged sentences

Other Information.

On February 25, 2020, we entered into a non-exclusive, royalty-free license agreement (the “License Agreement”) with the BlackRock, Inc., the parent company of our Advisor, pursuant to which BlackRock, Inc.

has agreed to grant us a non-exclusive, royalty-free license to use the name “BlackRock.” The License Agreement has an initial term of one year and will automatically be renewed for successive one-year terms unless terminated in accordance with the terms of the License Agreement.

Directors, Executive Officers and Corporate Governance

21 unchanged sentences

The following exhibits are filed as part of this report or hereby incorporated by reference to exhibits previously filed with the SEC:

Number Description

3.1 Certificate of Incorporation of the Registrant (1)

6 unchanged sentences

Bank National Association, as the Trustee(11)

Form of Global Note of 5.25% Convertible Senior Notes Due 2019 (included as part of Exhibit 10.8)(12)

4.4 Form of Global Note of 5.25% Convertible Senior Notes Due 2019 (included in Exhibit 4.3)(11)

4.5 Indenture, dated as of September 6, 2016, by and between the Registrant and U.S.

Bank National Association, as the Trustee(12)

Form of Global Note of 4.625% Convertible Senior Notes due 2022 (included as part of Exhibit 10.10) (13)

4.6 Form of Global Note of 4.625% Convertible Senior Notes due 2022 (included in Exhibit 4.5) (12)

4.7 Indenture, dated as of August 11, 2017, by and between the Registrant and U.S.

2 unchanged sentences

Bank National Association, as the Trustee(14)

Form of Global Note of 4.125% Notes Due 2022 (included as part of Exhibit 10.13)(15)

Form of Global Note of 4.125% Notes Due 2022(16)

4.9 Form of Global Note of 4.125% Notes Due 2022 (included in Exhibit 4.8)(14)

4.10 Description of Securities(15)

4.11 Third Supplemental Indenture, dated as of February 9, 2021, by and between the Registrant and U.S.

Bank National Association, as the Trustee(17)

4.12 Form of Global Note of 2.850% due 2026 (included in Exhibit 4.11)(17)

10.1 Form of Investment Management Agreement By and Between Registrant and Tennenbaum Capital Partners, LLC(5)

4 unchanged sentences

10.6 Form of Transfer Agency and Registrar Services Agreement(10)

Form of License Agreement(11)

10.8 Second Amended and Restated Partnership Agreement of Special Value Continuation Partners, LP dated January 29, 2018(16)

Credit Agreement dated as of February 26, 2018(18)

Guaranty, Pledge and Security Agreement dated as of February 26, 2018(19)

10.9 Amended and Restated Credit Agreement dated as of May 6, 2019(18)

10.1 Amended and Restated Guaranty, Pledge and Security Agreement dated as of May 6, 2019(19)

10.11 Amendment No.

1 to Amended and Restated Credit Agreement dated as of May 6, 2019(20)

10.12 Amendment No.

2 to Amended and Restated Credit Agreement dated as of May 6, 2019(21)

10.13 Incremental Commitment Agreement dated as of April 25, 2020(22)

10.14 Loan and Servicing Agreement dated as of August 4, 2020(23)

10.15 Form of License Agreement(24)

10.16 Amendment No.

4 to Amended & Restated Senior Secured Revolving Credit Agreement*

10.17 S econd Ame ndment to Loan and Servici ng Agreement *

11 Computation of Per Share Earnings (included in the notes to the financial statements contained in this report)

2 unchanged sentences

21.1 Subsidiaries of the Registrant*

21.2 Consent of Independent Registered Public Accounting Firm *

31.1 Certification of Chief Executive Officer Pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934*

18 unchanged sentences

333-172669), on Form N-2, filed on March 5, 2012

Incorporated by reference to Exhibit (k)(3) to the Registrant’s Registration Statement under the Securities Act of 1933 (File No.

333-172669), on Form N-2, filed on March 5, 2012.

Incorporated by reference to Exhibit 4.1 of the Registrant’s Form 8-K filed on June 17, 2014.

Incorporated by reference to Exhibit 4.1 of the Registrant’s Form 8-K filed on September 6, 2016.

(11) Incorporated by reference to Exhibit 4.1 to the Registrant’s Form 8-K filed on June 17, 2014.

(12) Incorporated by reference to Exhibit 4.1 to the Registrant’s Form 8-K filed on September 6, 2016.

(13) Incorporated by reference to Exhibit (d)(1) to Post-Effective Amendment No.

4 unchanged sentences

333-216716), on Form N-2, filed on August 11, 2017.

Incorporated by reference to Exhibit (d)(6) to Post-Effective Amendment No.

2 to the Registrant’s Registration Statement under the Securities Act of 1933 (File No.

333-216716), on Form N-2, filed on November 3, 2017.

(15) Incorporated by reference to Exhibit 4.11 to the Registrant's Form 10-Q on May 11, 2020.

(16) Incorporated by reference to Exhibit 3 to Special Value Continuation Partner, LP’s Form 8-K filed on January 30, 2018.

Incorporated by reference to Exhibit 10.1 of the Registrant’s Form 8-K filed on February 27, 2018.

Incorporated by reference to Exhibit 10.2 of the Registrant’s Form 8-K filed on February 27, 2018.

(17) Incorporated by reference to Exhibit 4.1 to the Registrant's Form 8-K filed on February 9, 2021.

(18) Incorporated by reference to Exhibit 10.2 to the Registrant's Form 8-K filed on May 8, 2019.

(19) Incorporated by reference to Exhibit 10.3 to the Registrant's Form 8-K filed on May 8, 2019.

(20) Incorporated by reference to Exhibit 10.1 to the Registrant's Form 8-K filed on April 28, 2020.

(21) Incorporated by reference to Exhibit 10.2 to the Registrant's Form 8-K filed on April 28, 2020.

(22) Incorporated by reference to Exhibit 10.3 to the Registrant's Form 8-K filed on April 28, 2020.

(23) Incorporated by reference to Exhibit 10.1 to the Registrant's Form 8-K filed on August 6, 2020.

(24) Incorporated by reference to Exhibit 10.19 to the Registrant's Form 10-K filed on February 26, 2020.

Pursuant to the requirements of Section 13 or 15(d) of the Securities Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, there unto duly authorized.

3 unchanged sentences

Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacity and on the dates indicated.

February 26, 2020

/s/ Howard M.

Chief Executive Officer, Chairman of

the Board and Director (Principal Executive Officer)

February 26, 2020

/s/ Kathleen A.

February 26, 2020

Freddie Reiss

Date Signature Title

February 25, 2021 /s/ Howard M.

Levkowitz Chief Executive Officer, Chairman of

Levkowitz the Board and Director (Principal Executive Officer)

February 25, 2021 /s/ Kathleen A.

Corbet Director

February 25, 2021 /s/ Eric J.

Draut Director

February 25, 2021 /s/ M.

Freddie Reiss Director

Freddie Reiss

February 26, 2020

/s/ Rajneesh Vig

President and Director

February 26, 2020

Chief Financial Officer (Principal Financial Officer)

February 25, 2021 /s/ Peter E.

Schwab Director

February 25, 2021 /s/ Karyn L.

Williams Director

February 25, 2021 /s/ Andrea Petro Director

February 25, 2021 /s/ Rajneesh Vig President and Director

February 25, 2021 /s/ Paul L.

Davis Chief Financial Officer (Principal Financial Officer)

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.

What changed 10-K

Item 9A. Controls and Procedures