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Share Name | Share Symbol | Market | Type |
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OFS Capital Corporation | NASDAQ:OFS | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.01 | 0.11% | 8.85 | 8.70 | 9.52 | 8.87 | 8.80 | 8.80 | 22,305 | 01:00:00 |
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OFS Capital Corporation and Subsidiaries
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Unaudited Financial Statements
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Consolidated Balance Sheets as of March 31, 2017, and December 31, 2016
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F-2
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Consolidated Statements of Operations for the Three Months Ended March 31, 2017, and 2016
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F-3
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Consolidated Statements of Changes in Net Assets for the Three Months Ended March 31, 2017, and 2016
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F-4
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Consolidated Statements of Cash Flows for the Three Months Ended March 31, 2017, and 2016
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F-5
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Consolidated Schedules of Investments as of March 31, 2017, and December 31, 2016
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F-6
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Notes to Financial Statements (unaudited)
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F-19
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Audited Financial Statements
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Reports of Independent Registered Public Accounting Firms
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F-41
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Consolidated Balance Sheets as of December 31, 2016 and 2015
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F-43
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Consolidated Statements of Operations for the Years Ended December 31, 2016, 2015 and 2014
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F-44
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Consolidated Statements of Changes in Net Assets for the Years Ended December 31, 2016, 2015 and 2014
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F-45
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Consolidated Statements of Cash Flows for the Years Ended December 31, 2016, 2015 and 2014
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F-46
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Consolidated Schedules of Investments as of December 31, 2016 and 2015
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F-47
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Notes to Consolidated Financial Statements
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F-62
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(a)(1)
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Amended and Restated Certificate of Formation of OFS Capital, LLC (3)
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(a)(2)
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Certificate of Incorporation of OFS Capital Corporation (3)
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(a)(3)
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Certificate of Correction to Certificate of Incorporation of OFS Capital Corporation (8)
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(b)(1)
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Amended and Restated Limited Liability Company Agreement of OFS Capital, LLC (3)
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(b)(2)
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Bylaws of OFS Capital Corporation (3)
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(c)
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Not applicable
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(d)
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Form of Stock Certificate of OFS Capital Corporation (3)
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(d)(1)
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Form of Base Indenture (14)
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(d)(2)
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Statement of Eligibility of Trustee on Form T-1 (18)
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(d)(3)
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Form of Warrant Agreement (15)
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(d)(4)
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Form of Subscription Agent Agreement (15)
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(d)(5)
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Form of Subscription Certificate (15)
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(d)(6)
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Form of Certificate of Designation (15)
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(d)(7)
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First Supplemental Indenture dated as of April 16, 2018, between OFS Capital Corporation and U.S. Bank National Association, as trustee(1)
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(d)(8)
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Form of 6.375% Note due 2025 (incorporated by reference to Exhibit (d)(7) hereto and Exhibit A therein)
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(e)
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Form of Dividend Reinvestment Plan (3)
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(f)
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Not applicable
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(g)
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Investment Advisory and Management Agreement between OFS Capital Corporation and OFS Capital Management, LLC (12)
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(h)(1)
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Form of Equity Underwriting Agreement (12)
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(h)(2)
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Form of Debt Underwriting Agreement (15)
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(h)(3)
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Underwriting Agreement dated April 11, 2018 by and among OFS Capital Corporation, OFS Capital Management, LLC, OFS Capital Services, LLC and the Underwriters named therein(1)
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(i)
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Not applicable
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(j)
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Form of Custody Agreement (3)
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(k)(1)
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Administration Agreement between OFS Capital Corporation and OFS Capital Services, LLC (3)
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(k)(2)
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License Agreement between the OFS Capital Corporation and Orchard First Source Asset Management, LLC (3)
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(k)(3)
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Form of Indemnification Agreement between OFS Capital Corporation and each of its directors and executive officers (3)
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(k)(4)
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Form of Registration Rights Agreement between OFS Capital Corporation and Orchard First Source Asset Management, LLC (5)
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(k)(5)
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Loan Portfolio Purchase Agreement among OFS Capital WM, LLC and Madison Capital Funding LLC, dated May 28, 2015 (16)
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(k)(6)
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Loan Administration Services Agreement among Madison Capital Funding, LLC, OFS Capital WM, LLC and OFS Capital Corporation, dated May 28, 2015 (16)
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(k)(7)
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Business Loan Agreement between OFS Capital Corporation and Pacific Western Bank dated November 5, 2015 (17)
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(k)(8)
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Promissory Note between OFS Capital Corporation and Pacific Western Bank dated November 5, 2015 (18)
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(k)(9)
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Commercial Guaranty Agreement among OFS Capital Corporation, OFS Capital WM, LLC, and Pacific Western Bank dated November 5, 2015 (17)
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(k)(10)
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Change in terms to the Business Loan Agreement between OFS Capital Corporation and Pacific Western Bank dated August 9, 2017(19)
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(k)(11)
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Commercial Guaranty Agreement among OFS Capital Corporation, OFS Capital WM, LLC, and Pacific Western Bank dated August 9, 2017(19)
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(k)(12)
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Business Loan Agreement between OFS Capital Corporation and Pacific Western Bank dated March 7, 2018(21)
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(k)(13)
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Change in terms to the Business Loan Agreement between OFS Capital Corporation and Pacific Western Bank dated March 7, 2018(21)
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(k)(14)
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Commercial Guaranty Agreement among OFS Capital Corporation, OFS Capital WM, LLC, and Pacific Western Bank dated March 7, 2018(21)
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(l)(1)
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Opinion and Consent of Eversheds Sutherland (US) LLP (18)
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(l)(2)
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Opinion and Consent of Eversheds Sutherland (US) LLP(1)
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(m)
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Not applicable
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(n)(1)
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Consent of BDO USA, LLP (18)
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(n)(2)
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Report of BDO USA, LLP (18)
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(n)(3)
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Consent of BDO USA, LLP(22)
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(n)(4)
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Report of BDO USA, LLP(22)
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(o)
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Not applicable
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(p)
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Not applicable
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(q)
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Not applicable
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(r)
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Joint Code of Ethics of OFS Capital Corporation and OFS Advisor (20)
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(s)(1)
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Form of Prospectus Supplement For Common Stock Offerings (15)
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(s)(2)
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Form of Prospectus Supplement For Preferred Stock Offerings (15)
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(s)(3)
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Form of Prospectus Supplement For Debt Offerings (15)
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(s)(4)
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Form of Prospectus Supplement For Rights Offerings (15)
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(s)(5)
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Form of Prospectus Supplement For Warrant Offerings (15)
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1.
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Filed herewith.
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2.
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Filed previously in connection with the Company’s registration statement on Form N-2 Pre-Effective Amendment No. 2 (File No. 333-166363) filed on October 5, 2010.
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3.
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Filed previously in connection with the Company’s registration statement on Form N-2 Pre-Effective Amendment No. 3 (File No. 333-166363) filed on March 17, 2011.
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4.
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Filed previously in connection with the Company’s registration statement on Form N-2 Pre-Effective Amendment No. 6 (File No. 333-166363) filed on May 3, 2012.
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5.
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Filed previously in connection with the Company’s registration statement on Form N-2 Pre-Effective Amendment No. 7 (File No. 333-166363) filed on July 24, 2012.
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6.
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Filed previously in connection with the Company’s registration statement on Form N-2 Pre-Effective Amendment No. 8 (File No. 333-166363) filed on October 19, 2012.
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7.
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Filed previously as part of the Current Report on Form 8-K of the Company, filed on January 23, 2013.
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8.
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Filed previously in connection with the Company’s annual report on Form 10-K filed on March 26, 2013.
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9.
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Filed previously as part of the Current Report on Form 8-K of the Company, filed on November 26, 2013.
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10.
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Filed previously in connection with the Company’s annual report on Form 10-K filed on March 17, 2014.
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11.
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Filed previously in connection with the Company’s registration statement on Form N-2 (File No. 333-196704) filed on June 12, 2014.
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12.
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Filed previously in connection with Pre-Effective Amendment No. 1 to the Company’s registration statement on Form N-2 (333-196704) filed on July 24, 2014.
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13.
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Filed previously in connection with the Company’s quarterly report on Form 10-Q filed on November 7, 2014.
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14.
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Filed previously in connection with the Company’s registration statement on Form N-2 (File No. 333-200376) filed on November 19, 2014.
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15.
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Filed previously in connection with Pre-Effective Amendment No. 1 to the Company’s registration statement on Form N-2 (File No. 333-200376) filed on December 15, 2014.
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16.
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Filed previously as part of the Current Report on Form 8-K of the Company, filed on June 2, 2015.
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17.
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Filed previously in connection with the Company’s quarterly report on Form 10-Q filed on November 6, 2015.
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18.
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Filed previously in connection with the Company's registration statement on Form N-2 (File No. 333-217302) filed on June 15, 2017.
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19.
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Filed previously in connection the Company's current report on Form 8-K filed on August 10, 2017.
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20.
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Filed previously in connection with the Company’s quarterly report on Form 10-Q filed on November 3, 2017.
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21.
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Filed previously in connection with the Company's annual report on Form 10-K filed on March 12, 2018
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22.
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Filed previously in connection with the Company's registration statement on Form N-2 (File No. 333-217302) filed on April 11, 2018.
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SEC registration fee
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$ 23,180*
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FINRA filing fee
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30,500*
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Nasdaq Global Select Market listing fee
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65,000
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Printing and postage
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40,000
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Legal fees and expenses
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125,000
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Accounting fees and expenses
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40,000
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Total
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$
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323,680
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*
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This amount has been offset against filing fees associated with unsold securities registered under a previous registration statement.
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Title of Class
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Number of Record Holders
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Common Stock, par value $0.01 per share
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2
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1.
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OFS Capital Corporation, 10 S. Wacker Drive, Suite 2500, Chicago, IL, 60606;
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2.
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the transfer agent, American Stock Transfer & Trust Company, LLC, 6201 15 th Avenue, Brooklyn, NY 11219;
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3.
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the custodian, U.S. Bank National Association, One Federal Street, 3 rd Floor, Boston, MA 02110; and
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4.
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OFS Capital Management, LLC, 10 S. Wacker Drive, Suite 2500, Chicago, IL, 60606.
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Signature
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Title
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Date
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/s/ Bilal Rashid
Bilal Rashid
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Director and Chief Executive Officer
(Principal Executive Officer)
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April 16, 2018
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/s/ *
Marc Abrams
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Director
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April 16, 2018
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/s/ *
Robert J. Cresci
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Director
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April 16, 2018
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/s/ *
Elaine E. Healy
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Director
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April 16, 2018
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/s/ Jeffrey A. Cerny
Jeffrey A. Cerny
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Director and Chief Financial Officer
(Principal Financial Officer)
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April 16, 2018
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/s/ Jeffery S. Owen
Jeffery S. Owen
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Chief Accounting Officer
(Principal Accounting Officer)
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April 16, 2018
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*
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Signed by Bilal Rashid pursuant to a power of attorney signed by each individual and previously filed with this Registration Statement on April 13, 2017.
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1 Year OFS Capital Chart |
1 Month OFS Capital Chart |
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