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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 | 20,401 | 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, 2018, and December 31, 2017
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F-2
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Consolidated Statements of Operations for the Three Months Ended March 31, 2018, and 2017
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F-3
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Consolidated Statements of Changes in Net Assets for the Three Months Ended March 31, 2018, and 2017
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F-4
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Consolidated Statements of Cash Flows for the Three Months Ended March 31, 2018, and 2017
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F-5
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Consolidated Schedules of Investments as of March 31, 2018, and December 31, 2017
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F-6
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Notes to Financial Statements (unaudited)
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F-20
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Audited Financial Statements
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Reports of Independent Registered Public Accounting Firm
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F-41
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Consolidated Balance Sheets as of December 31, 2017 and 2016
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F-43
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Consolidated Statements of Operations for the Years Ended December 31, 2017, 2016, and 2015
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F-44
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Consolidated Statements of Changes in Net Assets for the Years Ended December 31, 2017, 2016, and 2015
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F-45
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Consolidated Statements of Cash Flows for the Years Ended December 31, 2017, 2016, and 2015
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F-46
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Consolidated Schedules of Investments as of December 31, 2017 and 2016
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F-47
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Notes to Consolidated Financial Statements
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F-61
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(a)(1)
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Certificate of Incorporation of OFS Capital Corporation
(2)
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(a)(2)
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Certificate of Correction to Certificate of Incorporation of OFS Capital Corporation
(4)
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(b)
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Bylaws of OFS Capital Corporation
(2)
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(c)
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Not applicable
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(d)(1)
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Form of Stock Certificate of OFS Capital Corporation
(2)
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(d)(2)
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Form of Base Indenture
(6)
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(d)(3)
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Statement of Eligibility of Trustee on Form T-1
(16)
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(d)(4)
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Form of Warrant Agreement
(7)
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(d)(5)
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Form of Subscription Agent Agreement
(7)
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(d)(6)
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Form of Subscription Certificate
(7)
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(d)(7)
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Form of Certificate of Designation
(7)
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(d)(8)
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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
(12)
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(d)(9)
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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
(2)
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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
(13)
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(h)(1)
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Form of Equity Underwriting Agreement
(5)
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(h)(2)
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Form of Debt Underwriting Agreement
(7)
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(i)
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Not applicable
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(j)
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Form of Custody Agreement
(2)
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(k)(1)
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Administration Agreement between OFS Capital Corporation and OFS Capital Services, LLC
(2)
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(k)(2)
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License Agreement between the OFS Capital Corporation and Orchard First Source Asset Management, LLC
(2)
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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
(2)
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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
(3)
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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
(8)
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(k)(6)
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Business Loan Agreement between OFS Capital Corporation and Pacific Western Bank
dated March 7, 2018
(10)
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(k)(7)
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Promissory Note between OFS Capital Corporation and Pacific Western Bank dated November 5, 2015
(9)
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(k)(8)
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Commercial Guaranty Agreement among OFS Capital Corporation, OFS Capital WM, LLC, and Pacific Western Bank dated March 7, 2018
(10)
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(k)(9)
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Change in terms to the Business Loan Agreement between OFS Capital Corporation and Pacific Western Bank dated March 7, 2018
(10)
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(k)(10)
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Commercial Guaranty Agreement among OFS Capital Corporation, OFS Capital WM, LLC, and Pacific Western Bank dated March 7, 2018
(10)
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(l)
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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
(15)
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(n)(2)
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Report of BDO USA, LLP regarding Senior Securities table contained herein
(14)
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(n)(3)
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Consent of Egan-Jones Ratings Company
(1)
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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
(11)
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(s)(1)
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Form of Prospectus Supplement For Common Stock Offerings
(7)
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(s)(2)
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Form of Prospectus Supplement For Preferred Stock Offerings
(7)
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(s)(3)
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Form of Prospectus Supplement For Debt Offerings
(7)
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(s)(4)
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Form of Prospectus Supplement For Rights Offerings
(7)
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(s)(5)
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Form of Prospectus Supplement For Warrant Offerings
(7)
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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 Pre-Effective Amendment No. 3 to the Company’s registration statement on Form N-2 (File No. 333-166363) filed on March 18, 2011.
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3.
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Filed previously in connection with Pre-Effective Amendment No. 7 to the Company’s registration statement on Form N-2 (File No. 333-166363) filed on July 24, 2012.
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4.
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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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5.
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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 November 7, 2014.
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6.
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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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7.
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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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8.
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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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9.
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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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10.
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Filed previously in connection the Company's annual report on Form 10-K filed on March 12, 2018.
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11.
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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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12.
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Filed previously in connection with Post-Effective Amendment No. 2 to the Company's registration statement on Form N-2 (File No. 333-217302) filed on April 16, 2018.
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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 Post-Effective Amendment No. 1 to the Company's registration statement on Form N-2 (File No. 333-217302) filed on April 11, 2018.
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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. 333-222419) filed on May 18, 2018.
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16.
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Filed previously in connection with Pre-Effective Amendment No. 2 to the Company's registration statement on Form N-2 (File No. 333-222419) filed on June 8, 2018.
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SEC registration fee
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24,900
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*
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FINRA filing fee
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30,500
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*
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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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325,400
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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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(i.)
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to include any prospectus required by Section 10(a)(3) of the Securities Act;
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(ii.)
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to reflect in the prospectus any facts or events arising after the effective date of the registration statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the registration statement; and
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(iii.)
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to include any material information with respect to the plan of distribution not previously disclosed in the registration statement or any material change to such information in the registration statement.
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(i.)
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any preliminary prospectus or prospectus of the undersigned Registrant relating to the offering required to be filed pursuant to Rule 497 under the Securities Act;
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(ii)
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the portion of any advertisement pursuant to Rule 482 under the Securities Act relating to the offering containing material information about the undersigned Registrant or its securities provided by or on behalf of the undersigned Registrant; and
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(iii)
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any other communication that is an offer in the offering made by the undersigned Registrant to the purchaser.
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Signature
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Title
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Date
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Bilal Rashid
/s/ Bilal Rashid
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Director and Chief Executive Officer
(Principal Executive Officer)
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October 11, 2018
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Marc Abrams
/s/ *
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Director
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October 11, 2018
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Robert J. Cresci
/s/ *
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Director
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October 11, 2018
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Elaine E. Healy
/s/ *
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Director
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October 11, 2018
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Jeffrey A. Cerny
/s/ Jeffrey A. Cerny
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Director and Chief Financial Officer
(Principal Financial Officer)
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October 11, 2018
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Jeffery S. Owen
/s/ Jeffery S. Owen
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Chief Accounting Officer
(Principal Accounting Officer)
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October 11, 2018
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1 Year OFS Capital Chart |
1 Month OFS Capital Chart |
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