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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Triangle Capital Corp. (delisted) | NYSE:TCAP | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 11.80 | 0 | 01:00:00 |
Pre-Effective Amendment No.
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Post-Effective Amendment No. 7
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ý
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(1)
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Financial Statements
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Page
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F-1
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F-3
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F-4
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F-5
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F-6
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F-7
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F-14
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F-21
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F-43
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Schedule of Investments in and Advances to Affiliates
for the Year Ended December 31, 2015
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F-44
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(2)
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Exhibits
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(a)
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Articles of Amendment and Restatement of the Registrant (Incorporated by reference to Exhibit (a)(3) to the Registrant's Registration Statement on Form N-2/N-5, File No. 333-138418, filed on December 29, 2006)
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(b)
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Fifth Amended and Restated Bylaws of the Registrant (Incorporated by reference to Exhibit 3.1 to the Registrant’s Current Report on Form 8-K, filed on November 9, 2015)
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(c)
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Not Applicable
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(d)(1)
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Form of Common Stock Certificate (Incorporated by reference to Exhibit (d) to the Registrant's Post-Effective Amendment No. 1 to the Registration Statement on Form N-2/N-5, File No. 333-138418, filed on February 15, 2007)
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(d)(2)
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Form of Subscription Certificate**
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(d)(3)
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Form of Subscription Agent Agreement**
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(d)(4)
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Form of Warrant Agreement**
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(d)(5)
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Indenture, dated March 2, 2012 between the Registrant and the Bank of New York Mellon Trust Company, N.A. (Incorporated by reference to Exhibit (d)(5) to the Registrant's Post-Effective Amendment No. 2 to the Registration Statement on Form N-2, File No. 333-175160, filed on March 2, 2012)
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(d)(6)
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Second Supplemental Indenture, dated October 19, 2012 between the Registrant and the Bank of New York Mellon Trust Company, N.A. (Incorporated by reference to Exhibit 4.1 to the Registrant’s Current Report on Form 8-K, filed on October 19, 2012)
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(d)(7)
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Form of 6.375% Senior Note due 2022 (Contained in the Second Supplemental Indenture filed as Exhibit 4.1 to the Registrant’s Current Report on Form 8-K, filed on October 19, 2012 and incorporated herein by reference)
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(d)(8)
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Third Supplemental Indenture, dated February 6, 2015 between the Registrant and the Bank of New York Mellon Trust Company, N.A. (Incorporated by reference to Exhibit (d)(12) to the Registrant's Post-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on February 6, 2015)
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(d)(9)
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Form of 6.375% Note due 2022 (Contained in the Third Supplemental Indenture filed as Exhibit (d)(12) to the Registrant's Post-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on February 6, 2015)
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(d)(10)
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Form of Preferred Stock Certificate**
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(d)(11)
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Statement of Eligibility on Form T-1 of The Bank of New York Mellon Trust Company, N.A. with respect to the indenture dated as of March 2, 2012***
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(e)
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Dividend Reinvestment Plan (Incorporated by reference to Exhibit 4.2 to the Registrant’s Annual Report on Form 10-K for the year ended December 31, 2007, filed on March 12, 2008)
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(f)
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Agreement to Furnish Certain Instruments (Incorporated by reference to Exhibit 4.19 to the Registrant’s Annual Report on Form 10-K for the year ended December 31, 2008, filed on February 25, 2009)
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(g)
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Not Applicable
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(h)(1)
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Underwriting Agreement dated February 28, 2017 by and among Triangle Capital Corporation and the Underwriters named therein*
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(h)(2)
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Form of Underwriting Agreement for Debt**
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(i)(1)
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Form of Triangle Capital Corporation Non-employee Director Restricted Share Award Agreement (Incorporated by reference to Exhibit 10.2 to the Registrant’s Current Report on Form 8-K, filed on May 9, 2008)
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(i)(2)
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Form of Triangle Capital Corporation Executive Officer Restricted Share Award Agreement (Incorporated by reference to Exhibit 10.3 to the Registrant’s Annual Report on Form 10-K for the year ended December 31, 2010, filed on March 9, 2011)
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(i)(3)
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Triangle Capital Corporation Amended and Restated Executive Deferred Compensation Plan (Incorporated by reference to Exhibit 10.2 to the Registrant’s Quarterly Report on Form 10-Q for the period ended September 30, 2016, filed on November 2, 2016)
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(i)(4)
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Triangle Capital Corporation 2012 Cash Incentive Plan (Incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K, filed on May 2, 2012)
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(i)(5)
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Triangle Capital Corporation Amended and Restated 2007 Equity Incentive Plan (Incorporated by reference to Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q for the period ended September 30, 2016, filed on November 2, 2016)
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(i)(6)
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Agreement between Brent P.W. Burgess and the Registrant (Incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K, filed on October 18, 2016)
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(j)(1)
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Custody Agreement between the Registrant and Branch Banking and Trust Company dated June 20, 2014***
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(j)(2)
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Custody Services Agreement between the Registrant and Fifth Third Bank dated January 6, 2012 (Incorporated by reference to Exhibit (j)(4) to Post-Effective Amendment No. 2 to the Registration Statement on Form N-2, File No. 333-175160, filed on March 2, 2012)
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(k)(1)
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Stock Transfer Agency Agreement between the Registrant and Computershare, Inc. (as successor to The Bank of New York) (Incorporated by reference to Exhibit 10.11 to the Registrant’s Annual Report on Form 10-K for the year ended December 31, 2007, filed on March 12, 2008)
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(k)(2)
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Office Lease Agreement between 3700 Glenwood LLC and Triangle Capital Corporation dated March 27, 2008 (Incorporated by reference to Exhibit (k)(6) to Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2, File No. 333-151930, filed on August 13, 2008)
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(k)(3)
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First Amendment to Office Lease Agreement between the Registrant and 3700 Glenwood LLC, dated August 29, 2013 (Incorporated by reference to Exhibit 10.17 to the Registrant’s Annual Report on Form 10-K filed on February 26, 2014)
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(k)(4)
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Second Amendment to Office Lease Agreement between 3700 Glenwood LLC and Triangle Capital Corporation dated November 13, 2013 (Incorporated by reference to Exhibit 10.18 to the Registrant’s Annual Report on Form 10-K filed on February 26, 2014)
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(k)(5)
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Third Amended and Restated Credit Agreement, among the Registrant, Branch Banking and Trust Company, Fifth Third Bank, Morgan Stanley Bank, N.A., ING Capital LLC, Bank of North Carolina, Everbank Commercial Finance, Inc., First Tennessee Bank National Association, Newbridge Bank, Yadkin Bank, CommunityOne Bank, NA, Park Sterling Bank, Paragon Commercial Bank, Raymond James Bank, N.A. and Stifel Bank & Trust, dated May 4, 2015 (Incorporated by reference to Exhibit 10.1 to the Registrant's Current Report on Form 8-K filed on May 6, 2015)
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(k)(6)
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Second Amended and Restated General Security Agreement between the Registrant, ARC Industries Holdings, Inc., Brantley Holdings, Inc., Energy Hardware Holdings, Inc., Minco Holdings, Inc., Peaden Holdings, Inc., Technology Crops Holdings, Inc. and Branch Banking and Trust Company dated May 4, 2015 (Incorporated by reference to Exhibit 10.3 to the Registrant’s Current Report on Form 8-K, filed on May 6, 2015)
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(k)(7)
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Second Amended and Restated Equity Pledge Agreement between the Registrant, ARC Industries Holdings, Inc., Brantley Holdings, Inc., Energy Hardware Holdings, Inc., Minco Holdings, Inc., Peaden Holdings, Inc. Technology Crops Holdings, Inc. and Branch Banking and Trust Company dated May 4, 2015 (Incorporated by reference to Exhibit 10.2 to the Registrant’s Current Report on Form 8-K, filed on May 6, 2015)
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(l)
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Opinion and Consent of Counsel*
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(m)
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Not Applicable
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(n)(1)
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Consent of Ernst & Young LLP, the independent registered public accounting firm for Registrant***
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(n)(2)
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Report of Ernst & Young LLP regarding the senior security table contained herein***
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(n)(3)
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Consent of Duff & Phelps, LLC***
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(o)
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Not Applicable
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(p)
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Subscription and Investment Letter Agreement between the Registrant and Garland S. Tucker III (Incorporated by reference to Exhibit (p) to the Registration Statement on Form N-2/N-5, File No. 333-138418, filed November 3, 2006)
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(q)
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Not Applicable
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SEC registration fee
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$
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58,100
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New York Stock Exchange additional listing fee
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$
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200,000
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*
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FINRA fee
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$
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50,500
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Accounting fees and expenses
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$
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100,000
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*
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Legal fees and expenses
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$
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500,000
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*
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Printing and engraving
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$
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300,000
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*
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Miscellaneous fees and expenses
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$
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10,000
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*
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Total
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$
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1,218,600
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*
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*
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Estimated for filing purposes.
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•
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Triangle Mezzanine Fund LLLP, a North Carolina limited liability limited partnership and wholly-owned subsidiary of the Registrant
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•
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Triangle Mezzanine Fund II LP, a Delaware limited partnership and wholly-owned subsidiary of the Registrant
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•
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Triangle Mezzanine Fund III LP, a Delaware limited partnership and wholly-owned subsidiary of the Registrant
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•
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New Triangle GP, LLC, a Delaware limited liability company and wholly-owned subsidiary of the Registrant
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•
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New Triangle GP, LLC, a North Carolina limited liability company and wholly-owned subsidiary of the Registrant
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•
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ARC Industries Holdings, Inc., a Delaware corporation and wholly-owned subsidiary of the Registrant
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•
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Brantley Holdings, Inc., a Delaware corporation and wholly-owned subsidiary of the Registrant
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•
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DCWV Acquisition Corporation, a Delaware corporation and wholly-owned subsidiary of the Registrant
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•
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Emerald Waste Holdings, Inc., a Delaware corporation and wholly-owned subsidiary of the Registrant
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•
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Energy Hardware Holdings, Inc., a Delaware corporation and wholly-owned subsidiary of the Registrant
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•
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Minco Holdings, Inc., a Delaware Corporation and wholly-owned subsidiary of the Registrant
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•
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Peaden Holdings, Inc., a Delaware corporation and wholly-owned subsidiary of the Registrant
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•
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SRC Worldwide, Inc., a Delaware corporation and wholly-owned subsidiary of the Registrant
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•
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Technology Crops Holdings, Inc., a Delaware corporation and wholly-owned subsidiary of the Registrant
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Title of Class
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Number of
Record
Holders
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Common stock, $0.001 par value
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61
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6.375% Notes due (December) 2022
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1
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6.375% Notes due (March) 2022
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1
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TRIANGLE CAPITAL CORPORATION
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By
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/s/ E. Ashton Poole
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Name:
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E. Ashton Poole
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Title:
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Director, President & Chief Executive Officer
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Signature
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Title
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Date
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/s/ E. Ashton Poole
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President, Chief Executive Officer
and Director
(Principal Executive Officer)
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March 1, 2017
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E. Ashton Poole
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/s/ Steven C. Lilly
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Chief Financial Officer,
Secretary and Director
(Principal Financial Officer)
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March 1, 2017
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Steven C. Lilly
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/s/ C. Robert Knox, Jr.
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Controller (Principal Accounting Officer)
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March 1, 2017
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C. Robert Knox, Jr.
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*
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Chairman of the Board of Directors
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March 1, 2017
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Garland S. Tucker, III
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*
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Director
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March 1, 2017
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W. McComb Dunwoody
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*
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Director
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March 1, 2017
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Benjamin S. Goldstein
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/s/ Mark F. Mulhern
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Director
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March 1, 2017
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Mark F. Mulhern
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*
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Director
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March 1, 2017
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Simon B. Rich, Jr.
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*
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Director
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March 1, 2017
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Sherwood H. Smith, Jr.
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*
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Director
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March 1, 2017
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Mark M. Gambill
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* By:
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/s/ Steven C. Lilly
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March 1, 2017
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Steven C. Lilly,
Attorney-in-fact |
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1 Year Triangle Capital Corp. (delisted) Chart |
1 Month Triangle Capital Corp. (delisted) Chart |
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