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As Of Filer Filing For·On·As Docs:Size Issuer Agent 3/18/11 OFS Capital Corp N-2/A 17:3.9M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: N-2/A Pre-Effective Amendment No. 3 to Form N-2 HTML 2.03M
2: EX-99.(A)(1) Amended and Restated Certificate of Formation HTML 11K
3: EX-99.(A)(2) Form of Certificate of Incorporation HTML 27K
4: EX-99.(B)(1) Amended and Restated Limited Liability Company HTML 35K
Agreement
5: EX-99.(B)(2) Form of Bylaws HTML 70K
6: EX-99.(D) Form of Stock Certificate HTML 17K
7: EX-99.(E) Form of Dividend Reinvestment Plan HTML 18K
8: EX-99.(G) Form of Investment Advisory and Management HTML 57K
Agreement
9: EX-99.(J) Form of Custody Agreement HTML 173K
10: EX-99.(K)(1) Form of Administration Agreement HTML 36K
14: EX-99.(K)(10) Form of Indemnification Agreement HTML 79K
11: EX-99.(K)(2) Form of License Agreement HTML 26K
12: EX-99.(K)(8) First Amendment to Loan Sale Agreement HTML 23K
13: EX-99.(K)(9) Amended and Restated Consent Procedures Letter HTML 37K
15: EX-99.(N)(1) Consent of McGladrey & Pullen, LLP HTML 8K
16: EX-99.(N)(5) Consent of Duff & Phelps, LLC HTML 9K
17: EX-99.(R)(1) Code of Ethics HTML 107K
| Form of Stock Certificate |
Exhibit (d)
C
COMMON STOCK
OFS CAPITAL CORPORATION
COMMON STOCK
INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE
SEE REVERSE FOR CERTAIN DEFINITIONS
CUSIP
THIS CERTIFIES THAT
is the owner of
FULLY PAID AND NON-ASSESSABLE SHARES OF THE PAR VALUE OF $0.01 EACH OF THE COMMON STOCK OF
OFS CAPITAL CORPORATION
transferable only on the books of the Corporation in person or by duly authorized attorney upon surrender of this certificate properly endorsed.
This certificate is not valid unless countersigned by the Transfer Agent and registered by the Registrar. Witness the facsimile seal of the Corporation and the facsimile signatures of its duly authorized officers.
Dated:
PRESIDENT
SECRETARY
COUNTERSIGNED AND REGISTERED
AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC
(New York, NY)
TRANSFER AGENT AND REGISTRAR
By:
AUTHORIZED SIGNATURE
ABnote North America
711 ARMSTRONG LANE
(931) 388-3003
SALES: HOLLY GRONER 931-490-7660
PROOF OF: MARCH 14, 2011
OFS CAPITAL CORPORATION
WO 3353 FC
OPERATOR: JB
NEW
COLORS SELECTED FOR PRINTING: Intaglio prints in sc-6 light blue.
COLOR: This proof was printed from a digital file or artwork on a graphics quality, color laser printer. It is a good representation of the color as it will appear on the final product. However, it is not an exact color rendition, and the final printed product may appear slightly different from the proof due to the difference between the dyes and printing ink.
PLEASE INITIAL THE APPROPRIATE SELECTION FOR THIS PROOF: OK AS IS OK WITH CHANGES MAKE CHANGES AND SEND ANOTHER PROOF
OFS CAPITAL CORPORATION
The Corporation will furnish without charge to each stockholder who so requests the powers, designations, preferences and relative, participating, optional or other special rights of each class of stock or series thereof of the Corporation and the qualifications, limitations or restrictions of such preferences and/or rights. This certificate and the shares represented hereby are issued and shall be held subject to all the provisions of the Certificate of Incorporation and all amendments thereto and resolutions of the Board of Directors providing for the issue of shares of Common Stock (copies of which may be obtained from the secretary of the Corporation), to all of which the holder of this certificate by acceptance hereof assents.
The following abbreviations, when used in the inscription on the face of this certificate, shall be construed as though they were written out in full according to applicable laws or regulations:
TEN COM — as tenants in common
TEN ENT — as tenants by the entireties
JT TEN — as joint tenants with right of survivorship and not as tenants in common
UNIF GIFT MIN ACT Custodian
(Cust) (Minor)
Under Uniform Gifts to Minors
Act
(State)
Additional abbreviations may also be used though not in the above list.
For value received, hereby sell, assign and transfer unto
PLEASE INSERT SOCIAL SECURITY OR OTHER
IDENTIFYING NUMBER OF ASSIGNEE
(PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS, INCLUDING ZIP CODE, OF ASSIGNEE)
shares of the capital stock represented by the within certificate, and do hereby irrevocably
constitute and appoint
attorney to transfer the said stock on the books of the within named Corporation with full power of substitution in the premises.
Dated
NOTICE: THE SIGNATURE TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME AS WRITTEN UPON THE FACE OF THE CERTIFICATE, IN EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT, OR ANY CHANGE WHATEVER.
SIGNATURE(S) GUARANTEED:
THE SIGNATURE(S) MUST BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION (BANKS, STOCKBROKERS, SAVINGS AND LOAN ASSOCIATIONS AND CREDIT UNIONS WITH MEMBERSHIP IN AN APPROVED SIGNATURE GUARANTEE MEDALLION PROGRAM), PURSUANT TO S.E.C. RULE 17Ad-15.
ABnote North America
711 ARMSTRONG LANE
(931) 388-3003
SALES: HOLLY GRONER 931-490-7660
PROOF OF: MARCH 14, 2011
OFS CAPITAL CORPORATION
WO 3353 BK
OPERATOR: JB
New
PLEASE INITIAL THE APPROPRIATE SELECTION FOR THIS PROOF: OK AS IS OK WITH CHANGES MAKE CHANGES AND SEND ANOTHER PROOF
| This ‘N-2/A’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed as of: | 3/18/11 | None on these Dates | ||
| Filed on: | 3/17/11 | |||
| 3/14/11 | ||||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 5/03/24 OFS Capital Corp. 10-Q 3/31/24 73:16M 3/22/24 OFS Capital Corp. N-2 17:3.8M 3/05/24 OFS Capital Corp. 10-K 12/31/23 96:25M 11/03/23 OFS Capital Corp. 10-Q 9/30/23 70:19M 8/04/23 OFS Capital Corp. 10-Q 6/30/23 67:18M 5/05/23 OFS Capital Corp. 10-Q 3/31/23 67:23M 3/03/23 OFS Capital Corp. 10-K 12/31/22 93:34M 11/04/22 OFS Capital Corp. 10-Q 9/30/22 69:26M 8/05/22 OFS Capital Corp. 10-Q 6/30/22 15:4.4M 5/06/22 OFS Capital Corp. 10-Q 3/31/22 6:4.3M 3/04/22 OFS Capital Corp. 10-K 12/31/21 11:5.9M 8/06/21 OFS Capital Corp. 10-Q 6/30/21 5:3.7M 6/22/21 OFS Capital Corp. N-2/A 5:2.3M 4/28/21 OFS Capital Corp. N-2 4:2.1M 3/05/21 OFS Capital Corp. 10-K 12/31/20 12:6.3M |