Document:

EX-4.1

 Exhibit 4.1 

AMENDED AND RESTATED CERTIFICATE OF INCORPORATION 

OF 
 QORVO, INC. 

The name under which the Corporation was originally incorporated is Rocky Holding, Inc., and the original Certificate of Incorporation was
filed with the Secretary of State of the State of Delaware on December 13, 2013. Prior to the date on which this Amended and Restated Certificate of Incorporation is filed with the Secretary of State of the State of Delaware, Rocky Holding,
Inc. has not received any payment for any of its stock. This Amended and Restated Certificate of Incorporation of Rocky Holding, Inc. was duly adopted in accordance with sections 241 and 245 of the Delaware General Corporation Law. 

 

			
	FIRST:	  	The name of the Corporation is Qorvo, Inc. (the “Corporation”).
		
	SECOND:	  	The address of the Corporation’s registered office in the State of Delaware is Corporation Trust Center, 1209 Orange Street, in the City of Wilmington, County of New Castle, 19801. The name of its registered agent at such
address is The Corporation Trust Company.
		
	THIRD:	  	The purpose of the Corporation is to engage in any lawful act or activity for which corporations may be organized under the General Corporation Law of Delaware.
		
	FOURTH:	  	A. Classes of Stock. The Corporation is authorized to issue two classes of stock to be designated respectively Common Stock and Preferred Stock. The total number of shares of all classes of stock which the Corporation has
authority to issue is Four Hundred Ten Million (410,000,000), consisting of Four Hundred Five Million (405,000,000) shares of Common Stock, $0.0001 par value (the “Common Stock”), and Five Million (5,000,000) shares of Preferred Stock,
$0.0001 par value (the “Preferred Stock”).
		
		  	 B. Rights and Preferences of Preferred Stock. The Preferred Stock authorized by this Certificate of Incorporation may be issued from
time to time in one or more series. The Board of Directors is hereby authorized subject to limitations prescribed by law, to fix by resolution or resolutions the designations, powers, preferences and rights, and the qualifications, limitations or
restrictions thereof, of each such series of Preferred Stock, including without limitation authority to fix by resolution or resolutions, the dividend rights, dividend rate, conversion rights, voting rights, rights and terms of redemption (including
sinking fund provisions), redemption price or prices, and liquidation preferences of any wholly unissued series of Preferred Stock, and the number of shares constituting any such series and the designation thereof, or any of the foregoing.

 
 The Board of Directors is further authorized to increase (but not above the total number
of authorized shares of the class) or decrease (but not below the number of shares of any such series then outstanding) the number of shares of any series, the number of which was fixed by it, subsequent to the issue of shares of such

			
		  	series then outstanding, subject to the powers, preferences and rights, and the qualifications, limitations and restrictions thereof stated in the resolution of the Board of Directors originally fixing the number of shares of such
series. If the number of shares of any series is so decreased, then the shares constituting such decrease shall resume the status which they had prior to the adoption of the resolution originally fixing the number of shares of such series.
		
	FIFTH:	  	The Corporation shall have perpetual existence.
		
	SIXTH:	  	The election of directors need not be by written ballot unless a stockholder demands election by written ballot at a meeting of stockholders and before voting begins or unless the Bylaws of the Corporation shall so
provide.
		
	SEVENTH:	  	The number of directors which constitute the whole Board of Directors of the Corporation shall be designated as provided in the Bylaws of the Corporation.
		
	EIGHTH:	  	In furtherance and not in limitation of the powers conferred by the laws of the State of Delaware, the Board of Directors is expressly authorized to adopt, alter, amend or repeal the Bylaws of the Corporation.
		
	NINTH:	  	To the fullest extent permitted by the Delaware General Corporation Law as the same exists or may hereafter be amended, no director of the Corporation shall be personally liable to the Corporation or its stockholders for monetary
damages for breach of fiduciary duty as a director.
		
		  	The Corporation shall indemnify to the fullest extent permitted by law any person made or threatened to be made a party to any action or proceeding, whether criminal, civil, administrative or investigative by reason of the fact that
he, his testator or intestate is or was a director or officer of the Corporation or any predecessor of the Corporation, or serves or served at any other enterprise as a director or officer at the request of the Corporation or any predecessor to the
Corporation.
		
		  	Neither any amendment nor repeal of this Article, nor the adoption of any provision of this Certificate of Incorporation inconsistent with this Article, shall eliminate or reduce the effect of this Article in respect of any matter
occurring, or any cause of action, suit or claim that, but for this Article, would accrue or arise, prior to such amendment, repeal or adoption of an inconsistent provision.
		
	TENTH:	  	Meetings of stockholders may be held within or without the State of Delaware, as the Bylaws may provide. No action shall be taken by the stockholders of the corporation except at an annual or special meeting of stockholders called
in accordance with the Bylaws and no action shall be taken by the stockholders by written consent. The books of the Corporation may be kept (subject to any provision contained in the laws of the state of Delaware) outside of the State of Delaware at
such places as may be designated from time to time by the Board of Directors or in the Bylaws of the Corporation.
		
	ELEVENTH:	  	The Corporation reserves the right to amend, alter, change or repeal any provision contained in this Certificate of Incorporation, in the manner now or hereafter prescribed by the laws of the State of Delaware, and all rights
conferred herein are granted subject to this reservation.

  
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 IN WITNESS WHEREOF, the Corporation has caused this Amended and Restated Certificate of
Incorporation to be signed by its President, this 10th day of July, 2014. 
  

			
	QORVO, INC.
		
	By:	 	 /s/ Robert A. Bruggeworth

	Name:	 	Robert A. Bruggeworth
	Title:	 	President

 CERTIFICATE OF AMENDMENT 

OF 
 AMENDED AND RESTATED
CERTIFICATE OF INCORPORATION 
 OF 

ROCKY HOLDING, INC. 
 Rocky
Holding, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Company”), does hereby certify that: 

1. The Amended and Restated Certificate of Incorporation of the Company is hereby amended by deleting the first article and including the
following in lieu thereof: 
 “FIRST: The name of the Corporation is Qorvo, Inc. (the “Corporation”).” 

2. The foregoing amendment was duly adopted in accordance with the applicable provisions of Section 242 of the General Corporation Law of
the State of Delaware. 
 IN WITNESS WHEREOF, said Rocky Holding, Inc. has caused this certificate to be signed by Robert A. Bruggeworth,
its President, this 2nd day of October, 2014. 
  

			
	ROCKY HOLDING, INC.
		
	By:	 	 /s/ Robert A. Bruggeworth

	Name:	 	Robert A. Bruggeworth
	Title:	 	PresidentFifth Amendment to Credit Agreement

 Exhibit 10.39 

FIFTH AMENDMENT TO CREDIT AGREEMENT 

THIS FIFTH AMENDMENT TO CREDIT AGREEMENT (together with all schedules and exhibits hereto, this “Fifth Amendment”), dated as
of January 9, 2015 (the “Fifth Amendment Closing Date”), is entered into by and among CCT FUNDING LLC, a Delaware limited liability company (the “Borrower”), and DEUTSCHE BANK AG, NEW YORK BRANCH
(“DBNY”) as administrative agent (in such capacity, the “Administrative Agent”) and a Lender (DBNY and each other Lender party to the Credit Agreement described below, the “Lenders” and each a
“Lender”). Capitalized terms used herein and not otherwise defined herein have the meanings assigned to such terms in the Credit Agreement described below. 

RECITALS: 
 A. The Borrower, the
Administrative Agent and DBNY are parties to a Credit Agreement dated as of August 22, 2011 as amended by the First Amendment to Credit Agreement dated as of February 28, 2012, as further amended by the Second Amendment to Credit Agreement
dated as of August 20, 2012, as further amended pursuant to the Third Amendment to Credit Agreement dated as of February 11, 2013, and as further amended pursuant to the Fourth Amendment to Credit Agreement dated as of January 28,
2014 (the credit agreement, as amended prior to the date hereof, the “Credit Agreement” and the Credit Agreement, as amended by this Fifth Amendment, the “Amended Credit Agreement”). 

B. DBNY currently holds 100% of the Tranche B1 Commitment and Tranche B2 Commitment under the Credit Agreement. The Borrower, on the Fifth
Amendment Effective Date (as defined below), will repay all outstanding Obligations payable to the Tranche D Lender with respect to the Tranche D Loan under the Credit Agreement. 

C. The parties hereto desire, among other things, to (i) terminate the Tranche B1 Commitment, Tranche B2 Commitment and Tranche D
Commitment, (ii) provide for a commitment of $150,000,000 in the form of a new Tranche E Commitment and (iii) make certain other amendments that are set forth herein. 

NOW, THEREFORE, for good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the parties hereto agree as
follows: 
 Section 1. Amendment of Credit Agreement. Subject to satisfaction of the conditions precedent set forth in Section 4
hereof, effective as of February 11, 2015, (the “Fifth Amendment Effective Date”), the Credit Agreement is hereby amended as follows: 

(a) Section 2.01(b) of the Credit Agreement is hereby replaced in its entirety by the following: 

“(b) [Reserved.]” 

 (b) Section 2.01(c) of the Credit Agreement is hereby replaced in its entirety by the
following: 
 “Notwithstanding anything herein to the contrary, from and after the Fifth Amendment Effective Date all outstanding Loans
shall be converted into Tranche E Loans and any Loans made after the Fifth Amendment Effective Date shall be made as Tranche E Loans.” 

(c) Section 2.02(a) of the Credit Agreement is hereby replaced in its entirety by the following: 

“(a) Each Lender’s commitment to make Loans hereunder shall automatically terminate, and the Maximum Commitment shall be reduced to
zero, upon the Commitment Termination Date; provided that if a Commitment Termination Date occurs as a result of the occurrence of the Scheduled Commitment Termination Date applicable to one or more but not all of the then-outstanding tranches, then
each Lender’s commitment to make Loans hereunder shall terminate only with respect to such tranche or tranches and the Maximum Commitment shall be reduced only by the amount of such tranche or tranches. The Borrower may voluntarily, from time
to time, permanently reduce the amount of the Maximum Commitment upon at least ten (10) Business Days’ prior written notice to the Administrative Agent specifying the amount of such reduction, which notice shall be irrevocable once given;
provided that (i) no reduction may reduce the Maximum Commitment below $25,000,000 unless the Maximum Commitment is reduced to zero; (ii) any partial reduction of the Maximum Commitment shall be in a minimum amount of $10,000,000 and in an
integral multiple of $1,000,000 for amounts in excess thereof; and (iii) no such reduction shall reduce the Maximum Commitment to an amount less than the sum of the then aggregate outstanding Loans. The Administrative Agent shall promptly
notify each Lender of the receipt of any such notice and the reduction of such Lender’s Commitment.” 
 (d) Section 2.03 of
the Credit Agreement is hereby amended by adding the following Section 2.03(d) immediately following Section 2.03(c) thereof: 

“(d) Aggregate Excess Unused Fee. The Borrower shall pay the applicable Aggregate Excess Unused Fee to the Administrative Agent,
for account of the Lenders, on each Payment Date and on the Commitment Termination Date.” 
 (e) Section 3.03(b)(i)(C) of the
Credit Agreement is hereby replaced in its entirety by the following: 
 “(C) any such prepayment of principal shall be applied to
reduce Tranche E Loans until the principal amount of Tranche E Loans outstanding is zero.” 

  
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 (f) Section 4.02(a)(ii) of the Credit Agreement is hereby amended by in its entirely and
replaced with the following: 
 “(ii) all representations and warranties set forth in each of the Credit Documents shall be true and
correct in all material respects with the same effect as if then made (unless stated to relate solely to an earlier date, in which case such representations and warranties shall be true and correct in all material respects as of such earlier
date);” 
 (g) Section 5.01(b) of the Credit Agreement is hereby amended in its entirety and replaced with the following: 

“(b) Investment Company Act. 

(i) The Borrower is a wholly owned Subsidiary of the Equity Owner. The Borrower is not required to register as an “investment
company” under the Investment Company Act and the extensions of credit provided for in this Agreement and the issuance by the Borrower of its equity capital to the Equity Owner are exempt from registration under the Securities Act and the
“Blue Sky” Laws of each applicable state 
 (ii) CCT (x) is an investment company that has elected to be regulated as a
business development company under the Investment Company Act and (y) is not required to register as an “investment company” under the Investment Company Act. 

(iii) The investment of CCT in the Borrower is not prohibited by Section 12(d) of the Investment Company Act. 

(iv) The execution, delivery and performance by the Borrower of this Agreement, each other Credit Document and its obligations hereunder and
thereunder do not and will not violate any provision of the Investment Company Act or any rule, regulation, statutory guidance, no-action letter or interpretation promulgated by the SEC thereunder applicable to the Borrower.” 

(h) Sections 5.03 through 5.05 of the Credit Agreement are hereby amended in their entirety and replaced with the following:

 “Section 5.03. Compliance with Laws. The Borrower is in compliance in all material respects with all Laws, in respect of the
conduct of its business and the ownership of its properties. 
 Section 5.04. Government Approval, Regulation, etc. No
authorization, approval, consent, action, filing, notice or registration by or with any Federal, state or other Governmental Authority is required for the due execution, delivery or performance by the Borrower of this Agreement, the Notes or any
other Credit Document, as applicable, or the consummation of any transactions contemplated hereby or thereby, except for authorizations, approvals, consents, actions, filings, notices or registrations which have been duly obtained or made and are in
full force and effect. 

  
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 Section 5.05. Validity, etc. This Agreement has been duly executed and delivered by
the Borrower and constitutes the legal, valid and binding obligation of the Borrower enforceable in accordance with its terms; and the Notes and each of the other Credit Documents to which the Borrower is a party shall, on the due execution and
delivery thereof, constitute the legal, valid and binding obligation of the Borrower, enforceable in accordance with their respective terms, in each case, except as enforceability may be limited by applicable bankruptcy, insolvency or similar Laws
affecting creditors’ rights generally or by general equitable principles relating to enforceability.” 
 (i)
Section 6.01(b)(i) of the Credit Agreement is hereby is hereby deleted and replaced in its entirety with the following: 
 “(i)
furnish to the Administrative Agent as soon as available and in any event within 120 days after the end of each fiscal year of the Borrower (beginning with the year ended December 31, 2011), from Deloitte & Touche LLP or another firm
of Independent certified public accountants of nationally recognized standing, (A) audited consolidated financial statements, including balance sheet, income statement and statement of cash flows of the Equity Owner and the accompanying
footnotes for such fiscal year and (B) financial statements of the Borrower, in each case prepared, subject to Section 1.04 (Accounting Matters), in accordance with GAAP, setting forth in the case of each fiscal year ending after
December 31, 2010 in comparative form the figures for the previous fiscal year;” 
 (j) Section 6.01(c) of the
Credit Agreement is hereby amended by adding the following sentence to the end thereof: 
 “The Borrower shall notify the Administrative
Agent if CCT ceases to elect to be treated as a business development company under the Investment Company Act.” 
 (k)
Section 6.01(i) of the Credit Agreement is hereby deleted and replaced in its entirety with the following: 
 “(i) Compliance
with Laws, etc. The Borrower shall comply in all material respects with all Applicable Laws, including all applicable provisions of the Investment Company Act. Without limiting the generality of the foregoing, the Borrower will conduct
its business, the ownership of its properties and other activities in compliance with the applicable provisions of the Investment Company Act.” 

  
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 (l) Section 7.01(n) of the Credit Agreement is hereby deleted and replaced in its entirety
with the following: 
 “Manager and Equity Owner Events. 

(i) An event specified in Section 7.01(j) (Bankruptcy, Insolvency, etc.) occurs with respect to the Manager or the Equity Owner;

 (ii) The Manager or the Equity Owner defaults in any material respect in its obligations under any agreements, contracts or financial
instruments where the aggregate principal amount relating to such defaulted obligations (individually or collectively) is not less than the lesser of (x) 3% of the Net Asset Value of the Manager or the Equity Owner (as the case may be) and
(y)(i) $5,000,000, if and only if such obligations are owed to DBNY or its Affiliates or (ii) otherwise, $25,000,000; or 
 (iii) The
Equity Owner shall fail to comply with its obligations under Section 18(a) of the Investment Company Act.” 
 (m)
Section 7.01(r) of the Credit Agreement is hereby amended by adding the following immediately following Section 7.01(q) thereof: 

“(r) Leverage Ratio. The Leverage Ratio is greater than 3:1.” 

(n) Section 9.13(h) of the Credit Agreement is hereby replaced in its entirety by the following: 

“(h) amend any provision or defined term in the Collateral Valuation Schedule without the consent of Lenders having more than 50% of the
Tranche E Commitment (or if the commitments of each Lender to make Loans has been terminated pursuant to Section 7.02 or Section 7.03, Lenders having more than 50% of the then outstanding Tranche E Loans, if any);” 

(o) Section 9.13 of the Credit Agreement is further amended by amending and restating the second proviso of Section 9.13, which
proviso, for the avoidance of doubt, is the last full paragraph of Section 9.13, in its entirety to read as follows: 

“provided further, that, in the event of any amendment to increase the Aggregate Commitment the Administrative Agent shall first
give DBNY the opportunity to determine whether to increase its Commitment and if so, the amount of such increase (up to the full amount of the increase in the Aggregate Commitment).” 

(p) The following definitions are hereby added to Annex I to the Credit Agreement in the applicable alphabetical location: 

“Aggregate Excess Unused Fee” means, for any Interest Period, the sum of the Excess Unused Fee (if any) for each day during
such Interest Period. 
 “Credit Document” means this Agreement, the Notes, the Collateral Documents, the Manager Letter,
the Equity Owner Letter, the CNL Letter, each Borrowing Request and any other agreement, instrument or document (including 

  
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amendments, modifications or reaffirmations from time to time to any of the foregoing) executed and delivered by or on behalf of the Borrower, the Manager, the Equity Owner or CNL (as the case
may be) in connection with the foregoing. 
 “Excess Unused Amount” means, an amount equal to the excess, if any, of
(x) 80% of the Tranche E Commitment less (y) the aggregate principal amount of Tranche E Loans outstanding on such day (including Loans made on such day). 

“Excess Unused Fee” means, for any day on which an Excess Unused Amount exists, 1.85% of the Excess Unused Amount for such day
multiplied by a fraction the numerator of which is 1 and the denominator of which is 360. 
 “Fifth Amendment” means that
Fifth Amendment to the Credit Agreement by and between the Borrower, the Administrative Agent and the Lender dated as of January 9, 2015. 

“Fifth Amendment Closing Date” means January 9, 2015. 

“Fifth Amendment Effective Date” means February 11, 2015; provided that the conditions precedent set forth in
Section 4 of the Fifth Amendment have been satisfied on or prior to such date. 
 “Leverage Ratio” means with respect
to the Borrower, the ratio, as of the applicable date of such determination, of the Borrower’s (i) Debt to (ii) owner’s equity, in each case as would generally be classified as such in accordance with GAAP for balance sheet
purposes. 
 “Tranche E Commitment” means, (a) at any date of determination prior to the Commitment Termination Date,
the lesser of (x) $150,000,000 or (y) such lesser amount remaining following any reduction of the Tranche E Commitment in accordance with Section 2.02 (Voluntary Reductions or Termination of the Maximum Commitment) and
(b) on and after the Commitment Termination Date, zero. 
 “Tranche E Lender” means each Lender that has a Tranche E
Commitment. 
 “Tranche E Loan” means each Loan made under the Tranche E Commitment. 

(q) The following definitions are hereby deleted from Annex I to the Credit Agreement: 

“Tranche B1 Commitment” 

“Tranche B1 Lender” 

“Tranche B1 Loan” 

“Tranche B2 Commitment” 

  
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 “Tranche B2 Lender” 

“Tranche B2 Loan” 

“Tranche D Commitment” 

“Tranche D Lender” 

“Tranche D Loan” 

(r) The following definitions in Annex I to the Credit Agreement are hereby replaced in their entirety by the following: 

“Adjusted LIBO Rate” means with respect to any Eurodollar Borrowing comprised of Tranche E for a period of three
(3) months commencing on the later of (x) the date on which such Eurodollar Borrowing is made and (y) the next Interest Reset Date, an interest rate per annum equal to the product of (a) the LIBO Rate in effect for such period
and (b) Statutory Reserves. 
 “Applicable Margin” means, from and after the Fifth Amendment Effective Date, with
respect to all outstanding Tranche E Loans provided by the Tranche E Lenders, 1.85% per annum plus, if a Manager Removal Event has occurred, up to an additional 1.00% as specified by the Administrative Agent in writing to the Borrower in its
sole discretion. 
 “Commitment” means, as to each Lender, its obligation to make Loans to the Borrower pursuant to
Section 2.01 (Commitment), in an aggregate principal amount at any one time outstanding not to exceed the Dollar amount set forth on the signature page for such Lender or in the Assignment Agreement pursuant to which such Lender becomes
a party hereto, as applicable, with respect to the Tranche E Commitment as such amount may be adjusted from time to time in accordance with this Agreement. 

“Commitment Fee” means, for each day, the Unused Amount as of such day multiplied by a fraction, the numerator of which is, in
the case of the Tranche E Loans from and after the Fifth Amendment Effective Date, 0.50% and the denominator of which is 360. 

“Make Whole Fee” means with respect to any reduction in the Tranche E Commitment, the product of (i) 0.75% multiplied
by (ii) the Commitment Reduction Amount multiplied by (iii) the number of days remaining until the Scheduled Commitment Termination Date with respect to the Tranche E Commitment, divided by (iv) 360; provided that
the Make Whole Fee shall be zero for the portion of the Commitment Reduction Amount which is reduced or terminated to the extent the Borrower exercises its right to reduce or terminate the Tranche E Commitment in order to enter into (i) a
transaction relating to CDOs for which DBNY or its Affiliates is the lead warehouse provider, lead structuring agent or lead placement agent for all securities issued in connection with such 

  
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transaction or series of related transactions and the total market value of all Fund Investments moved out of the facility into such CDO is greater than or equal to the amount by which the
Tranche E Commitment is reduced or (ii) a replacement financing facility with DBNY or its Affiliates. For the avoidance of doubt, no Make Whole Fee shall be due solely as a result of entering into the Fifth Amendment. 

“Maximum Commitment” means, (a) at any date of determination prior to the Commitment Termination Date, the lesser of
(x) $150,000,000 or (y) such lesser amount remaining following any reduction of the Maximum Commitment in accordance with Section 2.02 (Voluntary Reductions or Termination of the Maximum Commitment) or Section 2.04
(Commitment Reduction and Termination) and (b) on and after the Commitment Termination Date, zero. 
 “Scheduled
Commitment Termination Date” means with respect to the Tranche E Commitment, February 8, 2017. 
 (s) The following definition
is hereby added to Annex II to the Credit Agreement in the applicable alphabetical location: 
 “Applicable Margin
Requirement” means the Margin Requirement for an Eligible Investment determined by the Administrative Agent in good faith in accordance with the terms of this Agreement and reported to the Borrower. 

“Applicable Unpaid Amount” means with respect to any Eligible Investment an amount equal to the product of
(a) (i) the Market Value (determined as described in Section 4 below) of such Eligible Investment (determined as described in Section 2 below) divided by (ii) the Market Value of all Eligible Investments multiplied
by (b) the Unpaid Amount. 
 “Loan Amount” means as of any date of determination with respect to each Eligible
Investment under the Overcollateralization Test (as described in this Section 1), (a) the sum of the product of (i) the Market Value (determined as described in Section 4 below) of such Eligible Investment (determined as
described in Section 2 below) and (ii) one minus the Applicable Margin Requirement for such Eligible Investment minus (b) the Applicable Unpaid Amount as of such date provided, however, that if the Sale Price is at any time less than
the Market Value Price then, notwithstanding anything herein to the contrary, the Loan Amount shall automatically be decreased until the date of settlement of the sale of such Eligible Investment by an amount equal to the product of (x) the
principal amount of the Eligible Investment subject to the sale multiplied by (y) the excess, if any, of the Market Value Price minus the Sale Price. 

  
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 (t) The following definitions in Annex II to the Credit Agreement are hereby replaced in their
entirety by the following: 
 “Approved Pricing Service” means each of (i) a pricing or quotation service set forth in
Schedule 7 (or any successor to any such listed pricing service), (ii) Approved Banks that provide a continuous and actionable price quote for an applicable Bank Loan and (iii) any other pricing or quotation service designated by
the Borrower in writing and approved by the Required Lenders in their reasonable discretion. 
 “Advance Amount” means, as
of any date of determination under the Overcollateralization Test (as described in this Section 1), (a) the sum for all Eligible Investments of the product of (i) the Market Value (determined as described in Section 4 below) of
such Eligible Investment (determined as described in Section 2 below) and (ii) one minus the Margin Requirement for such Eligible Investment minus (b) the Unpaid Amount as of such date provided, however, that if the price, expressed
as a percentage of par, at which the Borrower has contracted to sell an Eligible Investment (the “Sale Price”) is at any time less than the Market Value Price then, notwithstanding anything herein to the contrary, the Advance Amount
shall automatically be decreased until the date of settlement of the sale of such Eligible Investment by an amount equal to the product of (x) the principal amount of the Eligible Investment subject to the sale multiplied by (y) the
excess, if any, of the Market Value Price minus the Sale Price. 
 “Base Margin Requirement” means, as of any date of
determination and prior to the occurrence and continuation of a Net Asset Value Floor Event, (a) with respect to any Cash or Cash Equivalent, the percentage specified in Annex II-A-1, (b) with respect to any Bank Loan, the
percentage specified in Annex II-B-1, determined based upon the Spread To Maturity, Outstanding Facility Size and Number of Pricing Sources for such Bank Loan, and (c) with respect to any Corporate Bond Security, the percentage specified
in Annex II-C-1, determined based upon the Spread to Maturity and Maturity for each Corporate Bond Security; provided, however, that with respect to any Bank Loans purchased following the Fifth Amendment Effective Date, until the
twenty-second (22nd) day following the original issuance of such Bank Loan, such Bank Loan shall be deemed to have a Number of Approved Sources equal to three (3) for the purposes of Annex II-B-1 so long as the Bank Loan has been arranged
by at least two (2) Approved Banks. 
 “Fund Investments” means all Cash, Cash Equivalents, Bank Loans and Corporate
Bond Securities owned by the Borrower, together with any other financial asset that the Administrative Agent has expressly agreed to in writing may be included as a “Fund Investment”. After the Closing Date, Fund Investments which the
Borrower has contracted to (i) purchase shall be deemed for purposes of the Credit Agreement to be owned by the Borrower from the date of settlement of such purchase and (ii) sell shall cease to be Fund Investments for purposes of the
Credit Agreement from the date of settlement of such sale. For the avoidance of doubt, “Fund Investments” shall not include Trade Claims. 

  
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 “Second Lien Loan” means a secured Bank Loan that, at the time of its purchase
by the Borrower, (a) is secured solely by intangible assets or (b) has collateral (i) that is also pledged to secure an obligation senior to such Bank Loan or (ii) with a value (determined by the Administrative Agent in its
reasonable judgment) that is less than the sum of the outstanding principal amount of such Bank Loan and the outstanding principal amount of all other indebtedness secured by such collateral that is prior to or pari passu with such Bank Loan’s
claim with respect to such collateral; provided, however, that such Bank Loan may not be secured solely or primarily by the common stock of, or other equity interests in, the underlying Obligor or any of its Affiliates. 

(u) Paragraphs (i) through (vi) of the definition of Additional Margin Requirement in Annex II to the Credit Agreement are hereby
replaced in their entirety by the following in appropriate numerical order: 
 “(i) the greater of (A) or (B), where (A) and
(B) are as follows 
 (A) in the case of a Bank Loan that has a Principal Balance greater than $10 million, the percentage specified in
Annex II-B-2; provided, that the applicable percentage shall apply solely with respect to that portion of the Principal Balance of such Bank Loan that exceeds $10 million or such other increment specified in Annex II-B-2 as applicable;
and 
 (B) in the case of a Bank Loan that has a Principal Balance greater than 5% of the Outstanding Facility Size, the percentage
specified in Annex II-B-5; provided, that the applicable percentage shall apply solely with respect to that portion of the Principal Balance that exceeds 5% of the Outstanding Facility Size or such other increment specified in Annex
II-B-5 as applicable; 
 (ii) the greater of (A) or (B), where (A) and (B) are as follows: 

(A) in the case of Bank Loans and Corporate Bond Securities of a single Obligor that have an aggregate Market Value which exceeds 5% of the
Market Value of all Eligible Investments, the percentage specified in Annex II-B-3; provided, that the applicable percentage shall apply solely with respect to that portion of the Bank Loan which exceeds 5% of the aggregate Market Value of
all Eligible Investments or such other increment specified in Annex II-B-3 as applicable, determined based upon such Bank Loan’s Market Value; and 

(B) in the case of a Bank Loan that has an Obligor Industry (when summing up the industry concentration across the entire portfolio) whereby
the aggregate Market Value of all Eligible Investments that have been categorized with such Approved Industry exceeds 15% of the aggregate Market Value of all Eligible Investments, the percentage specified in Annex II-B-4; provided, that the
applicable percentage shall 

  
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apply solely with respect to that portion of the Bank Loan that exceeds 15% of the aggregate Market Value of all Eligible Investments for such Approved Industry or such other increment specified
in Annex II-B-4 as applicable, determined based upon the aggregate Market Value of all Eligible Investments categorized with such Approved Industry; 

provided that (a) for the avoidance of doubt, all Additional Margin Requirements, except for the Additional Margin Requirement
described in this paragraph (ii), shall be independently measured and, in the event that more than one of paragraphs (i) through (xii) herein apply to any Fund Investment, the Additional Margin Requirement for such Fund Investment shall be
the sum of each applicable Additional Margin Requirement and (b) the maximum Additional Margin Requirement for any Fund Investment shall not exceed 100%. 

(iii) [reserved]; 
 (iv) in the
case of a PIK Loan, if the aggregate Market Value of all such PIK Loans exceeds 10% of the Market Value of all such Eligible Investments, the percentage specified in Annex II-B-6; provided, that the applicable percentage shall apply solely
with respect to that portion of the aggregate Market Value of all such PIK Loans which exceed 10% of the Market Value of all such Eligible Investments or such other increment specified in Annex II-B-6 as applicable; 

(v) in the case of a Bank Loan that is a Second Lien Loan, if the aggregate Loan Amount of all Second Lien Loans exceeds 33% of the Advance
Amount, the Administrative Agent, in its sole and absolute discretion, can apply an Additional Margin Requirement to the Market Value of all Second Lien Loans in an amount no greater than the minimum amount required to cause the aggregate Loan
Amount with respect to all Second Lien not to exceed 33% of the Advance Amount; for the avoidance of doubt, it will not constitute a Default or Event of Default to the extent that the aggregate Loan Amount of Second Lien Loans exceeds 33% of the
Advance Amount; 
 (vi) in the case of a Bank Loan that is an Acceptable Two Source Loan, 13% of the Market Value of all such Acceptable Two
Source Loans; provided, however, that if the aggregate Loan Amount of Acceptable Two Source Loans exceeds 25% of the Advance Amount, the Administrative Agent, in its sole and absolute discretion, can apply an Additional Margin Requirement to the
Market Value of all Acceptable Two Source Loans in an amount no greater than the minimum amount required to cause the aggregate Loan Amount with respect to all Acceptable Two Source Loans not to exceed 25% of the Advance Amount; for the avoidance of
doubt, it will not constitute a Default or Event of Default to the extent that the aggregate Loan Amount of Two Source Loans exceeds 25% of the Advance Amount;” 

  
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 (v) Paragraphs (xii) and (xxiv) through (xxviii) of the definition of Excluded
Investments in Annex II to the Credit Agreement are hereby replaced in their entirety by the following in appropriate numerical order: 

“(xii) Bank Loans that are purchased at a price below 50% of par; 

(xxiv) Any Convertible Security; 

(xxv) any investment not included in the definition of “Fund Investments” unless the Administrative Agent has expressly consented in
writing to treating such investment as a Fund Investment and communicated a Margin Requirement for such financial asset, in writing to the Borrower and the Manager; 

(xxvi) Bank Loans with a Stated Maturity greater than seven years after the date of acquisition of such Bank Loans, unless approved by the
Administrative Agent in its sole discretion; 
 (xxvii) Bank Loans issued with respect to a facility that has an Outstanding Facility Size of
less than $150 million; and 
 (xxviii) Bank Loans that have a Principal Balance of greater than $50 million determined based upon the
Principal Balance of such Bank Loan.” 
 (w) Annexes II-B-1 through II-B-6 to the Credit Agreement are hereby replaced in their
entirety by Annexes II-B-1 through II-B-6 to this Fifth Amendment. 
 (x) Annexes II-B-7 and II-B-8 to the Credit Agreement are hereby
deleted in their entirety. 
 (y) Exhibit B to the Credit Agreement is hereby deleted and replaced by Exhibit E to this Fifth Amendment.

 (z) Exhibit C to the Credit Agreement is hereby amended by amending and restating number 4 in its entirety to read as follows: 

“4. Type of Loan: Tranche E Loans.” 

Section 2. Maximum Commitment. For the avoidance of doubt, the Maximum Commitment on and after the Fifth Amendment Effective Date shall
be $150,000,000. 
 Section 3. Conditions Precedent to Fifth Amendment Closing Date. It shall be a condition precedent to the
effectiveness of this Fifth Amendment that each of the following conditions are satisfied: 
 (a) Agreements. The Administrative
Agent shall have received executed counterparts of this Fifth Amendment duly executed and delivered by an Authorized Representative of the Borrower. 

  
 -12- 

 (b) Evidence of Authority. The Administrative Agent shall have received: 

(1) a certificate of an Authorized Representative of the Borrower and a Responsible Officer (which may be the same person as the Authorized
Representative), dated the Fifth Amendment Closing Date, as to: 
 (i) the authority of the Borrower to execute and deliver
this Fifth Amendment and to perform its obligations under the Credit Agreement and the Notes, in each case as amended by this Fifth Amendment and each other Credit Document to be executed by it and each other instrument, agreement or other document
to be executed in connection with the transactions contemplated in connection herewith and therewith; 
 (ii) the authority
and signatures of those Persons authorized on behalf of the Borrower to execute and deliver this Fifth Amendment and the other Credit Documents to be executed and delivered in connection with this Fifth Amendment and to act with respect to this
Fifth Amendment and each other Credit Document executed or to be executed by the Borrower, upon which certificate each Lender, including each assignee (whether or not it shall have then become a party to the Amended Credit Agreement), may
conclusively rely until it shall have received a further certificate of the Borrower canceling or amending such prior certificates; and 

(iii) the absence of any changes in the Organic Documents of the Borrower since the copies delivered to the Administrative
Agent in connection with the closing of the Credit Agreement; and 
 (2) such other instruments, agreements or other documents (certified
if requested) as the Administrative Agent may reasonably request. 
 (c) Collateral Documents, Management Agreement, etc. The
Administrative Agent shall have received, to the extent the Administrative Agent has determined that certain or all of the Collateral Documents, Management Agreement and LLC Agreement are required to be replaced, amended, supplemented or
otherwise modified to secure or otherwise contemplate the obligations set forth in this Fifth Amendment and the Amended Credit Agreement, such replacements, supplements or other modifications dated the Fifth Amendment Closing Date (or such later
date as the Administrative Agent may agree in its discretion), in form and substance reasonably satisfactory to the Administrative Agent. 

(d) No Litigation, etc. No litigation, arbitration, governmental investigation, proceeding or inquiry shall, on the Fifth Amendment
Closing Date, be pending or, to the knowledge of the Borrower, threatened in writing with respect to any of the transactions contemplated hereby or by the Amended Credit Agreement which could, in the reasonable opinion of the Administrative Agent,
be adverse in any material respect to the Borrower. 
 (e) Certificate as to Conditions, Warranties, No Default, Agreements etc. The
Administrative Agent shall have received a certificate of an Authorized Representative of the Borrower and a Responsible Officer (which may be the same person as the Authorized Representative), in each case on behalf of the Borrower dated as of the
Fifth Amendment Closing Date, in form and substance reasonably satisfactory to the Administrative Agent, to the effect that, as of such date: 

(1) all conditions set forth in this Section 3 (CONDITIONS PRECEDENT) have been fulfilled; 

  
 -13- 

 (2) all representations and warranties of the Borrower set forth in
Article 5 of the Amended Credit Agreement (REPRESENTATIONS AND WARRANTIES) are true and correct in all material respects as if made on the Fifth Amendment Closing Date (unless expressly made as of a certain date, in which case it shall be true
and correct in all material respects as of such date); 
 (3) all representations and warranties set forth in each of the
Collateral Documents are true and correct in all material respects; and 
 (4) no Default or Event of Default shall be
continuing. 
 (f) Opinions of Counsel. The Administrative Agent shall have received a legal opinion, dated as of the Fifth Amendment
Closing Date from Dechert LLP, counsel to the Borrower, the Manager and CNL, in form and substance reasonably satisfactory to the Administrative Agent covering such matters as the Administrative Agent may reasonably request. 

(g) Manager Letter. The Administrative Agent shall have received from the Manager a letter in the form of Exhibit A hereto
addressed to the Administrative Agent and the Lenders. All representations and warranties of the Manager set forth therein shall be true and correct in all material respects as of the Fifth Amendment Closing Date. 

(h) CNL Letter. The Administrative Agent shall have received from CNL a letter in the form of Exhibit B hereto addressed to
the Administrative Agent and the Lenders. All representations and warranties of CNL set forth therein shall be true and correct in all material respects as of the Fifth Amendment Closing Date. 

(i) Fee Letter. The Administrative Agent shall have received from the Borrower a fee letter between DBNY and the Borrower (the
“Amendment Fee Letter”) in the form of Exhibit C hereto. 
 (j) Equity Owner Letter. The Administrative Agent
shall have received from the Equity Owner a letter in the form of Exhibit D hereto addressed to the Administrative Agent and the Lenders. All representations and warranties of the Equity Owner set forth therein shall be true and correct in all
material respects as of the Fifth Amendment Closing Date. 
 (k) Closing Fees, Expenses, etc. The Administrative Agent shall have
received for its own account, or for the account of the Lenders, as the case may be, all fees, costs and expenses then due and payable to it under this Fifth Amendment, including the fee set forth in the Amendment Fee Letter and the reasonable fees
and disbursements of one counsel for the Administrative Agent incurred in connection with this Fifth Amendment). 

  
 -14- 

 (l) Satisfactory Legal Form. All limited liability company and other actions or
proceedings taken or required to be taken in connection with the transactions contemplated hereby and by the Amended Credit Agreement and all agreements, instruments, documents and opinions of counsel executed, submitted, or delivered pursuant to or
in connection with this Fifth Amendment by or on behalf of the Borrower shall be reasonably satisfactory in form and substance to the Administrative Agent and its counsel; all certificates and opinions delivered pursuant to this Fifth Amendment
shall be addressed to the Administrative Agent and the Lenders, or the Administrative Agent and the Lenders shall be expressly entitled to rely thereon; the Lenders and their counsel shall have received all information, and such number of
counterpart originals or such certified or other copies of such information, as the Administrative Agent or its counsel may reasonably request; and all legal matters incident to the transactions contemplated by this Fifth Amendment and the Amended
Credit Agreement shall be reasonably satisfactory to counsel to the Administrative Agent. The contemporaneous exchange and release of executed signatures pages by each of the Persons contemplated to be a party hereto shall render this Fifth
Amendment effective and any such exchange and release of such executed signature pages by all such persons shall constitute satisfaction or waiver (as applicable) of any condition precedent to such effectiveness set forth above. 

Section 4. Conditions Precedent to Fifth Amendment Effective Date. It shall be a condition precedent to the effectiveness of the
amendments to the Credit Agreement set forth in Section 1 hereof and the occurrence of the Fifth Amendment Effective Date that each of the following conditions are satisfied: 

(a) Section 3. The conditions precedent set forth in Section 3 hereof shall have been satisfied. 

(b) Notes. Upon the request of any Lender to the Borrower made in accordance with Section 3.02 of the Amended Credit Agreement,
such Lender shall receive a Note (including Schedule 1 for such Note that is accurate as of the Fifth Amendment Effective Date) substantially identical to Exhibit B to the Amended Credit Agreement duly executed and delivered by an
Authorized Representative of the Borrower. Upon each requesting Lender’s receipt of such Note, each Lender shall promptly return or destroy any prior Note that such Lender held which evidenced the Loans represented by the new Note such Lender
has so received. 
 (c) Evidence reasonably satisfactory to the Administrative Agent that all Obligations owing to the Tranche D Lender,
including the Make Whole Fee (if any), with respect to any Tranche D Loans have been paid in full, in cash. 
 (d) After giving effect to
any requested Borrowing on the Fifth Amendment Effective Date (1) the aggregate principal amount of all Loans outstanding will not exceed the Maximum Commitment and (2) the Overcollateralization Test is satisfied. 

  
 -15- 

 Section 5. Miscellaneous. 

(a) GOVERNING LAW. THIS FIFTH AMENDMENT SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF NEW YORK
INCLUDING SECTION 5-1401 AND 5-1402 OF THE GENERAL OBLIGATIONS LAW OF THE STATE OF NEW YORK WITHOUT REGARD TO CONFLICT OF LAW PRINCIPLES. 

(b) Amendments, Etc. None of the terms of this Fifth Amendment or any other Credit Document may be changed, waived, discharged or
terminated unless such change, waiver, discharge or termination is in writing signed by the Borrower and the Administrative Agent (or other applicable party thereto as the case may be), and each such waiver or consent shall be effective only in the
specific instance and for the specific purpose for which given. 
 (c) Severability. If any one or more of the covenants, agreements,
provisions or terms of this Fifth Amendment shall be for any reason whatsoever held invalid, then such covenants, agreements, provisions or terms shall be deemed severable from the remaining covenants, agreements, provisions or terms of this Fifth
Amendment and shall in no way affect the validity or enforceability of the other provisions of this Fifth Amendment. 
 (d)
Counterparts. This Fifth Amendment may be executed by the parties hereto in separate counterparts, each of which when so executed and delivered shall be an original, but all such counterparts shall together constitute one and the same
instrument. 
 (e) Successors and Assigns. All covenants and agreements contained herein shall be binding upon, and inure to the
benefit of the parties hereto and their respective successors and permitted assigns. 
 (f) Captions. The captions and section
headings appearing herein are included solely for convenience of reference and are not intended to affect the interpretation of any provision of this Fifth Amendment. 

(g) Entire Agreement. This Fifth Amendment constitutes a final and complete integration of all prior expressions by the parties hereto
with respect to the subject matter hereof and shall (together with the Amended Credit Agreement and the Security Agreement) constitute the entire agreement among the parties hereto with respect to the subject matter hereof, superseding all previous
oral statements and other writings with respect thereto. 
 [Signature pages follow] 

  
 -16- 

 IN WITNESS WHEREOF, the parties hereto have caused this Fifth Amendment to be duly executed and
delivered as of the day and year first above written. 
  

			
	BORROWER
	
	CCT FUNDING LLC, as Borrower
		
	By:	 	CORPORATE CAPITAL TRUST, INC., as its Designated Manager
		
	By:	 	 /s/ Steven D. Shackelford

	Name:	 	Steven D. Shackelford
	Title:	 	President and CFO

 Signature Page to Fifth Amendment 

 
			
	ADMINISTRATIVE AGENT
	
	 DEUTSCHE BANK AG, NEW YORK BRANCH

    as Administrative Agent

		
	By:	 	 /s/ Ian R. Jackson

	Name:	 	Ian R. Jackson
	Title:	 	Director
		
	By:	 	 /s/ Satish Ramakrishna

	Name:	 	Satish Ramakrishna
	Title:	 	Managing Director

 Signature Page to Fifth Amendment 

 
			
	LENDER
	
	 DEUTSCHE BANK AG, NEW YORK BRANCH,

    as Lender

		
	By:	 	 /s/ Ian R. Jackson

	Name:	 	Ian R. Jackson
	Title:	 	Director
		
	By:	 	 /s/ Satish Ramakrishna

	Name:	 	Satish Ramakrishna
	Title:	 	Managing Director

 The Commitment of the Lenders as of the Fifth Amendment Effective Date is as follows: 

 

											
	 Type of Commitment:
	  	Amount of
Commitment:	 	  	 Lender:
	  	Percentage
of Tranche:	 
	 Tranche E Commitment
	  	$	150,000,000	  	  	Deutsche Bank AG, New York Branch	  	 	100	% 
				
	 Total Commitment:
	  	$	150,000,000	  	  		  			

 Signature Page to Fifth Amendment 

 Annex II-B-1 

Base Margin Requirement – Bank Loans 
  

																	
	 	  	Greater than or equal to
$400 million	 	 	Greater than or equal to
$150 million and less than
$400 million	 
	Number of Approved Sources	 
	 Spread To Maturity
	  	Greater than
5	 	 	2, 3, 4 or 5	 	 	Greater
than 5	 	 	2, 3, 4 or 5	 
	 Less than or equal to 2.50%
	  	 	15	% 	 	 	18	% 	 	 	25	% 	 	 	28	% 
	 Greater than 2.50% and less than or equal to 6.00%
	  	 	20	% 	 	 	23	% 	 	 	30	% 	 	 	33	% 
	 Greater than 6.00% and less than or equal to 9.00%
	  	 	26	% 	 	 	29	% 	 	 	36	% 	 	 	39	% 
	 Greater than 9.00% and less than or equal to 12.00%
	  	 	33	% 	 	 	36	% 	 	 	43	% 	 	 	46	% 
	 Greater than 12.00% and less than or equal to 15.00%
	  	 	38	% 	 	 	41	% 	 	 	48	% 	 	 	51	% 
	 Greater than 15.00% and less than or equal to 18.00%
	  	 	44	% 	 	 	47	% 	 	 	54	% 	 	 	57	% 
	 Greater than 18.00% and less than or equal to 20.00%
	  	 	49	% 	 	 	52	% 	 	 	59	% 	 	 	62	% 
	 Greater than 20.00%
	  	 	TBA	  	 	 	TBA	  	 	 	TBA	  	 	 	TBA	  

 “TBA” means as advised to the Manager/Borrower, in writing, by the Lender on a case by case
basis and, until so advised, 100%. 
 The base rate will be determined based on a linear interpolation of the loan spread to maturity
between rows with respect to the applicable column. The minimum base rate will be the rate in the 250bps loan spread level. 

 Annex II-B-2 

Additional Margin Requirement – Bank Loans 
  

					
	 Principal

Balance
	  	 	 
	 Greater than $10 million and less than or equal to $20 million
	  	 	8	% 
	 Greater than $20 million and less than or equal to $40 million
	  	 	16	% 
	 Greater than $40 million and less than or equal to $50 million
	  	 	20	% 
	 Greater than $50 million
	  	 	TBA	  

 “TBA” means as advised, in writing, by the Lender on a case by case basis, and until so
advised, 100%. 

 Annex II-B-3 

Additional Margin Requirement – Bank Loans 
  

					
	 Aggregate Market Value for such Bank Loans and Corporate Bond Securities of a single Obligor as a percentage of
the aggregate
Market Value for all Eligible Investments
	  	Additional Margin
Requirement	 
	 Greater than 5% and less than or equal to 15%
	  	 	7.5	% 
	 Greater than 15% and less than or equal to 25%
	  	 	30	% 
	 Greater than 25%
	  	 	125	% 

 Annex II-B-4 

Additional Margin Requirement – Bank Loans 
  

					
	 Aggregate Market Value for all Bank Loans with such Obligor Industry (when summing up the industry concentration
across the
entire portfolio) as a percentage of the aggregate Market Value for all Eligible Investments
	    	Additional Margin
Requirement	 
	 Greater than 15% and less than or equal to 25%
	    	 	12.5	% 
	 Greater than 25% and less than or equal to 50%
	    	 	35	% 
	 Greater than 50%
	    	 	80	% 

 Annex II-B-5 

Additional Margin Requirement – Bank Loans 
  

					
	 Par Value for such Bank Loan as a percentage of the Outstanding Facility Size
	  	Additional Margin
Requirement	 
	 Greater than 5% and less than or equal to 10%
	  	 	15	% 
	 Greater than 10% and less than or equal to 25%
	  	 	20	% 
	 Greater than 25% and less than or equal to 50%
	  	 	85	% 
	 Greater than 50%
	  	 	135	% 

 Annex II-B-6 

Additional Margin Requirement – Bank Loans 
  

					
	 Aggregate Market Value for all PIK Loans as a percentage of the aggregate Market Value of all Eligible
Investments
	  	Additional Margin
Requirement	 
	 Greater than 10% and less than or equal to 15%
	  	 	15	% 
	 Greater than 15% and less than or equal to 25%
	  	 	30	% 
	 Greater than 25% and less than or equal to 100%
	  	 	130	%

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