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Exhibit 10.1

Capital Southwest Corporation
THIRD AMENDMENT TO THIRD AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT
 
     THIRD AMENDMENT TO THIRD AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT, dated as of August 2, 2022 (this “Third Amendment”), by and between Capital Southwest Corporation, a Texas corporation (the “Company”), and [             ] (the “Manager”). 

    
W I T N E S S E T H:

WHEREAS, the Company and the Manager are parties to that certain Third Amended and Restated Equity Distribution Agreement, dated as of May 26, 2021, as amended by (i) that certain First Amendment to Third Amended and Restated Equity Distribution Agreement, dated August 3, 2021 and (ii) that certain Second Amendment to Third Amended and Restated Equity Distribution Agreement, dated November 2, 2021 (as amended, restated, and modified to date, the “Equity Distribution Agreement”); and    

    WHEREAS, the Company and the Manager have agreed to amend the Equity Distribution Agreement solely to increase the Maximum Amount from $250,000,00 to $650,000,000.

    NOW, THEREFORE, in consideration of the premises herein contained and for other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the parties hereto agree as follows:

1.Effective as of August 2, 2022, the first paragraph of Section 1 of the Equity Distribution Agreement shall be, and it hereby is, amended and restated in its entirety as follows: 

Description of Securities. The Company proposes to issue and sell through or to the Manager (or any Alternative Manager (as defined below)), as sales agent and/or principal, shares of the Company’s common stock, par value $0.25 per share (the “Common Stock”), having an aggregate offering price of up to $650,000,000 (such amount, as reduced on a dollar-for-dollar basis by the aggregate gross sales proceeds received by the Company from the sale of Common Stock prior to the date hereof pursuant to the Prior Agreements and those certain prior alternative equity distribution agreements listed on Schedule A hereto, the “Maximum Amount”) on the terms set forth in Section 3 of this Agreement. The shares of Common Stock to be sold through or to the Manager pursuant hereto or pursuant to a Terms Agreement (as defined below) or through or to an Alternative Manager pursuant to an Alternative Equity Distribution Agreement or Alternative Terms Agreement (each term as defined below) are referred to herein as the “Shares.”

Except as expressly provided hereby, the parties further agree that all of the terms and provisions of the Equity Distribution Agreement are and shall remain in full force and effect.  

This Third Amendment may be executed in any number of counterparts, each of which shall be deemed to be an original, and all such counterparts shall together constitute one and the same instrument.
    
This Third Amendment shall be governed by and construed in accordance with the laws of the State of New York, including without limitation Section 5-1401 of the New York General Obligations Law.
    
Capitalized terms used herein and not defined herein shall have the same meanings as in the Equity Distribution Agreement.

[Signature Pages Follow]

IN WITNESS WHEREOF, the undersigned has entered into this Third Amendment to Third Amended and Restated Equity Distribution Agreement as of the date first written above.

CAPITAL SOUTHWEST CORPORATION

By:         
Name:    Michael S. Sarner
Title:    Chief Financial Officer
[Signature Page to Third Amendment to Third Amended and Restated EDA]
			
	

ACCEPTED as of the date first above written.

[             ]

By:        
Name:
Title:

[Signature Page to Third Amendment to Third Amended and Restated EDA]Document

Exhibit 10.2

Capital Southwest Corporation
THIRD AMENDMENT TO AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT
 
     THIRD AMENDMENT TO AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT, dated as of August 2, 2022 (this “Third Amendment”), by and between Capital Southwest Corporation, a Texas corporation (the “Company”), and [             ] (the “Manager”). 

    
W I T N E S S E T H:

WHEREAS, the Company and the Manager are parties to that certain Amended and Restated Equity Distribution Agreement, dated as of May 26, 2021, as amended by (i) that certain First Amendment to Amended and Restated Equity Distribution Agreement, dated August 3, 2021 and (ii) that certain Second Amendment to Amended and Restated Equity Distribution Agreement, dated November 2, 2021 (as amended, restated, and modified to date, the “Equity Distribution Agreement”); and    

    WHEREAS, the Company and the Manager have agreed to amend the Equity Distribution Agreement solely to increase the Maximum Amount from $250,000,00 to $650,000,000.

    NOW, THEREFORE, in consideration of the premises herein contained and for other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the parties hereto agree as follows:

1.Effective as of August 2, 2022, the first paragraph of Section 1 of the Equity Distribution Agreement shall be, and it hereby is, amended and restated in its entirety as follows: 

Description of Securities. The Company proposes to issue and sell through or to the Manager (or any Alternative Manager (as defined below)), as sales agent and/or principal, shares of the Company’s common stock, par value $0.25 per share (the “Common Stock”), having an aggregate offering price of up to $650,000,000 (such amount, as reduced on a dollar-for-dollar basis by the aggregate gross sales proceeds received by the Company from the sale of Common Stock prior to the date hereof pursuant to the Prior Agreements and those certain prior alternative equity distribution agreements listed on Schedule A hereto, the “Maximum Amount”) on the terms set forth in Section 3 of this Agreement. The shares of Common Stock to be sold through or to the Manager pursuant hereto or pursuant to a Terms Agreement (as defined below) or through or to an Alternative Manager pursuant to an Alternative Equity Distribution Agreement or Alternative Terms Agreement (each term as defined below) are referred to herein as the “Shares.”

Except as expressly provided hereby, the parties further agree that all of the terms and provisions of the Equity Distribution Agreement are and shall remain in full force and effect.  

This Third Amendment may be executed in any number of counterparts, each of which shall be deemed to be an original, and all such counterparts shall together constitute one and the same instrument.
    
This Third Amendment shall be governed by and construed in accordance with the laws of the State of New York, including without limitation Section 5-1401 of the New York General Obligations Law.
    
Capitalized terms used herein and not defined herein shall have the same meanings as in the Equity Distribution Agreement.

[Signature Pages Follow]

IN WITNESS WHEREOF, the undersigned has entered into this Third Amendment to Amended and Restated Equity Distribution Agreement as of the date first written above.

CAPITAL SOUTHWEST CORPORATION

By:         
Name:    Michael S. Sarner
Title:    Chief Financial Officer
[Signature Page to Third Amendment to Amended and Restated EDA]

ACCEPTED as of the date first above written.

[             ]

By:        
Name:
Title:

[Signature Page to Third Amendment to Amended and Restated EDA]a200-2017x92634xmod28exe

Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) is the type  of information that the registrant treats as private or confidential. Double asterisks denote omissions.      AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT     1 2  2. AMENDMENT/MODIFICATION NO.     ASPR/SNS  ASPR/SNS      US DEPT OF HEALTH & HUMAN SERVICES  ASPR/SNS       9A. AMENDMENT OF SOLICITATION NO.  EMERGENT BIODEFENSE OPERATIONS LANSING LLC 330303  Attn: DIANA I ORORBIA-KNAPTON             10A. MODIFICATION OF CONTRACT/ORDER NO.    FACILITY       12/08/2016        P00028    See Block 16C OS292426   6. ISSUED BY CODE ASPR/SNS  7. ADMINISTERED BY (ff other than Item 6) CODE ASPR/SNS                                11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS    D The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers Dis extended.  Dis not extended.  Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended , by one of the following methods: (a) By completing  Items 8 and 15, and returning copies of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By  separate letter or electronic communication which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGEMENT TO BE  RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR  OFFER. If by virtue of this amendment you desire to change an offer already submitted , such change may be made by letter or electronic communication, provided  each letter or electronic communication makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.  12. ACCOUNTING AND APPROPRIATION DATA(lf required) Net Increase: $[**]  See Schedule  13, THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS, IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.    CHECK ONE A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT  ORDER NO. IN ITEM 10A.    B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,  appropriation data, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).  X  C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:  FAR 52.212-4(c) Changes   D. OTHER (Specify type of modification and authority)      E. IMPORTANT: Contractor Dis not is required to sign this document and return  1  copies to the issuing office.  14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)  Tax ID Number: [**]  DUNS Number: [**]  This modification is to order an additional [**] doses ([**] vials) of Biothrax (AVA) for  the Department of Defense (DoD). All product is to be shipped FOB Destination.  Product to have [**] months of shelf-life remaining and is priced in accordance with CLIN  0005 pricing ($[**] per dose). Total contract value is hereby increased by $[**] from $[**]  to [**].    Period of Performance: [**] to [**]    Add Item 8 as follows:  Continued ...  Except as provided herein, all terms and conditions of the document referenced in Item 9 A or 10A, as heretofore changed, remains unchanged and in full force and effect.  

 

      15A. NAME AND TITLE OF SIGNER (Type or print)  Paul Williams SVP, Government-MCM Business  16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)    Caleb Owen  158. CONTRACTOR/OFFEROR  /s/ Paul Williams      (Signature of person authorized to sign)  15C. DATE SIGNED    Aprl4,2022  168. UNITED STATES OF AMERICA  Caleb W. Owen -S       (Signature of Contracting Officer)  16C. DATE SIGNED    04/14/2022  Previous edition unusable STANDARD FORM 30 (REV. 11/2016)  Prescribed by GSA FAR (48 CFR) 53.243    

 

        CONTINUATION SHEET  REFERENCE NO. OF DOCUMENT BEING CONTINUED OF  HHSD200201792634C/P00028 2  NAME OF OFFEROR OR CONTRACTOR  EMERGENT BIODEFENSE OPERATIONS LANSING LLC 330303    ITEM NO.  (A)  SUPPLIES/SERVICES  (B)  QUANTITY  (C)  UNIT  (D)  UNIT PRICE  (E)  AMOUNT  (F)  

 

          8 Biodefense Ancillary Vaccines for DoD   [**] doses ([**] vials)  Unit Price: $[**]/dose  Extended Price: $[**]    Obligated Amount: $[**]    Project Data:  132698.1.HA00OSSNS0l.26088-Strategic National  Stock. [**]  Accounting Info:  2022.1997003.26088 Appr. Yr.: 2022 CAN: 1997003  Object Class: 26088  Funded: $[**]         [**]  NSN 7540-01-152-8067 OPTIONAL FORM 336 (4-86)  Sponsored by GSA  

 

      FAR (48 CFR) 53.110

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