Company Name Administrative Agent IPO Date Types of Administrative Services Gladstone Investment Corporation Gladstone Administration, LLC (affiliate) 6/23/2005 Furnishing office facilities, equipment, clerical, bookkeeping and record keeping services. Conduct relations with custodians, depositories, transfer agents, dividend disbursing agents, other stockholder servicing agents, accountants, attorneys, underwriters, brokers and dealers, corporate fiduciaries, insurers, banks and such other persons deemed necessary or desirable. Responsible for financial and other records required to be maintained and preparing reports to stockholders and reports and other materials filed with SEC. Assisting with determining and publishing NAV, overseeing preparation and filing of tax returns, printing and dissemination of reports to stockholders, and overseeing payment of expenses and performance of administrative and professional services rendered by others. Prospect Capital Corporation Prospect Administration, LLC (affiliate) 7/27/2004 Furnishing office facilities and equipment and providing clerical, bookkeeping, record- keeping, and other administrative services, including responsibility for financial and other records required to be maintained and preparing reports to stockholders and reports and other materials filed with the SEC; assistin with determining and publishing NAV, overseeing preparation and filing of tax returns, printing and disseminating reports and other materials to stockholders, and overseeing payment of expenses and performance of administrative and professiona services rendered by others.
View this content as a flipbook by clicking here.