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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to THL Credit Senior Loan Fund
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| March 20, 2023 |
15-12G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-34410 First Eagle Alternative Capital BDC, Inc.* (Exact name of r |
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| March 10, 2023 |
Bylaws of First Eagle Alternative Capital BDC, Inc. EX-3.2 Exhibit 3.2 Execution Version BYLAWS OF ECHELON ACQUISITION SUB, INC. A Delaware Corporation (Adopted as of September 29, 2022) ARTICLE I. OFFICES Section 1. Registered Office. The registered office of the corporation in the State of Delaware shall be located at 251 Little Falls Drive, in the City of Wilmington, Count of New Castle, 19808. The name of the corporation’s registered agent at s |
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| March 10, 2023 |
Certificate of Incorporation of First Eagle Alternative Capital BDC, Inc. EX-3.1 Exhibit 3.1 CERTIFICATE OF INCORPORATION OF ECHELON ACQUISITION SUB, INC. ARTICLE I Section 1.1 The name of the corporation is Echelon Acquisition Sub, Inc. (the “Corporation”). ARTICLE II Section 2.1 The address of the registered office of the Corporation in the State of Delaware is 251 Little Falls Drive, in the City of Wilmington, County of New Castle, 19808. The name of the registered a |
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| March 10, 2023 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on March 21, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| March 10, 2023 |
N-54C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-54C NOTIFICATION OF WITHDRAWAL OF ELECTION TO BE SUBJECT TO SECTIONS 55 THROUGH 65 OF THE INVESTMENT COMPANY ACT OF 1940 FILED PURSUANT TO SECTION 54(C) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned business development company hereby notifies the Securities and Exchange Commission that it withdraws its el |
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| March 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 9, 2023 (March 7, 2023) FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of Registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or Other Jurisdicti |
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| March 7, 2023 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, fo |
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| March 7, 2023 |
EX-99.1 Exhibit 99.1 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. Table of Contents INDEX PAGE NO. Report of Independent Registered Public Accounting Firm 2 Financial Statements Consolidated Statements of Assets and Liabilities as of December 31, 2022 and 2021 4 Consolidated Statements of Operations for the years ended December 31, 2022, 2021 and 2020 5 Consolidated Statements of Changes in Net Asset |
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| March 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 2, 2023 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. |
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| March 7, 2023 |
Report of Independent Auditors EX-99.2 Exhibit 99.2 First Eagle Logan JV LLC (A Delaware Limited Liability Company) Consolidated Financial Statements for the years ended December 31, 2022, 2021, and 2020 First Eagle Logan JV LLC (A Delaware Limited Liability Company) Table of Contents Page(s) Report of Independent Auditors 1-2 Financial Statements: Consolidated Statements of Assets, Liabilities and Members’ Capital 3 Consolidat |
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| February 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 27, 2023 FIRST EAGLE ALTERNATIVE CAPITAL BDC, Inc. |
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| February 28, 2023 |
425 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 27, 2023 FIRST EAGLE ALTERNATIVE CAPITAL BDC, Inc. |
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| February 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 23, 2023 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of Registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or Other Ju |
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| February 27, 2023 |
EX-99.1 Exhibit 99.1 CORRECTING and REPLACING Crescent Capital BDC, Inc. and First Eagle Alternative Capital BDC, Inc. Announce Election Deadline for FCRD Stockholders to Elect Form of Consideration CORRECTION...by First Eagle Alternative Credit, LLC LOS ANGELES, CA & BOSTON, MA—(BUSINESS WIRE)—First bullet item (following the third paragraph) of release dated February 23, 2023 should read: Consid |
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| February 27, 2023 |
425 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 23, 2023 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of Registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or Othe |
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| February 24, 2023 |
EX-99.1 Exhibit 99.1 CRESCENT CAPITAL BDC, INC. AND FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. ANNOUNCE ELECTION DEADLINE FOR FCRD STOCKHOLDERS TO ELECT FORM OF CONSIDERATION LOS ANGELES, CA & BOSTON, MA, February 23, 2023 — First Eagle Alternative Capital BDC, Inc. (NASDAQ: FCRD) (“FCRD”) and Crescent Capital BDC, Inc. (NASDAQ: CCAP) (“CCAP”) today announced that the deadline (the “Election Deadli |
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| February 24, 2023 |
425 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 23, 2023 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of Registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or Other Jurisdiction of In |
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| February 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 23, 2023 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of Registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or Other Jurisdiction of Incorp |
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| February 24, 2023 |
Filed by Crescent Capital BDC, Inc. 425 Filed by Crescent Capital BDC, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: First Eagle Alternative Capital BDC, Inc. File No. of Related Registration Statement: 333-268153 On February 23, 2023, Crescent Capital BDC, Inc. (“Crescent BDC,” “CCAP” or the “Company”) held a conference call to d |
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| February 13, 2023 |
THL Credit, Inc. / COOPERMAN LEON G - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 872438106 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate bo |
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| January 20, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confid |
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| November 14, 2022 |
Filed by Crescent Capital BDC, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: First Eagle Alternative Capital BDC, Inc. File No. of Related Registration Statement: 333-268153 On November 10, 2022, Crescent Capital BDC, Inc. (?Crescent BDC,? ?CCAP? or the ?Company?) held a conference call to discu |
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| November 8, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 8, 2022 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorpo |
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| November 8, 2022 |
Exhibit 99.1 First Eagle Alternative Capital BDC Reports Third Quarter 2022 Financial Results and Declares a Dividend of $0.11 Per Share BOSTON ? November 8, 2022 ? First Eagle Alternative Capital BDC, Inc. (NASDAQ: FCRD) (?First Eagle Alternative Capital BDC? or the ?Company?), a direct lender to middle market companies, today announced financial results for its third fiscal quarter ended Septemb |
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| November 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| October 5, 2022 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 3)* FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 26943B100 (CUSIP Number) David O?Connor First Eagle Investment Management, LLC 1345 Avenue of the Americas New York, NY 10105 (212) 698-3 |
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| October 5, 2022 |
Exhibit 99.6 Execution Version VOTING AGREEMENT This VOTING AGREEMENT (this ?Agreement?) is entered into as of October 3, 2022, by and among Crescent Capital BDC, Inc. a Maryland corporation (?Parent?), and First Eagle Investment Management, LLC, a Delaware limited liability company (?Stockholder?). W I T N E S S E T H: WHEREAS, as of the date of this Agreement, Stockholder owns the number of shar |
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| October 5, 2022 |
Crescent Capital BDC, Inc. (First Eagle Alternative Capital BDC, Inc.) October 4, 2022 Filed by Crescent Capital BDC, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: First Eagle Alternative Capital BDC, Inc. Commission File No. 814-00789 Crescent Capital BDC, Inc. (First Eagle Alternative Capital BDC, Inc.) October 4, 2022 On October 4, 2022, Crescent Capital BDC, Inc., a Maryland c |
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| October 4, 2022 |
Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among Crescent Capital BDC, Inc., Echelon Acquisition Sub, Inc., Echelon Acquisition Sub LLC, First Eagle Alternative Capital BDC, Inc. and Crescent Cap Advisors, LLC Dated as of October 3, 2022 TABLE OF CONTENTS Article I THE MERGERS Section 1.1 The Mergers 2 Section 1.2 The Closing 2 Section 1.3 Effective Time 2 Section 1.4 Certif |
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| October 4, 2022 |
Crescent Capital BDC, Inc. To Acquire First Eagle Alternative Capital BDC, Inc. Exhibit 99.1 Crescent Capital BDC, Inc. To Acquire First Eagle Alternative Capital BDC, Inc. LOS ANGELES, CA & BOSTON, MA, October 4, 2022 ? Crescent Capital BDC, Inc. (?Crescent BDC? or the ?Company?) (NASDAQ: CCAP) and First Eagle Alternative Capital BDC, Inc. (?First Eagle BDC?) (NASDAQ: FCRD) announced today that they have entered into a definitive merger agreement (the ?Merger Agreement?) und |
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| October 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 3, 2022 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorpor |
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| October 4, 2022 |
Strategic Acquisition of First Eagle Alternative Capital BDC, Inc. October 4, 2022 Filed by Crescent Capital BDC, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: First Eagle Alternative Capital BDC, Inc. Commission File No. 814-00789 This presentation (the ?Presentation?) has been prepared by Cres |
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| October 4, 2022 |
Filed by Crescent Capital BDC, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: First Eagle Alternative Capital BDC, Inc. Commission File No. 814-00789 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exc |
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| October 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 3, 2022 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorpor |
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| August 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| August 9, 2022 |
Exhibit 99.1 First Eagle Alternative Capital BDC Reports Second Quarter 2022 Financial Results and Declares a Dividend of $0.11 Per Share BOSTON ? August 9, 2022 ? First Eagle Alternative Capital BDC, Inc. (NASDAQ: FCRD) (?First Eagle Alternative Capital BDC? or the ?Company?), a direct lender to middle market companies, today announced financial results for its second fiscal quarter ended June 30 |
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| August 9, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 9, 2022 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorpora |
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| June 17, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 16, 2022 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporat |
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| June 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 27, 2022 First Eagle Alternative Capital BDC, Inc. (Exact name of Registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporati |
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| May 9, 2022 |
Exhibit 99.1 First Eagle Alternative Capital BDC Reports First Quarter 2022 Financial Results and Declares a Dividend of $0.10 Per Share BOSTON ? May 9, 2022 ? First Eagle Alternative Capital BDC, Inc. (NASDAQ: FCRD) (?First Eagle Alternative Capital BDC? or the ?Company?), a direct lender to middle market companies, today announced financial results for its first fiscal quarter ended March 31, 20 |
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| May 9, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 9, 2022 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporatio |
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| May 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| April 26, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confid |
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| March 14, 2022 |
Exhibit 99.1 BOSTON ? March 14, 2022?First Eagle Alternative Capital BDC, Inc. (NASDAQ: FCRD) (?First Eagle Alternative Capital BDC? or, the ?Company?) today announced that in keeping with its strategic initiatives, the Company and its joint venture partner refinanced the capital structure at First Eagle Logan JV, LLC (?Logan JV?) into a middle market CLO arranged by Deutche Bank Securities Inc., |
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| March 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 11, 2022 First Eagle Alternative Capital BDC, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorpor |
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| March 14, 2022 |
Exhibit 10.1 AMENDMENT NO. 1 TO THIRD AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT This AMENDMENT NO. 1 (this ?Amendment?) dated as of March 11, 2022, by and among FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC., a Delaware corporation (the ?Borrower?), ING CAPITAL LLC, as administrative agent for the Lenders (as defined below) under the Credit Agreement (in such capacity, together wit |
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| March 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| March 4, 2022 |
Subsidiaries of the Registrant* EXHIBIT 21 Subsidiaries of the Registrant First Eagle Alternative Capital Holdings, Inc.?Delaware First Eagle Alternative Capital Agent, Inc.?Delaware First Eagle OEMG Investor, Inc.?Delaware |
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| March 4, 2022 |
Exhibit 99.1 First Eagle Logan JV LLC (A Delaware Limited Liability Company) Consolidated Financial Statements for the years ended December 31, 2021, 2020, and 2019 First Eagle Logan JV LLC (A Delaware Limited Liability Company) Table of Contents Page(s) Report of Independent Auditors 1-2 Financial Statements: Consolidated Statements of Assets, Liabilities and Members? Capital 3 Consolidated State |
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| March 3, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 3, 2022 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporat |
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| March 3, 2022 |
Exhibit 99.1 First Eagle Alternative Capital BDC Reports Fourth Quarter 2021 Financial Results and Declares a Dividend of $0.10 Per Share BOSTON ? March 3, 2022 ? First Eagle Alternative Capital BDC, Inc. (NASDAQ: FCRD) (?First Eagle Alternative Capital BDC? or the ?Company?), a direct lender to middle market companies, today announced financial results for its fourth fiscal quarter and year ended |
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| February 14, 2022 |
THL Credit, Inc. / COOPERMAN LEON G - SCHEDULE 13 G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 872438106 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate bo |
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| February 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 0)* First Eagle Alternative Capital BDC, Inc. (Name of Issuer) Class A Common Stock, par value $0.001 per share (Title of Class of Securities) 26943B100 (CUSI |
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| December 22, 2021 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on January 03, 2022, pursuant to the provisions of Rule 12d2-2 (a). |
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| November 23, 2021 |
CORRECTION—First Eagle Alternative Capital BDC Announces Redemption of 6.125% Notes due 2023 Exhibit 99.1 CORRECTION?First Eagle Alternative Capital BDC Announces Redemption of 6.125% Notes due 2023 BOSTON, Nov. 23, 2021 (GLOBE NEWSWIRE) ? In a release issued under the same headline earlier today by First Eagle Alternative Capital BDC, Inc. (NASDAQ: FCRD), please note that in the first paragraph, the date of redemption should be December 22, 2021, not December 21, 2021. The corrected rele |
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| November 23, 2021 |
First Eagle Alternative Capital BDC Announces Redemption of 6.125% Notes due 2023 Exhibit 99.1 First Eagle Alternative Capital BDC Announces Redemption of 6.125% Notes due 2023 BOSTON ? November 23, 2021 ? First Eagle Alternative Capital BDC, Inc. (NASDAQ: FCRD) (?First Eagle Alternative Capital BDC? or the ?Company?), a direct lender to middle market companies, today announced that it will redeem all of its outstanding 6.125% Notes due 2023 (the ?2023 Notes?), at a redemption |
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| November 23, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 22, 2021 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other ju |
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| November 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 16, 2021 First Eagle Alternative Capital BDC, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incor |
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| November 23, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 22, 2021 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorp |
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| November 23, 2021 |
EX-1.1 2 d225239dex11.htm EX-1.1 Exhibit 1.1 EXECUTION VERSION First Eagle Alternative Capital BDC, Inc. (a Delaware corporation) $40,000,000 5.00% Notes due 2026 UNDERWRITING AGREEMENT November 17, 2021 Keefe, Bruyette & Woods, Inc. as Representative of the several Underwriters c/o Keefe, Bruyette & Woods, Inc. 787 Seventh Avenue, 4th Floor New York, New York 10019 Ladies and Gentlemen: First Eag |
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| November 17, 2021 |
First Eagle Alternative Capital BDC, Inc. 5.00% Notes Due 2026 Pricing Term Sheet November 17, 2021 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated November 17, 2021 Relating to Preliminary Prospectus Supplement dated November 16, 2021 and Prospectus dated December 11, 2020 Registration No. |
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| November 17, 2021 |
$40,000,000 First Eagle Alternative Capital BDC, Inc. 5.00% Notes due 2026 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-238621 Prospectus Supplement (to Prospectus dated December 11, 2020) $40,000,000 First Eagle Alternative Capital BDC, Inc. 5.00% Notes due 2026 We are an externally managed, non-diversified closed-end management investment company that has elected to be regulated as a business development company under the Investment Company A |
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| November 16, 2021 |
Subject to Completion Preliminary Prospectus Supplement dated November 16, 2021 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-238621 The information in this prospectus supplement is not complete and may be changed. This prospectus supplement is not an offer to sell these securities and it is not soliciting an offer to buy these securities in any jurisdiction where the offer or sale is not permitted. Subject to Completion Preliminary Prospectus Supple |
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| November 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| November 4, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 4, 2021 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorpo |
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| November 4, 2021 |
Exhibit 99.1 First Eagle Alternative Capital BDC, Inc. Reports Third Quarter 2021 Financial Results and Declares a Dividend of $0.10 Per Share BOSTON ? November 4, 2021 ? First Eagle Alternative Capital BDC, Inc. (NASDAQ: FCRD) (?First Eagle Alternative Capital BDC? or the ?Company?), a direct lender to middle market companies, today announced financial results for its third fiscal quarter ended S |
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| August 5, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 5, 2021 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorpora |
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| August 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| August 5, 2021 |
Exhibit 99.1 First Eagle Alternative Capital BDC, Inc. Reports Second Quarter 2021 Financial Results and Declares a Dividend of $0.10 Per Share BOSTON ? August 5, 2021 ? First Eagle Alternative Capital BDC, Inc. (NASDAQ: FCRD) (?First Eagle Alternative Capital BDC? or the ?Company?), a direct lender to middle market companies, today announced financial results for its second fiscal quarter ended J |
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| June 25, 2021 |
Exhibit 3.2 THIRD AMENDED AND RESTATED BY-LAWS OF FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. Adopted as of June 24, 2021 TABLE OF CONTENTS Page ARTICLE I STOCKHOLDER MEETINGS 1 1.1 Place 1 1.2 Annual Meeting 1 1.3 Notice 3 1.4 Chairman 4 1.5 Proxies; Voting 4 1.6 Inspectors of Election 4 1.7 Records at Stockholder Meetings 4 1.8 Quorum at Stockholder Meetings 5 1.9 Record Date for Action by Written |
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| June 25, 2021 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. First Eagle Alternative Capital BDC, Inc. (the ?Company?), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, does hereby certify: FIRST: That the Board of Directors of the Company duly adopted re |
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| June 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 21, 2021 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporat |
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| June 22, 2021 |
Termination of a Material Definitive Agreement, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 17, 2021 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporat |
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| June 21, 2021 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 02, 2021, pursuant to the provisions of Rule 12d2-2 (a). |
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| May 25, 2021 |
Exhibit 4.1 FOURTH SUPPLEMENTAL INDENTURE between FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of May 25, 2021 FOURTH SUPPLEMENTAL INDENTURE THIS FOURTH SUPPLEMENTAL INDENTURE (this ?Fourth Supplemental Indenture?), dated as of May 25, 2021, is between First Eagle Alternative Capital BDC, Inc., a Delaware corporation (the ?Company?), and U.S. Ba |
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| May 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 First Eagle Alternative Capital BDC, Inc. (Exact name of registrant as specified in its charter) Delaware 27-0344947 (State or incorporation or organization) (I.R.S. Employer Identification Number) |
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| May 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 25, 2021 First Eagle Alternative Capital BDC, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporat |
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| May 21, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 18, 2021 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporati |
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| May 21, 2021 |
Exhibit 1.1 EXECUTION VERSION First Eagle Alternative Capital BDC, Inc. (a Delaware corporation) $60,000,000 5.00% Notes due 2026 UNDERWRITING AGREEMENT May 18, 2021 Keefe, Bruyette & Woods, Inc. as Representative of the several Underwriters c/o Keefe, Bruyette & Woods, Inc. 787 Seventh Avenue, 4th Floor New York, New York 10019 Ladies and Gentlemen: First Eagle Alternative Capital BDC, Inc., a De |
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| May 19, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 19, 2021 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporati |
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| May 19, 2021 |
$60,000,000 First Eagle Alternative Capital BDC, Inc. 5.00% Notes due 2026 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-238621 Prospectus Supplement (to Prospectus dated December 11, 2020) $60,000,000 First Eagle Alternative Capital BDC, Inc. 5.00% Notes due 2026 We are an externally managed, non-diversified closed-end management investment company that has elected to be regulated as a business development company under the Investment Company A |
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| May 19, 2021 |
First Eagle Alternative Capital BDC Announces Redemption of 6.75% Notes due 2022 EX-99.1 2 d575037dex991.htm EX-99.1 Exhibit 99.1 First Eagle Alternative Capital BDC Announces Redemption of 6.75% Notes due 2022 BOSTON – May 19, 2021 – First Eagle Alternative Capital BDC, Inc. (NASDAQ: FCRD) (“First Eagle Alternative Capital BDC” or the “Company”), a direct lender to middle market companies, today announced that it will redeem all of its outstanding 6.75% Notes due 2022 (the “2 |
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| May 18, 2021 |
First Eagle Alternative Capital BDC, Inc. 5.00% Notes Due 2026 Pricing Term Sheet May 18, 2021 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated May 18, 2021 Relating to Preliminary Prospectus Supplement dated May 18, 2021 and Prospectus dated December 11, 2020 Registration No. |
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| May 18, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K/A Amendment No. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K/A Amendment No. |
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| May 18, 2021 |
Subject to Completion dated May 18, 2021 Table of Contents This prospectus supplement relates to an effective registration statement under the Securities Act of 1933, but is not complete and may be changed. |
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| May 6, 2021 |
Quarterly Report - FCRD Q1 2021 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| May 6, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 6, 2021 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporatio |
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| May 6, 2021 |
Exhibit 99.1 First Eagle Alternative Capital BDC Reports First Quarter 2021 Financial Results and Declares a Dividend of $0.10 Per Share BOSTON ? May 6, 2021 ? First Eagle Alternative Capital BDC, Inc. (NASDAQ: FCRD) (?First Eagle Alternative Capital BDC? or the ?Company?), a direct lender to middle market companies, today announced financial results for its first fiscal quarter ended March 31, 20 |
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| April 26, 2021 |
April 26, 2021 VIA EDGAR Yoon Y. Choo Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: First Eagle Alternative Capital BDC, Inc. Preliminary Proxy Statement Filed on April 13, 2021 File Number: 814-00789 Dear Ms. Choo: On behalf of First Eagle Alternative Capital BDC, Inc., a Delaware corporation (the ?Company?), we hereby respond t |
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| April 26, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Under ? 240. |
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| April 13, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Under ? 240. |
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| March 5, 2021 |
Exhibit 99.1 First Eagle Logan JV LLC (A Delaware Limited Liability Company) Consolidated Financial Statements for the years ended December 31, 2020, 2019, and 2018 First Eagle Logan JV LLC (A Delaware Limited Liability Company) Table of Contents Page(s) Report of Independent Auditors 1 Financial Statements: Consolidated Statements of Assets, Liabilities and Members? Capital 2 Consolidated Stateme |
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| March 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| March 5, 2021 |
Description of First Eagle Alternative Capital BDC, Inc.’s Registered Securities* Exhibit 4.7 Description of First Eagle Alternative Capital BDC, Inc.?s Registered Securities DESCRIPTION OF OUR CAPITAL STOCK The following description summarizes the material provisions of the Delaware General Corporation Law and our amended and restated certificate of incorporation (?certificate of incorporation?) and bylaws, as amended (?bylaws?) of First Eagle Alternative Capital BDC, Inc. (th |
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| March 4, 2021 |
EX-99.1 2 d123385dex991.htm EX-99.1 Exhibit 99.1 First Eagle Alternative Capital BDC Reports Fourth Quarter 2020 Financial Results and Declares a Dividend of $0.10 Per Share BOSTON – March 4, 2021 – First Eagle Alternative Capital BDC, Inc. (NASDAQ: FCRD) (“First Eagle Alternative Capital BDC” or the “Company”), a direct lender to middle market companies, today announced financial results for its |
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| March 4, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 4, 2021 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporat |
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| February 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 872438106 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate bo |
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| January 20, 2021 |
First Eagle Alternative Credit COO & CFO Terry Olson to Retire EX-99.1 Exhibit 99.1 First Eagle Alternative Credit COO & CFO Terry Olson to Retire BOSTON, January 20, 2021—First Eagle Alternative Credit, LLC today announced that Terry Olson, chief operating officer and chief financial officer, has elected to retire effective June 30, 2021. The Company will implement a plan that includes a search to identify a replacement CFO and transition of Olson’s operatin |
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| January 20, 2021 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 13, 2021 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of inc |
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| January 7, 2021 |
40-33 Simpson Thacher & Bartlett LLP 900 G STREET, NW WASHINGTON, D.C. 20001 TELEPHONE: +1-202-636-5500 FACSIMILE: +1-202-636-5502 Direct Dial Number E-mail Address +1-202-636-5592 [email protected] January 7, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: Form 40-33 – Civil Action Documents Filed Wit |
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| January 5, 2021 |
Regulation FD Disclosure - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 4, 2021 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of inco |
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| December 22, 2020 |
Regulation FD Disclosure - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 21, 2020 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of in |
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| December 3, 2020 |
Simpson Thacher & Bartlett LLP Simpson Thacher & Bartlett LLP 425 LEXINGTON AVENUE NEW YORK, NY 10017 TELEPHONE: +1-212-455-2000 FACSIMILE: +1-212-455-2502 Direct Dial Number (202) 636-5592 E-mail Address steven. |
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| December 1, 2020 |
10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K/A Amendment No. |
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| December 1, 2020 |
EX-99.1 Exhibit 99.1 OEM Group, LLC and Subsidiaries Consolidated Financial Report December 31, 2019 Contents Independent auditor’s report 1-2 Financial statements Consolidated balance sheets 3 Consolidated statements of operations and comprehensive loss 4 Consolidated statements of members’ deficit 5 Consolidated statements of cash flows 6-7 Notes to consolidated financial statements 8-18 Indepen |
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| November 4, 2020 |
EX-99.1 Exhibit 99.1 First Eagle Alternative Capital BDC Reports Third Quarter 2020 Financial Results and Declares a Dividend of $0.10 Per Share BOSTON – November 4, 2020 – First Eagle Alternative Capital BDC, Inc. (formerly known as THL Credit, Inc.) (NASDAQ: FCRD) (“First Eagle Alternative Capital BDC” or the “Company”), a direct lender to middle market companies, today announced financial resul |
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| November 4, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 4, 2020 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of inc |
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| November 4, 2020 |
Quarterly Report - 10-Q Q3 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| October 20, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 20, 2020 FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of inc |
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| October 20, 2020 |
EX-10.1 Exhibit 10.1 EXECUTION VERSION THIRD AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of October 16, 2020 among FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (F/K/A THL CREDIT, INC.) as Borrower The LENDERS Party Hereto and ING CAPITAL LLC as Administrative Agent, Arranger and Bookrunner TABLE OF CONTENTS Page ARTICLE I DEFINITIONS SECTION 1.01. Defined Terms 1 SECTION 1 |
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| August 6, 2020 |
EX-3.2 Exhibit 3.2 SECOND AMENDED AND RESTATED BY-LAWS OF FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. Adopted as of August 3, 2020 TABLE OF CONTENTS Page ARTICLE I STOCKHOLDER MEETINGS 1 1.1 Place 1 1.2 Annual Meeting 1 1.3 Notice 3 1.4 Chairman 4 1.5 Proxies; Voting 4 1.6 Inspectors of Election 4 1.7 Records at Stockholder Meetings 4 1.8 Quorum at Stockholder Meetings 5 1.9 Record Date for Action b |
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| August 6, 2020 |
EX-99.1 Exhibit 99.1 First Eagle Alternative Capital BDC Reports Second Quarter 2020 Financial Results and Declares a Dividend of $0.10 Per Share BOSTON – August 6, 2020 – First Eagle Alternative Capital BDC, Inc. (formerly known as THL Credit, Inc.) (NASDAQ: FCRD) (“First Eagle Alternative Capital BDC” or the “Company”), a direct lender to middle market companies, today announced financial result |
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| August 6, 2020 |
EX-3.1 Exhibit 3.1 THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF THL CREDIT, INC. THL Credit, Inc. (the “Corporation”), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “DGCL”), hereby certifies as follows: (1) The name of the Corporation is THL Credit, Inc. (2) The name under which the Corporation was originally inc |
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| August 6, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 6, 2020 (August 3, 2020) FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other juri |
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| August 6, 2020 |
Quarterly Report - 10-Q (Q2 2020) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| July 24, 2020 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 24, 2020 (July 23, 2020) THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation o |
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| July 24, 2020 |
THL Credit, Inc. Announces Name Change to First Eagle Alternative Capital BDC, Inc. EX-99.1 Exhibit 99.1 THL Credit, Inc. Announces Name Change to First Eagle Alternative Capital BDC, Inc. BOSTON, July 23, 2020 (GLOBE NEWSWIRE) — THL Credit, Inc. (the “Company”) (NASDAQ: TCRD), announced today that it is changing its name, ticker, CUSIP and website in connection with the approval of a new advisory agreement (the “New Advisory Agreement”) between the Company and First Eagle Altern |
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| July 23, 2020 |
EX-99.(a)(5)(iii) Exhibit (a)(5)(iii) THL Credit, Inc. Announces Expiration and Final Results of Modified Dutch Auction Tender Offer to Repurchase up to $20.0 Million of its Common Stock BOSTON, July 23, 2020 — THL Credit, Inc. (Nasdaq: TCRD) (the “Company”) today announced its final results from its modified “Dutch Auction” tender offer (the “Tender Offer”). The Company’s Tender Offer expired at |
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| July 23, 2020 |
SC TO-I/A As filed with the Securities and Exchange Commission on July 23, 2020 SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 22, 2020 |
EX-99.(A)(5)(II) 2 d908799dex99a5ii.htm EX-99.(A)(5)(II) Exhibit (a)(5)(ii) THL Credit, Inc. Announces Expiration and Preliminary Results of Modified Dutch Auction Tender Offer to Repurchase up to $20.0 Million of its Common Stock BOSTON, July 22, 2020 — THL Credit, Inc. (Nasdaq: TCRD) (the “Company”) today announced its preliminary results from its modified “Dutch Auction” tender offer (the “Tend |
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| July 22, 2020 |
SC TO-I/A As filed with the Securities and Exchange Commission on July 22, 2020 SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 30, 2020 |
10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K/A Amendment No. |
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| June 24, 2020 |
Submission of Matters to a Vote of Security Holders 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 24, 2020 (June 22, 2020) THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation o |
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| June 23, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 23, 2020 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organization) |
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| June 23, 2020 |
EX-99.(a)(1)(D) Exhibit (a)(1)(D) THL CREDIT, INC. Offer to Purchase for Cash Up to $20,000,000 of Shares of its Common Stock At a Purchase Price Not Less Than $3.25 Per Share and Not More Than $3.75 per Share THE TENDER OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 11:59 P.M. EASTERN TIME, ON JULY 21, 2020, UNLESS THE TENDER OFFER IS EXTENDED OR TERMINATED. June 23, 2020 To Our Cli |
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| June 23, 2020 |
EX-99.(a)(1)(B) Exhibit (a)(1)(B) LETTER OF TRANSMITTAL TO TENDER SHARES OF COMMON STOCK OF THL CREDIT, INC. IN CONNECTION WITH ITS OFFER TO PURCHASE FOR CASH UP TO $20,000,000 OF SHARES OF ITS COMMON STOCK AT A PURCHASE PRICE OF NOT LESS THAN $3.25 PER SHARE AND NOT MORE THAN $3.75 PER SHARE THE TENDER OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 11:59 P.M. EASTERN TIME, ON JULY 2 |
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| June 23, 2020 |
EX-99.(a)(5) Exhibit (a)(5) THL Credit, Inc. Will Commence a Modified Dutch Auction Tender Offer to Repurchase up to $20.0 Million of its Common Stock BOSTON, June 23, 2020 — THL Credit, Inc. (Nasdaq: TCRD) (the “Company”) announced today that it will commence a modified “Dutch Auction” tender offer (the “Tender Offer”) to purchase up to $20.0 million of its common stock at a price per share not l |
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| June 23, 2020 |
EX-99.(a)(1)(A) Exhibit (a)(1)(A) THL CREDIT, INC. Offer to Purchase for Cash up to $20,000,000 of its Common Stock At a Purchase Price Not Less Than $3.25 and Not More Than $3.75 Per Share THE TENDER OFFER, THE PRORATION PERIOD AND WITHDRAWAL RIGHTS EXPIRE AT 11:59 P.M. EASTERN TIME, ON JULY 21, 2020, UNLESS THE TENDER OFFER IS EXTENDED. THL Credit, Inc., an externally managed, non-diversified cl |
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| June 23, 2020 |
EX-99.(a)(1)(C) Exhibit (a)(1)(C) THL CREDIT, INC. Offer to Purchase for Cash Up to $20,000,000 of Shares of its Common Stock At a Purchase Price Not Less Than $3.25 Per Share and Not More Than $3.75 per Share THE TENDER OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 11:59 P.M. EASTERN TIME, ON JULY 21, 2020, UNLESS THE TENDER OFFER IS EXTENDED OR TERMINATED. June 23, 2020 To Brokers |
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| June 23, 2020 |
SC TO-I As filed with the Securities and Exchange Commission on June 23, 2020 SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 23, 2020 |
EX-99.1 Exhibit 99.1 THL Credit, Inc. Will Commence a Modified Dutch Auction Tender Offer to Repurchase up to $20.0 Million of its Common Stock BOSTON, June 23, 2020 — THL Credit, Inc. (Nasdaq: TCRD) (the “Company”) announced today that it will commence a modified “Dutch Auction” tender offer (the “Tender Offer”) to purchase up to $20.0 million of its common stock at a price per share not less tha |
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| June 1, 2020 |
TCRX / THL Credit, Inc. / First Eagle Holdings, Inc. - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* THL CREDIT, INC. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 872438106 (CUSIP Number) David O’Connor First Eagle Investment Management, LLC 1345 Avenue of the Americas New York, NY 10105 (212) 698-3300 (Name, Addre |
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| June 1, 2020 |
TCRX / THL Credit, Inc. / THLP Debt Partners, L.P. - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 THL CREDIT, INC. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 872438106 (CUSIP Number) Shari H. Wolkon 100 Federal Street, 35th Floor Boston, MA 02110 (617) 227-1050 (Name, Address and Telephone Number of Person Authorized to Receive Notices a |
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| May 29, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 28, 2020 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organization) ( |
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| May 7, 2020 |
THL Credit Reports First Quarter 2020 Financial Results and Declares Dividend of $0.10 Per Share EX-99.1 Exhibit 99.1 THL Credit Reports First Quarter 2020 Financial Results and Declares Dividend of $0.10 Per Share BOSTON – May 7, 2020 – THL Credit, Inc. (NASDAQ: TCRD) (“THL Credit” or the “Company”), a direct lender to middle market companies, today announced financial results for its first fiscal quarter ended March 31, 2020. Additionally, THL Credit announced that its Board of Directors (t |
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| May 7, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 7, 2020 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organization) (C |
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| May 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| April 29, 2020 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Under § 240. |
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| April 29, 2020 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material Under § 240. |
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| April 27, 2020 |
Exhibit 4 March 26, 2020 THLP Debt Partners, L.P. 100 Federal Street Boston, MA 02110 THL Credit, Inc. 100 Federal Street, 31st Floor Boston, MA 02110 Re: Investment in THL Credit, Inc. This standstill agreement (this “Standstill Agreement”), dated as of March 26, 2020, is entered into by and between THL Credit, Inc., a Delaware corporation (the “BDC”) and THLP Debt Partners, L.P., a Delaware limi |
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| April 27, 2020 |
Exhibit 3 SUBSCRIPTION AGREEMENT THIS SUBSCRIPTION AGREEMENT (this “Agreement”) is entered into as of April 17, 2020, by and between THL CREDIT, INC. |
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| April 27, 2020 |
TCRX / THL Credit, Inc. / THLP Debt Partners, L.P. - SC 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 THL CREDIT, INC. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 872438106 (CUSIP Number) Shari H. Wolkon 100 Federal Street, 35th Floor Boston, MA 02110 (617) 227-1050 (Name, Address and Telephone Number of Person Authorized to Receive Notices a |
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| April 23, 2020 |
Simpson Thacher & Bartlett LLP 900 G STREET, NW WASHINGTON, D.C. 20001 TELEPHONE: +1-202-636-5500 FACSIMILE: +1-202-636-5502 April 23, 2020 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, N.W. Washington, D.C. 20549 Attn: John Grzeskiewicz Re: THL Credit, Inc. Dear Mr. Grzeskiewicz: On behalf of THL Credit, Inc. (the “Company”), we are providing the fol |
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| April 23, 2020 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 22, 2020 |
Financial Statements and Exhibits 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 21, 2020 (April 17, 2020) THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation |
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| April 22, 2020 |
EX-10.1 Exhibit 10.1 March 26, 2020 THLP Debt Partners, L.P. 100 Federal Street Boston, MA 02110 THL Credit, Inc. 100 Federal Street, 31st Floor Boston, MA 02110 Re: Investment in THL Credit, Inc. This standstill agreement (this “Standstill Agreement”), dated as of March 26, 2020, is entered into by and between THL Credit, Inc., a Delaware corporation (the “BDC”) and THLP Debt Partners, L.P., a De |
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| April 22, 2020 |
ARTICLE I PURCHASE AND SALE; CLOSING ARTICLE II REPRESENTATIONS AND WARRANTIES EX-99.1 Exhibit 99.1 SUBSCRIPTION AGREEMENT THIS SUBSCRIPTION AGREEMENT (this “Agreement”) is entered into as of [ ], 2020, by and between THL CREDIT, INC., a Delaware corporation (the “Company”), and [ ][, a [ ]] (“Purchaser”). W I T N E S S E T H WHEREAS, the Company desires to issue, and Purchaser desires to subscribe for, shares of the Company’s common stock, par value $0.001 per share (the “C |
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| April 21, 2020 |
TCRX / THL Credit, Inc. / First Eagle Holdings, Inc. - SC 13D/A: AMENDMENT #1 Activist Investment SC 13D/A: AMENDMENT #1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* THL CREDIT, INC. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 872438106 (CUSIP Number) David O’Connor First Eagle Investment Management, LLC 1345 Avenue of the Americas New York, NY 10105 (212) 698-330 |
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| April 21, 2020 |
SCHEDULE 13D CUSIP No. 872438106 JOINT FILING AGREEMENT EX-99.1 Exhibit 99.1 SCHEDULE 13D CUSIP No. 872438106 JOINT FILING AGREEMENT The persons below hereby agree that this Amendment to which this agreement is attached as an exhibit, as well as all future amendments to the Statement, shall be filed jointly on behalf of each of them. This agreement is intended to satisfy the requirements of Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 193 |
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| April 20, 2020 |
Report of PricewaterhouseCoopers LLP. EX-99.N.10 5 d919723dex99n10.htm EX-99.N.10 Exhibit n.10 Report of Independent Registered Public Accounting Firm To the Board of Directors and Stockholders of THL Credit, Inc.: We have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States), the consolidated statements of assets and liabilities, including the consolidated schedules of investments, |
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| April 20, 2020 |
Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 17, 2020 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organization) |
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| April 20, 2020 |
Consent of PricewaterhouseCoopers LLP. EX-99.N.7 Exhibit n.7 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of THL Credit, Inc. of our report dated March 5, 2020 relating to the financial statements, financial statement schedule and the effectiveness of internal control over financial reporting which appears in THL Credit, Inc.’s An |
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| April 20, 2020 |
EX-99.N.9 Exhibit n.9 Consent of Independent Auditors We consent to the incorporation by reference in this Prospectus Supplement of the Registration Statement (No. 333-217217) on Form N-2 of THL Credit, Inc. of our report dated March 13, 2020, relating to the consolidated financial statements of OEM Group, LLC and Subsidiaries as of and for the year ended December 31, 2019 and 2018, appearing in t |
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| April 20, 2020 |
TCRD / THL Credit, Inc. DEFA14A - - DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material Under § 240. |
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| April 20, 2020 |
TCRD / THL Credit, Inc. POS EX - - POS EX POS EX As filed with the Securities and Exchange Commission on April 17, 2020 Securities Act File No. |
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| April 20, 2020 |
THL Credit, Inc. Announces Pricing of $30 million Stock Issuance and Issues Letter to Stockholders EX-99.1 Exhibit 99.1 THL Credit, Inc. Announces Pricing of $30 million Stock Issuance and Issues Letter to Stockholders BOSTON – April 20, 2020 – On April 20, 2020 THL Credit, Inc. (NASDAQ: TCRD) (the “Company”) sent the following letter to its stockholders to provide notice of its $30 million stock issuance and a business and financial performance update. The full text of the letter follows: Apri |
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| April 20, 2020 |
EX-99.N.8 Exhibit n.8 CONSENT OF INDEPENDENT AUDITORS We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of THL Credit, Inc. of our report dated March 5, 2020 relating to the financial statements of THL Credit Logan JV LLC, which appears in THL Credit, Inc.’s Annual Report on Form 10-K for the year ended December 31, 2019. We also consent to the referenc |
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| April 20, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 20, 2020 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organization) |
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| April 15, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 15, 2020 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organization) |
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| April 15, 2020 |
EX-10.1 Exhibit 10.1 Execution Version AMENDMENT NO. 5 TO SECOND AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT This AMENDMENT NO. 5 (this “Amendment”) dated as of April 14, 2020 is made with respect to the Second Amended and Restated Senior Secured Revolving Credit Agreement, dated as of December 15, 2017 (as amended by that certain Amendment No. 1 to Second Amended and Restated S |
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| April 1, 2020 |
PRE 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 1, 2020 |
COVER Simpson Thacher & Bartlett LLP 900 G STREET, NW WASHINGTON, D.C. 20001 TELEPHONE: +1-202-636-5500 FACSIMILE: +1-202-636-5502 April 1, 2020 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attn: Filing Desk Re: THL Credit, Inc. (814-00789) Ladies and Gentlemen: On behalf of THL Credit, Inc. (the “Fund”), and pursuant to Rule 14a-6 under the Securities Exchang |
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| March 30, 2020 |
EX-99.3 8 d905476dex993.htm EX-99.3 Exhibit 99.3 COPPERWELD BIMETALLICS LLC AND SUBSIDIARY (A SUBSIDIARY OF THL CREDIT COPPERWELD HOLDINGS LLC) CONSOLIDATED FINANCIAL STATEMENTS DECEMBER 31, 2018 TABLE OF CONTENTS INDEPENDENT AUDITORS’ REPORT 1 CONSOLIDATED FINANCIAL STATEMENTS Consolidated Balance Sheet 2 Consolidated Statement of Comprehensive Income 3 Consolidated Statement of Changes in Member |
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| March 30, 2020 |
Financial Statements of OEM Group, LLC as of and for the year ended December 31, 2017 EX-99.2 Exhibit 99.2 OEM Group, LLC and Subsidiaries Consolidated Financial Report (Unaudited) December 31, 2017 Contents Financial statements Consolidated balance sheets 1 Consolidated statements of operations and comprehensive loss 2 Consolidated statements of members equity 3 Consolidated statements of cash flows 4 Notes to consolidated financial statements 5-16 OEM Group, LLC and Subsidiaries |
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| March 30, 2020 |
Financial Statements of Copperweld Bimetallics LLC as of and for the year ended December 31, 2017 EX-99.4 Exhibit 99.4 COPPERWELD BIMETALLICS LLC AND SUBSIDIARY (A SUBSIDIARY OF THL CREDIT COPPERWELD HOLDINGS LLC) CONSOLIDATED FINANCIAL STATEMENTS (UNAUDITED) DECEMBER 31, 2017 AND 2016 COPPERWELD BIMETALLICS LLC AND SUBSIDIARY (A SUBSIDIARY OF THL CREDIT COPPERWELD HOLDINGS LLC) CONSOLIDATED BALANCE SHEETS AS OF DECEMBER 31, 2017 AND 2016 2017 2016 Assets Current Assets Cash and cash equivalen |
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| March 30, 2020 |
and the amendment thereto filed on March 30, 2020 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K/A Amendment No. |
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| March 30, 2020 |
EX-99.1 Exhibit 99.1 OEM Group, LLC and Subsidiaries Consolidated Financial Report December 31, 2019 and 2018 Contents Independent auditor’s report 1 Financial statements Consolidated balance sheets 2 Consolidated statements of operations and comprehensive loss 3 Consolidated statements of members’ deficit 4 Consolidated statements of cash flows 5-6 Notes to consolidated financial statements 7-18 |
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| March 26, 2020 |
Exhibit 99.2 March 3, 2020 First Eagle Investment Management, LLC 1345 Avenue of the Americas New York, NY 10105 Re: Investment in the BDC This amended and restated letter agreement (this “A&R Letter Agreement”), dated as of March 3, 2020, is entered into by and among First Eagle Investment Management, LLC, a Delaware limited liability company (“Parent”), THLP Debt Partners, L.P., a Delaware limit |
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| March 26, 2020 |
TCRX / THL Credit, Inc. / First Eagle Holdings, Inc. - SC 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* THL CREDIT, INC. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 872438106 (CUSIP Number) David O’Connor First Eagle Investment Management, LLC 1345 Avenue of the Americas New York, NY 10105 (212) 698-3300 (Name, Address and Tel |
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| March 26, 2020 |
Exhibit 99.1 JOINT FILING AGREEMENT The persons below hereby agree that the Schedule 13D to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13D, shall be filed jointly on behalf of each of them. This agreement is intended to satisfy the requirements of Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934. Dated: March 26, 2020 FIRST EAGL |
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| March 13, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 13, 2020 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organization) |
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| March 13, 2020 |
EX-10.1 Exhibit 10.1 Execution Version AMENDMENT NO. 4 TO SECOND AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT This AMENDMENT NO. 4 (this “Amendment”) dated as of March 13, 2020, is made with respect to the Second Amended and Restated Senior Secured Revolving Credit Agreement, dated as of December 15, 2017 (as amended by that certain Amendment No. 1 to Second Amended and Restated |
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| March 6, 2020 |
TCRD / THL Credit, Inc. SC TO-C - - SC TO-C SC TO-C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule TO Tender Offer Statement under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 THL Credit, Inc. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Common Stock, par value $0.001 (Title of Class of Securities) 872438106 (CUSIP Number of Class of Securities) Christopher J. Flynn |
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| March 6, 2020 |
EX-99.1 Exhibit 99.1 The following is an excerpted transcript from THL Credit, Inc.’s (the “Company”) earnings conference call held on March 6, 2020. The following does not purport to be a complete or error-free statement or summary of the excerpt. Christopher J. Flynn, Chief Executive Officer: As noted in our earnings release and 8-K filed yesterday, with the support of First Eagle and the former |
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| March 5, 2020 |
EX-10.1 Exhibit 10.1 First Eagle Alternative Credit, LLC 500 Boylston Street, Suite 1250 Boston, MA 02116 March 3, 2020 Christopher J. Flynn Chief Executive Officer THL Credit, Inc. 100 Federal Street, 31st Floor Boston, MA 02110 Re: Waiver of Incentive Fee and Base Management Fee Dear Mr. Flynn: Reference is hereby made to the proposed Investment Management Agreement approved by the Board of Dire |
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| March 5, 2020 |
EX-10.1 Exhibit 10.1 First Eagle Alternative Credit, LLC 500 Boylston Street, Suite 1250 Boston, MA 02116 March 3, 2020 Christopher J. Flynn Chief Executive Officer THL Credit, Inc. 100 Federal Street, 31st Floor Boston, MA 02110 Re: Waiver of Incentive Fee and Base Management Fee Dear Mr. Flynn: Reference is hereby made to the proposed Investment Management Agreement approved by the Board of Dire |
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| March 5, 2020 |
EX-10.2 Exhibit 10.2 March 3, 2020 THL Credit, Inc. 100 Federal St., 31st Floor Boston, MA 02110 Re: Commitment to Invest in THL Credit, Inc. (the “Company”) This commitment letter agreement (this “Commitment Letter”), dated as of March 3, 2020 is entered into by and among the Company, a Delaware corporation, and First Eagle Investment Management, LLC, a Delaware limited liability company (“FEIM”) |
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| March 5, 2020 |
THL Credit Reports Fourth Quarter 2019 Financial Results and Declares a Dividend of $0.21 Per Share EX-99.1 4 d859645dex991.htm EX-99.1 Exhibit 99.1 THL Credit Reports Fourth Quarter 2019 Financial Results and Declares a Dividend of $0.21 Per Share BOSTON – March 5, 2020 – THL Credit, Inc. (NASDAQ: TCRD) (“THL Credit” or the “Company”), a direct lender to middle market companies, today announced financial results for its fourth fiscal quarter and year ended Dec. 31, 2019. Additionally, THL Credi |
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| March 5, 2020 |
Exhibit 10.10 Execution Version AMENDMENT NO. 3 TO SECOND AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT This AMENDMENT NO. 3 (this “Amendment”) dated as of January 14, 2020, is made with respect to the Second Amended and Restated Senior Secured Revolving Credit Agreement, dated as of December 15, 2017 (as amended by that certain Amendment No. 1 to Second Amended and Restated Senio |
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| March 5, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 5, 2020 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organization) |
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| March 5, 2020 |
Press Release, dated March 5, 2020 EX-99.1 Exhibit 99.1 THL Credit Reports Fourth Quarter 2019 Financial Results and Declares a Dividend of $0.21 Per Share BOSTON – March 5, 2020 – THL Credit, Inc. (NASDAQ: TCRD) (“THL Credit” or the “Company”), a direct lender to middle market companies, today announced financial results for its fourth fiscal quarter and year ended Dec. 31, 2019. Additionally, THL Credit announced that its Board o |
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| March 5, 2020 |
Exhibit 99.1 THL Credit Logan JV LLC (A Delaware Limited Liability Company) Consolidated Financial Statements for the years ended December 31, 2019, 2018, and 2017 THL Credit Logan JV LLC (A Delaware Limited Liability Company) Table of Contents Page(s) Report of Independent Auditors 1 Financial Statements: Consolidated Statements of Assets, Liabilities and Members’ Capital 2 Consolidated Statement |
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| March 5, 2020 |
Description of THL Credit, Inc.’s Registered Securities* EX-4.7 2 tcrd-ex47506.htm EX-4.7 Exhibit 4.7 Description of THL Credit, Inc.’s Registered Securities DESCRIPTION OF OUR CAPITAL STOCK The following description summarizes the material provisions of the Delaware General Corporation Law and our amended and restated certificate of incorporation (“certificate of incorporation”) and bylaws, as amended (“bylaws”) of THL Credit Inc. (the “Company,” “we,” |
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| March 5, 2020 |
EX-10.2 3 d859645dex102.htm EX-10.2 Exhibit 10.2 March 3, 2020 THL Credit, Inc. 100 Federal St., 31st Floor Boston, MA 02110 Re: Commitment to Invest in THL Credit, Inc. (the “Company”) This commitment letter agreement (this “Commitment Letter”), dated as of March 3, 2020 is entered into by and among the Company, a Delaware corporation, and First Eagle Investment Management, LLC, a Delaware limite |
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| March 5, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| March 5, 2020 |
TCRD / THL Credit, Inc. SC TO-C - - SC TO-C SC TO-C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 5, 2020 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organizati |
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| February 14, 2020 |
TCRX / THL Credit, Inc. / COOPERMAN LEON G - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* THL CREDIT, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 872438106 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| February 4, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 31, 2020 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organizatio |
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| February 4, 2020 |
TCRD / THL Credit, Inc. DEFA14A - - DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 31, 2020 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organiz |
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| February 4, 2020 |
EX-10.2 Exhibit 10.2 ADMINISTRATION AGREEMENT This Administration Agreement (this “Agreement”) made as of January 31, 2020 by and between THL Credit, Inc., a Delaware corporation (hereinafter referred to as the “Corporation”), and First Eagle Alternative Credit, LLC, formerly known as THL Credit Advisors LLC, a Delaware limited liability company (hereinafter referred to as the “Administrator”). W |
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| February 4, 2020 |
EX-10.1 2 d823556dex101.htm EX-10.1 Exhibit 10.1 INTERIM INVESTMENT MANAGEMENT AGREEMENT This Interim Investment Management Agreement (the “Agreement”), dated as of January 31, 2020, is between THL Credit, Inc., a Delaware corporation (the “Corporation”), and First Eagle Alternative Credit, LLC, formerly known as THL Credit Advisors LLC (the “Advisor”), a Delaware limited liability company. WHEREA |
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| February 4, 2020 |
EX-10.2 Exhibit 10.2 ADMINISTRATION AGREEMENT This Administration Agreement (this “Agreement”) made as of January 31, 2020 by and between THL Credit, Inc., a Delaware corporation (hereinafter referred to as the “Corporation”), and First Eagle Alternative Credit, LLC, formerly known as THL Credit Advisors LLC, a Delaware limited liability company (hereinafter referred to as the “Administrator”). W |
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| February 4, 2020 |
EX-10.1 Exhibit 10.1 INTERIM INVESTMENT MANAGEMENT AGREEMENT This Interim Investment Management Agreement (the “Agreement”), dated as of January 31, 2020, is between THL Credit, Inc., a Delaware corporation (the “Corporation”), and First Eagle Alternative Credit, LLC, formerly known as THL Credit Advisors LLC (the “Advisor”), a Delaware limited liability company. WHEREAS, the Advisor has agreed to |
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| December 18, 2019 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 17, 2019 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organizati |
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| December 9, 2019 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 8, 2019 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organizatio |
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| December 9, 2019 |
First Eagle Investment Management Agrees to Acquire Alternative Credit Manager THL Credit EX-99.1 Exhibit 99.1 First Eagle Investment Management Agrees to Acquire Alternative Credit Manager THL Credit NEW YORK December 8, 2019 — First Eagle Investment Management, LLC (“First Eagle”) and THL Credit Advisors LLC (“THL Credit”) today announced that they have entered into a definitive agreement for First Eagle to acquire THL Credit, a leading alternative credit manager with approximately $ |
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| November 4, 2019 |
TCRD / THL Credit, Inc. 10-Q - Quarterly Report - Q3 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| November 4, 2019 |
THL Credit Reports Third Quarter 2019 Financial Results and Declares a Dividend of $0.21 Per Share EX-99.1 Exhibit 99.1 THL Credit Reports Third Quarter 2019 Financial Results and Declares a Dividend of $0.21 Per Share BOSTON – November 4, 2019 – THL Credit, Inc. (NASDAQ: TCRD) (“THL Credit” or the “Company”), a direct lender to middle market companies, today announced financial results for its third fiscal quarter ended September 30, 2019. Additionally, THL Credit announced that its Board of D |
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| November 4, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 4, 2019 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organizatio |
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| August 8, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 8, 2019 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organization) |
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| August 8, 2019 |
THL Credit Reports Second Quarter 2019 Financial Results and Declares a Dividend of $0.21 Per Share EX-99.1 Exhibit 99.1 THL Credit Reports Second Quarter 2019 Financial Results and Declares a Dividend of $0.21 Per Share BOSTON – August 8, 2019 – THL Credit, Inc. (NASDAQ: TCRD) (“THL Credit” or the “Company”), a direct lender to middle market companies, today announced financial results for its second fiscal quarter ended June 30, 2019. Additionally, THL Credit announced that its Board of Direct |
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| August 8, 2019 |
TCRD / THL Credit, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| August 7, 2019 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.n.1 Exhibit n.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-2 of THL Credit, Inc. of our report dated March 6, 2019 relating to the financial statements, financial statement schedule and the effectiveness of internal control over financial reporting of THL Credit, Inc., and our report dated March 6, 2019 relat |
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| August 7, 2019 |
Consent of Independent Public Accounting Firm EX-99.n.4 Exhibit n.4 Consent of Independent Public Accounting Firm We consent to the use in this Post-Effective Amendment No. 5 to the Registration Statement on Form N-2 of THL Credit, Inc. of our report dated May 3, 2019, relating to the consolidated financial statements of OEM Group, LLC and Subsidiaries as of and for the year ended December 31, 2018, appearing in the Prospectus, which is part |
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| August 7, 2019 |
Report of Independent Registered Public Accounting Firm EX-99.n.6 Exhibit n.6 Report of Independent Registered Public Accounting Firm To the Board of Directors and Stockholders of THL Credit, Inc.: We have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States), the consolidated statements of assets and liabilities, including the consolidated schedules of investments, of THL Credit, Inc. and its subsid |
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| August 7, 2019 |
CONSENT OF INDEPENDENT PUBLIC ACCOUNTING FIRM EX-99.n.5 Exhibit n.5 CONSENT OF INDEPENDENT PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-2 of THL Credit, Inc. of our report dated March 5, 2019 relating to the consolidated financial statements of Copperweld Bimetallics, LLC and Subsidiary. We also consent to the references to us under the headings “Expert” in such Registration Statement. /s/ Angli |
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| August 7, 2019 |
CONSENT OF INDEPENDENT ACCOUNTANTS EX-99.N.3 3 d788704dex99n3.htm EX-99.N.3 Exhibit n.3 CONSENT OF INDEPENDENT ACCOUNTANTS We hereby consent to the use in this Registration Statement on Form N-2 of THL Credit, Inc. of our report dated March 6, 2019 relating to the financial statements of THL Credit Logan JV LLC, which appears in this Registration Statement. We also consent to the reference to us under the heading “Experts” in such |
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| August 7, 2019 |
POS 8C Table of Contents As filed with the Securities and Exchange Commission on August 7, 2019 Securities Act File No. |
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| June 19, 2019 |
EX-99.g.2 Exhibit g.2 AMENDED AND RESTATED INVESTMENT MANAGEMENT AGREEMENT This Amended and Restated Agreement (the “Agreement”), dated as of June 14, 2019, between THL Credit, Inc., a Delaware corporation (the “Corporation”), and THL Credit Advisors LLC (the “Advisor”), a Delaware limited liability company amends and restates that certain Investment Management Agreement dated April 1, 2010 among |
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| June 19, 2019 |
Consent of Independent Public Accounting Firm EX-99.N.4 5 d764877dex99n4.htm EX-99.N.4 Exhibit n.4 Consent of Independent Public Accounting Firm We consent to the use in this Post-Effective Amendment No. 4 to the Registration Statement on Form N-2 of THL Credit, Inc. of our report dated May 3, 2019, relating to the consolidated financial statements of OEM Group, LLC and Subsidiaries as of and for the year ended December 31, 2018, appearing in |
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| June 19, 2019 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.N.1 3 d764877dex99n1.htm EX-99.N.1 Exhibit n.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-2 of THL Credit, Inc. of our report dated March 6, 2019 relating to the financial statements, financial statement schedule and the effectiveness of internal control over financial reporting of THL Credit, Inc., and our r |
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| June 19, 2019 |
CONSENT OF INDEPENDENT ACCOUNTANTS EX-99.n.3 Exhibit n.3 CONSENT OF INDEPENDENT ACCOUNTANTS We hereby consent to the use in this Registration Statement on Form N-2 of THL Credit, Inc. of our report dated March 6, 2019 relating to the financial statements of THL Credit Logan JV LLC, which appears in this Registration Statement. We also consent to the reference to us under the heading “Experts” in such Registration Statement. /s/ Pri |
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| June 19, 2019 |
POS 8C Table of Contents As filed with the Securities and Exchange Commission on June 19, 2019 Securities Act File No. |
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| June 19, 2019 |
CONSENT OF INDEPENDENT PUBLIC ACCOUNTING FIRM EX-99.N.5 6 d764877dex99n5.htm EX-99.N.5 Exhibit n.5 CONSENT OF INDEPENDENT PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-2 of THL Credit, Inc. of our report dated March 5, 2019 relating to the consolidated financial statements of Copperweld Bimetallics, LLC and Subsidiary. We also consent to the references to us under the headings “Expert” in such Re |
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| June 17, 2019 |
Submission of Matters to a Vote of Security Holders 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 17, 2019 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organization) |
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| May 24, 2019 |
Financial Statements of OEM Group, LLC as of and for the year ended December 31, 2017 and 2016* EX-99.2 Exhibit 99.2 OEM Group, LLC and Subsidiaries Consolidated Financial Report (Unaudited) December 31, 2017 Contents Financial statements Consolidated balance sheets 1 Consolidated statements of operations and comprehensive loss 2 Consolidated statements of members’ equity 3 Consolidated statements of cash flows 4 Notes to consolidated financial statements 5-16 OEM Group, LLC and Subsidiaries |
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| May 24, 2019 |
EX-99.4 9 d753940dex994.htm EX-99.4 Exhibit 99.4 COPPERWELD BIMETALLICS LLC AND SUBSIDIARY (A SUBSIDIARY OF THL CREDIT COPPERWELD HOLDINGS LLC) CONSOLIDATED FINANCIAL STATEMENTS (UNAUDITED) DECEMBER 31, 2017 AND 2016 COPPERWELD BIMETALLICS LLC AND SUBSIDIARY (A SUBSIDIARY OF THL CREDIT COPPERWELD HOLDINGS LLC) CONSOLIDATED BALANCE SHEETS AS OF DECEMBER 31, 2017 AND 2016 2017 2016 Assets Current As |
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| May 24, 2019 |
Financial Statements of OEM Group, LLC as of and for the year ended December 31, 2018 (audited)* EX-99.1 6 d753940dex991.htm EX-99.1 Exhibit 99.1 OEM Group, LLC and Subsidiaries Consolidated Financial Report December 31, 2018 Contents Independent auditor’s report 1 Financial statements Consolidated balance sheet 2 Consolidated statement of operations and comprehensive loss 3 Consolidated statement of members’ deficit 4 Consolidated statement of cash flows 5-6 Notes to consolidated financial s |
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| May 24, 2019 |
EX-99.3 8 d753940dex993.htm EX-99.3 Exhibit 99.3 COPPERWELD BIMETALLICS LLC AND SUBSIDIARY (A SUBSIDIARY OF THL CREDIT COPPERWELD HOLDINGS LLC) CONSOLIDATED FINANCIAL STATEMENTS DECEMBER 31, 2018 TABLE OF CONTENTS INDEPENDENT AUDITORS’ REPORT 1 CONSOLIDATED FINANCIAL STATEMENTS Consolidated Balance Sheet 2 Consolidated Statement of Comprehensive Income 3 Consolidated Statement of Changes in Member |
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| May 24, 2019 |
TCRD / THL Credit, Inc. 10-K/A - Annual Report - 10-K/A 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K/A Amendment No. |
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| May 21, 2019 |
TCRD / THL Credit, Inc. DEFA14A - - DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material Under § 240. |
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| May 9, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 9, 2019 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organization) (C |
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| May 9, 2019 |
THL Credit Reports First Quarter 2019 Financial Results and Declares a Dividend of $0.21 Per Share EX-99.1 Exhibit 99.1 THL Credit Reports First Quarter 2019 Financial Results and Declares a Dividend of $0.21 Per Share BOSTON – May 9, 2019 – THL Credit, Inc. (NASDAQ: TCRD) (“THL Credit” or the “Company”), a direct lender to middle market companies, today announced financial results for its first fiscal quarter ended March 31, 2019. Additionally, THL Credit announced that its Board of Directors |
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| May 9, 2019 |
TCRD / THL Credit, Inc. 10-Q Quarterly Report 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| May 3, 2019 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Under § 240. |
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| April 16, 2019 |
TCRD / THL Credit, Inc. PRE 14A PRE 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Under § 240. |
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| March 29, 2019 |
EX-10.1 Exhibit 10.1 AMENDMENT NO. 1 TO SECOND AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT AND THIRD AMENDED AND RESTATED GUARANTEE, PLEDGE AND SECURITY AGREEMENT This AMENDMENT NO. 1 (this “Amendment”) dated as of March 26, 2019, is made with respect to (i) the Second Amended and Restated Senior Secured Revolving Credit Agreement, dated as of December 15, 2017 (as amended, rest |
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| March 29, 2019 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 26, 2019 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organiza |
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| March 6, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 6, 2019 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organizat |
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| March 6, 2019 |
EX-99.1 Exhibit 99.1 THL Credit Reports Fourth Quarter 2018 Financial Results and Announces Adjustment of Quarterly Dividend to $0.21 Per Share BOSTON – March 6, 2019 – THL Credit, Inc. (NASDAQ: TCRD) (“THL Credit” or the “Company”), a direct lender to middle market companies, today announced financial results for its fourth fiscal quarter ended December 31, 2018. Additionally, THL Credit announce |
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| March 6, 2019 |
Exhibit 99.1 THL Credit Logan JV LLC (A Delaware Limited Liability Company) Consolidated Financial Statements for the years ended December 31, 2018, 2017, and 2016 THL Credit Logan JV LLC (A Delaware Limited Liability Company) Table of Contents December 31, 2018, 2017 and 2016 Page(s) Report of Independent Auditors 2 Financial Statements: Consolidated Statements of Assets, Liabilities and Members’ |
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| March 6, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| February 14, 2019 |
TCRD / THL Credit, Inc. / RIVERNORTH CAPITAL MANAGEMENT, LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* THL Credit, Inc. (Name of Issuer) Preferred (Title of Class of Securities) 872438304 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule i |
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| February 14, 2019 |
TCRX / THL Credit, Inc. / COOPERMAN LEON G - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* THL CREDIT, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 872438106 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| January 11, 2019 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 10, 2019 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organizatio |
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| January 11, 2019 |
EX-3.1 Exhibit 3.1 AMENDED AND RESTATED BY-LAWS OF THL CREDIT, INC. TABLE OF CONTENTS Page ARTICLE I STOCKHOLDER MEETINGS 1 1.1 Place 1 1.2 Annual Meeting 1 1.3 Notice 3 1.4 Chairman 4 1.5 Proxies; Voting 4 1.6 Inspectors of Election 4 1.7 Records at Stockholder Meetings 4 1.8 Quorum at Stockholder Meetings 4 1.9 Record Date for Action by Written Consent 5 1.10 Effectiveness of Written Consent 5 1 |
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| November 7, 2018 |
THL Credit Reports Third Quarter 2018 Financial Results and Declares a Dividend of $0.27 Per Share EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE THL Credit Reports Third Quarter 2018 Financial Results and Declares a Dividend of $0.27 Per Share BOSTON – November 7, 2018 – THL Credit, Inc. (NASDAQ: TCRD) (“THL Credit” or the “Company”), a direct lender to middle market companies, today announced financial results for its third fiscal quarter ended September 30, 2018. Additionally, THL Credit announc |
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| November 7, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 7, 2018 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organizatio |
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| November 7, 2018 |
TCRD / THL Credit, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| November 5, 2018 |
Termination of a Material Definitive Agreement Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report – November 5, 2018 (Date of earliest event reported) THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation) (Commi |
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| November 5, 2018 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 16, 2018, pursuant to the provisions of Rule 12d2-2 (a). |
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| October 5, 2018 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of The Securities Exchange Act of 1934 Date of Report – October 5, 2018 (Date of earliest event reported) THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation) (Commission |
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| October 5, 2018 |
TCRD / THL Credit, Inc. 8-A12B 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 27-0344947 (State or incorporation or organization) (I.R.S. Employer Identification Number) 100 Federal Stree |
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| October 5, 2018 |
POS EX As filed with the Securities and Exchange Commission on October 5, 2018 Securities Act File No. |
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| October 5, 2018 |
THL CREDIT, INC. (a Delaware corporation) 6.125% Notes due 2023 UNDERWRITING AGREEMENT EX-99.h.2 Exhibit h.2 THL CREDIT, INC. (a Delaware corporation) $50,000,000 6.125% Notes due 2023 UNDERWRITING AGREEMENT October 2, 2018 Keefe, Bruyette & Woods, Inc. as Representative of the several Underwriters c/o Keefe, Bruyette & Woods, Inc. 787 Seventh Avenue, 4th Floor New York, New York 10019 Ladies and Gentlemen: THL Credit, Inc., a Delaware corporation (the “Company”), and THL Credit Adv |
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| October 5, 2018 |
EX-99.d.12 Exhibit d.12 THIRD SUPPLEMENTAL INDENTURE between THL CREDIT, INC. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of October 5, 2018 THIRD SUPPLEMENTAL INDENTURE THIS THIRD SUPPLEMENTAL INDENTURE (this “Third Supplemental Indenture”), dated as of October 5, 2018, is between THL Credit, Inc., a Delaware corporation (the “Company”), and U.S. Bank National Association, as trustee |
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| October 5, 2018 |
EX-99.l.2 Exhibit l.2 Simpson Thacher & Bartlett LLP 425 LEXINGTON AVENUE NEW YORK, NY 10017-3954 TELEPHONE: +1-212-455-2000 FACSIMILE: +1-212-455-2502 Direct Dial Number E-mail Address October 5, 2018 THL Credit, Inc. 100 Federal St., 31st Floor, Boston, MA 02110 Ladies and Gentlemen: We have acted as counsel to THL Credit, Inc., a Delaware corporation (the “Company”), in connection with the issu |
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| August 8, 2018 |
TCRD / THL Credit, Inc. 8-K (Current Report) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 8, 2018 THL Credit, Inc. (Exact name of registrant as specified in its charter) Delaware 814-00789 27-0344947 (State or other jurisdiction of incorporation or organization) |
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| August 8, 2018 |
THL Credit Reports Second Quarter 2018 Financial Results and Declares a Dividend of $0.27 Per Share EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE THL Credit Reports Second Quarter 2018 Financial Results and Declares a Dividend of $0.27 Per Share BOSTON – August 8, 2018 – THL Credit, Inc. (NASDAQ: TCRD) (“THL Credit” or the “Company”), a direct lender to lower middle market companies, today announced financial results for its second fiscal quarter ended June 30, 2018. Additionally, THL Credit announ |
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| August 8, 2018 |
TCRD / THL Credit, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
