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THL Credit, Inc.8-K
03/29/20194,Item 9.01 Financial Statements and Exhibits. Exhibit Description
No.333333$@6.Amendment No. 1 to Second Amended and Restated
1
)Senior Secured Revolving Credit Agreement1)and Third Amended and Restated Guarantee,/'Pledge and Security Agreement, dated as3+of March 26, 2019, by and among the Company.&as borrower, the Lenders party thereto.&and ING Capital LLC, as AdministrativeAgent.$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/6{ocW3~1JtL=PF0*8X>
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THL Credit, Inc.8-K
03/29/2019 SIGNATURE THL CREDIT, INC.
Date: March 29, 2019By:/S/ T ERRENCE W. O LSON
Name:Terrence W. Olson
Title:
Chief Financial Officer,+#Chief Operating Officer & Treasurer$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/,d|z&(L=PF0*8X>
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THL Credit, Inc.8-K
03/29/2019kcPromptly after (i) in the case of the Credit Agreement Obligations, the Termination Date and receip Page
ARTICLE I
DEFINITIONS
SECTION 1.01.
Defined Terms
~
SECTION 1.02..&Classification of Loans and Borrowings3 7 9
SECTION 1.03.Terms Generally3 7 9
SECTION 1.04.Accounting Terms; GAAP4 8 0
SECTION 1.05.Currencies Generally
38 40
SECTION 1.06.+#Special Provisions Relating to Euro
39 41
ARTICLE IITHE CREDITS
SECTION 2.01.The Commitments
39 41
SECTION 2.02.Loans and Borrowings4 0 42
SECTION 2.03.Requests for Borrowings4 1 3SECTION 2.04 .Letters of Credit~
SECTION 2.05.Funding of Borrowings4 2 9SECTION 2.0 5 6 .Interest Elections5 3 0SECTION 2.0 6 7 .-%Termination, Reduction or Increase of4 5 1the CommitmentsSECTION 2.0 7 8 .,$Repayment of Loans; Evidence of Debt5 4 8DlD8, _S03@=1kqo !"#$%&'()*+,-./0123456789:; SECTION 2.0 8 9 . Prepayment of Loans
49 56 !SECTION 2. 1 0 9 .!!Fees!!!6 2 0!"SECTION 2.1 0 1 .""Interest""
"53 62"#SECTION 2.1 1 2 .#)#!Eurocurrency Borrowing Provisions##
#54 62#$SECTION 2.1 2 3 .$$Increased Costs$$
$55 64$%SECTION 2.1 3 4 .%%Break Funding Payments%%%5 6 6%&SECTION 2.1 4 5 .&
&Taxes&&&6 7 7&'SECTION 2.1 5 6 .'/''Payments Generally; Pro Rata Treatment:'''7 0 0'(((Sharing of Set-offs)SECTION 2.1 6 7 .))Defaulting Lenders))
)63 73)*SECTION 2.1 7 8 .*+*#Mitigation Obligations; Replacement**
*63 75*+++
of Lenders,SECTION 2.1 8 9 .,-,%Acknowledgment and Consent to Bail-In,,
,64 76,--%-of EEA Financial Institutions./ARTICLE III/0&1REPRESENTATIONS AND WARRANTIES12223
SECTION 3.01.33Organization; Powers3336 7 634
SECTION 3.02.4%4Authorization; Enforceability4446 7 745
SECTION 3.03.5,5$Governmental Approvals; No Conflicts5557 7 556
SECTION 3.04.606(Financial Condition; No Material Adverse6666 7 76777Effect8$9____________________________1:)Created by Morningstar Document Research.0;(http://documentresearch.morningstar.com/<
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THL Credit, Inc.8-K
03/29/2019kcPromptly after (i) in the case of the Credit Agreement Obligations, the Termination Date and receip
SECTION 3.05.
Litigation
66 78
SECTION 3.06.
+
#Compliance with Laws and Agreements
66 78
SECTION 3.07.
Taxes6 7 8
SECTION 3.08.
ERISA6 7 8
SECTION 3.09.
Disclosure
6 7 9
SECTION 3.10.2*Investment Company Act; Margin Regulations6 7 9
SECTION 3.11.%Material Agreements and Liens
68 80
SECTION 3.12.$Subsidiaries and Investments6 8 0
SECTION 3.13.
Properties6 8 0
SECTION 3.14.Solvency
69 81
SECTION 3.15.Affiliate Agreements
69 81
SECTION 3.16.Structured Subsidiaries7 8 1
SECTION 3.17.Security Documents7 8 1
SECTION 3.18.!Compliance with Sanctions7 8 2
SECTION 3.19.%Anti-Money Laundering Program
70 82
SECTION 3.20.%Foreign Corrupt Practices Act7 8 2
SECTION 3.01."EEA Financial Institutions7 8 2
ARTICLE IV
CONDITIONS
SECTION 4.01."Restatement Effective Date7 8 2DlD8, \gv#ma? !"#$%&'()*+,-./0123456789:
SECTION 4.02. Each Credit Event 7 8 5 !" ARTICLE V"#$AFFIRMATIVE COVENANTS$%%%&
SECTION 5.01.&2&*Financial Statements and Other Information&&
&74 86&'
SECTION 5.02.'"'Notices of Material Events''
'77 89'(
SECTION 5.03.(&(Existence; Conduct of Business(((7 8 9()
SECTION 5.04.))Payment of Obligations)))7 8 9)*
SECTION 5.05.*,*$Maintenance of Properties; Insurance***7 9 0*+
SECTION 5.06.+/+'Books and Records; Inspection and Audit+++7 9 0+,,,Rights-
SECTION 5.07.-+-#Compliance with Laws and Agreements---7 9 1-.
SECTION 5.08..4.,Certain Obligations Respecting Subsidiaries;...7 9 1.///Further Assurances0
SECTION 5.09.00Use of Proceeds00
083 9501
SECTION 5.10.11Status of RIC and BDC1118 9 512
SECTION 5.11.22Investment Policies2228 9 523
SECTION 5.12.303(Portfolio Valuation and Diversification,3338 9 63444Etc.5
SECTION 5.13.5%5Calculation of Borrowing Base5559 10 2567$8____________________________19)Created by Morningstar Document Research.0:(http://documentresearch.morningstar.com/:|[O"niaVe\4o=PF0*8X>
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THL Credit, Inc.8-K
03/29/2019kcPromptly after (i) in the case of the Credit Agreement Obligations, the Termination Date and receip
SECTION 6.01. Indebtedness 1 0 1 3
SECTION 6.02.
Liens
1 0 1 4
SECTION 6.03.Fundamental Changes 1 0 1 4
SECTION 6.04.Investments 1 0 1 7
SECTION 6.05.
Restricted Payments
1 0 1 8
SECTION 6.06.,$Certain Restrictions on Subsidiaries1 08 20
SECTION 6.07.#Certain Financial Covenants 1 0 2 0
SECTION 6.08.$Transactions with Affiliates1 2 1 9
SECTION 6.09.Lines of Business 1 1 2 1
SECTION 6.10."No Further Negative Pledge 1 1 2 1
SECTION 6.11.3+Modifications of Indebtedness and Affiliate1 2 2 0
Agreements
SECTION 6.12.,$Payments of Longer-Term Indebtedness 1 1 2 2
SECTION 6.13.+#Modification of Investment Policies 1 11 2 3
SECTION 6.14.SBIC Guarantee 1 11 2 3
SECTION 6.15.Derivative Transactions 1 11 2 3ARTICLE VIIEVENTS OF DEFAULTARTICLE VIIIDlD8, WkyhhP" !"#$%&'()*+,-./0123456789:;<=> THE ADMINISTRATIVE AGENT !!!"
SECTION 8.01.""Appointment""" 1 1 2 8"#
SECTION 8.02.##Capacity as Lender###1 16 28#$
SECTION 8.03.$)$!Limitation of Duties; Exculpation$$$1 16 28$%
SECTION 8.04.%%Reliance%%%1 17 29%&
SECTION 8.05.&&
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SECTION 8.06.'-'%Resignation; Successor Administrative'''1 17 29'((
(Agent)
SECTION 8.07.))Reliance by Lenders)))1 18 30)*
SECTION 8.08.*'*Modifications to Loan Documents***1 18 30*+,
ARTICLE IX,-.
MISCELLANEOUS.///0
SECTION 9.01.0*0"Notices; Electronic Communications0001 19 3101
SECTION 9.02.11Waivers; Amendments1111 3 3 112
SECTION 9.03.2*2"Expenses; Indemnity; Damage Waiver2221 2 3 523
SECTION 9.04.33Successors and Assigns3331 25 3834
SECTION 9.05.44Survival4441 30 4245
SECTION 9.06.515)Counterparts; Integration; Effectiveness;5551 30 425666Electronic Execution7
SECTION 9.07.77Severability7771 31 4378
SECTION 9.08.88Right of Setoff8881 31 4389
SECTION 9.09.9)9!Governing Law; Jurisdiction; Etc.9991 31 449:;$<____________________________1=)Created by Morningstar Document Research.0>(http://documentresearch.morningstar.com/BX74R!l`;[[OC=PF0*8X>
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THL Credit, Inc.8-K
03/29/2019kcPromptly after (i) in the case of the Credit Agreement Obligations, the Termination Date and receip
SECTION 9.10. WAIVER OF JURY TRIAL 1 4 4 2
SECTION 9.11.
Judgment Currency
1 4 5 2
SECTION 9.12.Headings1 33 45
SECTION 9.13.91Treatment of Certain Information; Confidentiality1 33 45
SECTION 9.14.
USA PATRIOT Act
1 3 4 6
SECTION 9.15.Termination1 3 4 7
SECTION 9.16.!Amendment and Restatement1 3 4 7$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/.D8, OeT^RF=PF0*8X>
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THL Credit, Inc.8-K
03/29/2019kcPromptly after (i) in the case of the Credit Agreement Obligations, the Termination Date and receip SCHEDULE 1.01(a) - - %Approved Dealers and Approved Pricing
ServicesSCHEDULE 1.01(b) -Commitments
SCHEDULE 1.01(c) -"Existing Letters of CreditSCHEDULE 1.01(d) -Eligibility CriteriaSCHEDULE 3.11(a) -Material AgreementsSCHEDULE 3.11(b) -
LiensSCHEDULE 3.12(a) -SubsidiariesSCHEDULE 3.12(b) -InvestmentsSCHEDULE 6.08 -&Certain Affiliate Transactions$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/DlD8, u]R:D,vjB=PF0*8X>
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THL Credit, Inc.8-K
03/29/2019EXHIBIT EXHIBIT A - ) !Form of Assignment and Assumption
EXHIBIT B -
*
"Form of Borrowing Base CertificateEXHIBIT C -6.Form of Second Amended and Restated PromissoryNote
EXHIBIT D -
!
Form of Borrowing Request$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/*;h|XZ2=PF0*8X>
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THL Credit, Inc.8-K
03/29/2019kcNOW, THEREFORE, in consideration of the premises and the covenants and agreements contained herein,% Eligible Portfolio Investment Unquoted Quoted 2
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THL Credit, Inc.8-K
03/29/2019kcNOW, THEREFORE, in consideration of the premises and the covenants and agreements contained herein, THL CREDIT, INC.
By:
Name:
Title:
$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/*hD8, xNB6=PF0*8X>
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THL Credit, Inc.8-K
03/29/2019kcNOW, THEREFORE, in consideration of the premises and the covenants and agreements contained herein,0 (ING CAPITAL LLC, as Administrative Agent
and a LenderBy:
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Name:Title:$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/4D8, qHtL=PF0*8X>
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THL Credit, Inc.8-K
03/29/2019kcNOW, THEREFORE, in consideration of the premises and the covenants and agreements contained herein,* "BANK OF AMERICA, N.A., as a Lender
By:
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Title:$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/*hD8, f<0$=PF0*8X>
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THL Credit, Inc.8-K
03/29/2019kcNOW, THEREFORE, in consideration of the premises and the covenants and agreements contained herein,# CIT BANK, N.A., as a Lender
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Title:$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/*hD8, mC7+=PF0*8X>
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THL Credit, Inc.8-K
03/29/2019kcNOW, THEREFORE, in consideration of the premises and the covenants and agreements contained herein,# CITIBANK, N.A., as a Lender
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THL Credit, Inc.8-K
03/29/2019kcNOW, THEREFORE, in consideration of the premises and the covenants and agreements contained herein,' CITY NATIONAL BANK, as a Lender
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THL Credit, Inc.8-K
03/29/2019kcNOW, THEREFORE, in consideration of the premises and the covenants and agreements contained herein,- %EVERBANK COMMERCIAL FINANCE, INC., as
a LenderBy:
Name:Title:$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/,|D8, xO%
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dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??!Item 901 Financial Statements a SIGNATURE!Promptly after i in the case of!Promptly after i in the cas (1)!Promptly after i in the cas (2)!Promptly after i in the cas (3)!Promptly after i in the cas (4) EXHIBIT!NOW THEREFORE in consideration NOW THEREFORE in considera (1) NOW THEREFORE in considera (2) NOW THEREFORE in considera (3) NOW THEREFORE in considera (4) NOW THEREFORE in considera (5) NOW THEREFORE in considera (6) NOW THEREFORE in considera (7) NOW THEREFORE in considera (9) NOW THEREFORE in consider (10) NOW THEREFORE in consider (11) NOW THEREFORE in consider (12)SUBSIDIARIESU }}$ }
THL Credit, Inc.8-K
03/29/2019kcNOW, THEREFORE, in consideration of the premises and the covenants and agreements contained herein,/ 'STATE STREET BANK AND TRUST COMPANY, as
a LenderBy:
Name:Title:$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/,|D8, vM#=PF0*8X>
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dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??!Item 901 Financial Statements a SIGNATURE!Promptly after i in the case of!Promptly after i in the cas (1)!Promptly after i in the cas (2)!Promptly after i in the cas (3)!Promptly after i in the cas (4) EXHIBIT!NOW THEREFORE in consideration NOW THEREFORE in considera (1) NOW THEREFORE in considera (2) NOW THEREFORE in considera (3) NOW THEREFORE in considera (4) NOW THEREFORE in considera (5) NOW THEREFORE in considera (6) NOW THEREFORE in considera (7) NOW THEREFORE in considera (8) NOW THEREFORE in consider (10) NOW THEREFORE in consider (11) NOW THEREFORE in consider (12)SUBSIDIARIESU }}$ }
THL Credit, Inc.8-K
03/29/2019kcNOW, THEREFORE, in consideration of the premises and the covenants and agreements contained herein,( STIFEL BANK & TRUST, as a Lender
By:
Name:
Title:$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/*hD8, h>2&=PF0*8X>
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THL Credit, Inc.8-K
03/29/2019kcNOW, THEREFORE, in consideration of the premises and the covenants and agreements contained herein,# CUSTOMERS BANK, as a Lender
By:
Name:
Title:$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/*hD8, mC7+=PF0*8X>
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THL Credit, Inc.8-K
03/29/2019kcNOW, THEREFORE, in consideration of the premises and the covenants and agreements contained herein,1 )THE HUNTINGTON NATIONAL BANK, as a Lender
By:
Name:
Title:$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/*hD8, _5)=PF0*8X>
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THL Credit, Inc.8-K
03/29/2019kcNOW, THEREFORE, in consideration of the premises and the covenants and agreements contained herein,- %RAYMOND JAMES BANK, N.A., as a Lender
By:
Name:
Title:$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/*hD8, c9-!=PF0*8X>
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THL Credit, Inc.8-K
03/29/2019SUBSIDIARIES
Name Jurisdiction of Parent Ownership
Percentage
Organization
Interests
Owned!THL Credit Holdings, Inc.DelawareTHL Credit, Inc.100 common shares~
%#THL Corporate Finance, Inc.DelawareTHL Credit, Inc.100 common shares~
%#
THL Credit YP Holdings Inc.
Delaware
THL Credit, Inc.
100 common shares
~
%"THL Credit YP Holdings LLCDelaware
THL Credit YPN/A~
%
Holdings Inc.*"THL Credit AIM Media Holdings Inc.DelawareTHL Credit, Inc.100 common shares~
%THL Credit SBIC GP, LLCDelawareTHL Credit, Inc.N/A~
%THL Credit SBIC, LPDelawareTHL Credit, Inc.N/A~
%THL Credit SBIC GP,~
%LLC
&THL Credit OEMG Investor, Inc.DelawareTHL Credit, Inc.93.51 common shares q=
ף`W@
%THL Credit Greenway6.49 common shares (\@
%Fund LLC
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