Debt Financings

Aquestive Therapeutics, Inc. incurred senior notes of $45 million aggregate principal amount with purchasers named therein at 13.5% per annum maturing November 1, 2028.

“On November 1, 2023 (the “Closing Date”), Aquestive Therapeutics, Inc. (the “Company”) entered into purchase agreements (the “Purchase Agreements”) with the purchasers named therein (the “Purchasers”), in substantially identical forms, pursuant to which the Company agreed to issue and sell the $45 million aggregate principal amount of its 13.5% senior secured notes due 2028 (the “Notes”) to the Purchasers (the “Offering”).”

STONERIDGE INC amended revolving credit of $275.0 million senior secured revolving credit facility with PNC Bank, National Association, as Administrative Agent at Base Rate or the SOFR Rate, at the Company’s option, plus an applicable margin b maturing 2026-11-02.

“First Merchants Bank and BMO Bank, N.A., as Lenders (the “Fifth Amended and Restated Credit Agreement”). The Fifth Amended and Restated Credit Agreement provides for a $275.0 million senior secured revolving credit facility. The Fifth Amended and Restated Credit Agreement replaces and supersedes the Fourth Amended and Restated Credit Agreement, as previously”

ROCKY BRANDS, INC. amended term loan with TCW Asset Management Company LLC at adjust the performance pricing grid.

“on October 31, 2023, the Company and TCW entered into a Sixth Amendment to the Term Loan Agreement ("Term Loan Amendment"), among other things, to provide certain EBITDA adjustments with respect to its financial covenants, adjust the performance pricing grid, and adjust the total leverage ratio periodically through June 30, 2025.”

ROCKY BRANDS, INC. amended credit facility with Bank of America, N.A. at adjust the performance pricing grid.

“On October 31, 2023, the Company entered into a Fifth Amendment to the ABL Loan Agreement ("ABL Amendment") to provide certain EBITDA adjustments with respect to its financial covenant.”

ASTRONICS CORP amended revolving credit of $115 million to $120 million with HSBC Bank USA, National Association, as Agent and Co-Collateral Agent, Wells Fargo Bank, N.A., as Co-Collateral Agent, and the lenders signatory thereto maturing October 31, 2023 to January 31, 2024.

“The Second Amendment extended from October 31, 2023 to January 31, 2024 the expiry of a temporary increase in the maximum aggregate amount that the Company can borrow under the revolving credit line from $115 million to $120 million.”

PGIM Private Credit Fund incurred revolving credit of $150 million with Sumitomo Mitsui Banking Corporation at Term SOFR plus a 10 basis point credit spread adjustment and an applicable margi maturing five years after the Closing Date.

“per annum or 1.25% per annum in respect of USD borrowings and comparable rates in respect of non-USD borrowings. The initial principal amount of the Revolving Credit Facility is $150 million. The Revolving Credit Facility has an accordion feature, subject to the satisfaction of various conditions, which could bring total commitments under the Revolving Credit”

iCoreConnect Inc. incurred convertible notes of $500,000 with an investor at 12% per annum maturing October 31, 2024.

“the Company entered into a securities purchase agreement with an investor, pursuant to which the Company issued the investor a convertible promissory note in principal amount of $500,000 (the “Additional Convertible Promissory Note”) in exchange for $500,000. The maturity of the Additional Convertible Promissory Note is October 31, 2024 and carries an interest”

iCoreConnect Inc. incurred convertible notes of $94,685.91 with former officer of the Company at 12% per annum maturing October 26, 2028.

“into an additional securities purchase agreement with the same investor, pursuant to which the Company issued the investor a convertible promissory note in principal amount of $94,685.91 (the “Convertible Promissory Note”) in exchange for $94,685.91. The maturity of the Convertible Promissory Note is October 26, 2028 and carries an interest rate of 12% per annum”

iCoreConnect Inc. incurred loan of $200,000 with former officer of the Company at 12% per annum maturing December 31, 2023.

“entered into a securities purchase agreement with a former officer of the Company, pursuant to which the Company issued the investor a promissory note in principal amount of $200,000 (the “Promissory Note”) in exchange for $200,000. The maturity of the Promissory Note is December 31, 2023 and carries an interest rate of 12% per annum. In conjunction with the”

Blue World Acquisition Corp incurred loan of $60,000 with Blue World Holdings Limited (the Sponsor) at no interest maturing upon the consummation of the Company's business combination.

“On November 1, 2023, a total of $60,000 was deposited into the trust account of the Company (the “Extension Fee”) to extend the timeline to complete a business combination for an additional one month from November 2, 2023 to December 2, 2023 (the “Extension”). Such deposit of the Extension Fee is evidenced by an unsecured promissory note (the “Extension Note”) in the principal amount of $60,000 to the Sponsor.”

Apollo Realty Income Solutions, Inc. incurred debt of $250 million with JPMorgan Chase Bank, National Association maturing three-year term plus two one-year extension options.

“On October 26, 2023, certain indirect subsidiaries (the "Sellers") of Apollo Realty Income Solutions, Inc., (the "Company") entered into a Master Repurchase Agreement (the "Agreement") with JPMorgan Chase Bank, National Association (the "Buyer"). The Agreement provides for a maximum aggregate purchase price of $250 million and has a three-year term plus two one-year extension options.”

Mountain Crest Acquisition Corp. V incurred loan of up to $400,000 with Mountain Crest Global Holdings LLC at does not bear interest maturing on the earlier of: (i) the date on which Company consummates an initial business combination with a target business, or (ii) the date the Company liquidates if.

“On October 30, 2023, Mountain Crest Acquisition Corp. V (the “Company”) issued an unsecured promissory note in the aggregate principal amount up to $400,000 (the “Note”) to Mountain Crest Global Holdings LLC, the Company’s sponsor (the “Sponsor”).”

Pegasus Digital Mobility Acquisition Corp. amended loan with Pegasus Digital Mobility Sponsor LLC at bears no interest.

“The Company also agreed to amend and restate certain provisions of a) the non-convertible unsecured promissory note in the principal amount of $2,250,000 it issued to the Sponsor on January 23, 2023, first amended and restated on March 15, 2023 (now as additionally amended and restated, the " January 2023 Promissory Note "), b) the non-convertible unsecured promissory note in the principal amount of $1,100,000 it issued to the Sponsor on March 15, 2023 (as amended and restated, the " March 2023 Promissory Note "), c) the non-convertible unsecured promissory note in the principal amount of $719,907.30 it issued to the Sponsor on April 24, 2023 (as amended and restated, the " April 2023 Promissory Note "), d) the non-convertible unsecured promissory note in the principal amount of $1,400,000 it issued to the Sponsor on May 31, 2023 (as amended and restated, the " May 2023 Promissory Note "), and e) the non-convertible unsecured promissory note in the principal amount of $750,482.70 it is”

Pegasus Digital Mobility Acquisition Corp. incurred loan of up to $1,000,000.00 with Pegasus Digital Mobility Sponsor LLC at bears no interest maturing the earliest of April 30, 2024, the date on which the Company consummates a business combination, or within three (3) business days of the receipt by the Compan.

“On November 1, 2023, Pegasus Digital Mobility Acquisition Corp. (the " Company ") issued a non-convertible unsecured promissory note (the " November 2023 Promissory Note ") in the principal amount of up to $1,000,000.00 to Pegasus Digital Mobility Sponsor LLC, a Cayman Islands limited liability company (the " Sponsor ").”

ITC Holdings Corp. incurred senior notes of $90,000,000 aggregate principal amount with The Bank of New York Mellon Trust Company, N.A., as successor to JPMorgan Chase Bank, as trustee at 5.65% per annum maturing November 1, 2028.

“On November 1, 2023, Michigan Electric Transmission Company, LLC (“METC”), an indirect wholly-owned subsidiary of ITC Holdings Corp. (the “Company”), issued $90,000,000 aggregate principal amount of its 5.65% Series A Senior Secured Notes due 2028 (the “METC Notes”) in a private placement”

AMAZON COM INC incurred revolving credit of up to $5.0 billion with Citibank N.A., as administrative agent at applicable benchmark rate specified in the agreement plus 0.45%, with a commitme maturing 364 days.

“The Short-Term Credit Agreement provides the Company with an unsecured revolving credit facility with a borrowing capacity of up to $5.0 billion.”

AMAZON COM INC incurred revolving credit of up to $15.0 billion with Citibank N.A., as administrative agent at applicable benchmark rate specified in the agreement plus 0.45%, with a commitme maturing five years.

“The Credit Agreement provides the Company with an unsecured revolving credit facility with a borrowing capacity of up to $15.0 billion.”

NEW JERSEY RESOURCES CORP incurred senior notes of $50,000,000 with certain institutional investors at 5.85% maturing October 30, 2053.

“On October 30, 2023, New Jersey Natural Gas Company (“NJNG”), a wholly-owned subsidiary of New Jersey Resources Corporation (“NJR”) issued and sold $50,000,000 of NJNG’s 5.85% Senior Notes, Series 2023B, due October 30, 2053 (the “Notes”) to certain institutional investors”

Chenghe Acquisition I Co. incurred loan of a principal amount of up to $1,960,000 with Chenghe Investment I Limited at non-interest bearing maturing on the effective date of an initial merger, share exchange, asset acquisition, share purchase, reorganization or similar business combination.

“On October 25, 2023, the Company issued a non-interest bearing non-convertible unsecured promissory note (the “Note”) to Chenghe Investment I Limited, a Cayman Islands exempted company (the “Sponsor”), for a principal amount of up to $1,960,000.”

Project Energy Reimagined Acquisition Corp. incurred loan of up to $500,000 with Smilodon Capital, LLC at does not bear interest maturing the earlier of: (i) the date on which the Company consummates its initial business combination and (ii) the date that the winding up of the Company is effective.

“On October 25, 2023, Project Energy Reimagined Acquisition Corp. (the “Company”) issued an unsecured promissory note (the “Note”) in the principal amount of up to $500,000 to its sponsor, Smilodon Capital, LLC, of which $300,000 had been funded as of such date, which may be further drawn down from time to time prior to the Maturity Date (as defined below) upon request by the Company. The Note does not bear interest and the principal balance will be payable on the earlier of: (i) the date on which the Company consummates its initial business combination and (ii) the date that the winding up of the Company is effective (such date, the “Maturity Date”).”

QT IMAGING HOLDINGS, INC. amended convertible notes of $381,360 with GigAcquisitions5, LLC at no interest maturing upon the consummation of a business combination.

“On October 27, 2023, the Company further amended and restated the Working Capital Note (the “Tenth Restated Working Capital Note”) to reflect an additional principal amount of $381,360 extended by the Sponsor to the Company for a collective principal amount under the Tenth Restated Working Capital Note of $1,446,360.”

Benson Hill, Inc. amended credit facility with Avenue Capital Management II, L.P., as administrative agent and collateral agent maturing March 1, 2024.

“The Fourth Amendment amends the Loan and Security Agreement among the Borrowers, the Lenders, and the Agent entered into December 29, 2021”

Sunlight Financial Holdings Inc. faced acceleration on credit facility of approximately $109.9 million with CRB.

“Improvement Loan Sale Agreement, dated as of April 25, 2023, by and between CRB and Sunlight Financial LLC. 7 As of the date of this filing, the Company has approximately $109.9 million outstanding under the CRB Agreements.”

Ouster, Inc. incurred revolving credit of up to $45.0 million with UBS Bank USA at SOFR average plus 0.110% plus 1.20% for variable rate loans maturing August 2, 2025.

“Inc. The facility under the Agreement matures and terminates on August 2, 2025 (the “ Maturity Date ”). The Agreement provides the Company with a revolving credit line of up to $45.0 million, subject to certain terms and conditions. The Company borrowed $44.0 million on the Closing Date, and all of the proceeds were used to prepay and terminate the Company’s term”

Sadot Group Inc. incurred convertible notes of $4.0 million with YA II PN, LTD at 6.0%, subject to an increase to 18% upon an event of default maturing September 22, 2024.

“condition set forth therein, Yorkville agreed to advance to the Company in the form of convertible promissory notes (the “Convertible Notes”) an aggregate principal amount of $4.0 million (the “Pre-Paid Advance”). The Pre-Paid Advance was disbursed on September 22, 2023 with respect to $3.0 million (the “Initial Note”) and the balance of $1.0 million was disbursed”

WILLIS LEASE FINANCE CORP incurred senior notes of $410.0 million aggregate principal amount with U.S. Bank National Association at 8.000% maturing expected maturity of approximately six years, an expected weighted average life (based on certain modeling assumptions) of 4.6 years and a final maturity of 25.

“On October 31, 2023, Willis Lease Finance Corporation (“Willis”) and its direct, wholly-owned subsidiary Willis Engine Structured Trust VII (“WEST”), closed its offering of $410.0 million aggregate principal amount of fixed rate notes (the “Notes”).”

IPC Alternative Real Estate Income Trust, Inc. incurred revolving credit of $22.5 million with Inland Private Capital Corporation at 4.25% per annum maturing November 30, 2024.

“Private Capital Corporation (“IPC”), an affiliate with the Company’s sponsor, as lender. The Credit Facility provides for loan advances in an aggregate amount not to exceed $22.5 million, with a maturity date of November 30, 2024 (as may be amended, modified, extended or renewed, but not accelerated, in IPC’s sole discretion) or the date IPC declares obligations”

Horizon Space Acquisition I Corp. incurred loan of $70,000 with Shenzhen Squirrel Enlivened Media Group Co. Ltd at no interest maturing upon the earlier to occur of (i) the consummation of the Company’s business combination or (ii) the date of expiry of the term of the Company.

“On October 25, 2023, the Company issued an unsecured promissory note in the aggregate principal amount of $70,000 (the “ Note ”) to the Target to evidence the payment of the Monthly Extension Fee.”

GeneDx Holdings Corp. incurred term loan of up to $75.0 million with Perceptive Credit Holdings IV, LP at Term SOFR plus 7.5% maturing October 27, 2028.

“GeneDx Holdings Corp. (the “Company”) entered into a Credit Agreement and Guaranty (the “Credit Agreement”) with Perceptive Credit Holdings IV, LP, as lender and administrative agent (“Perceptive”), which provides for a senior secured delayed draw term loan facility in an aggregate principal amount of up to $75.0 million”

micromobility.com Inc. incurred convertible notes of $1.5 million with YA II PN, Ltd. at 15% per year maturing February 29, 2024.

“we issued and sold a convertible promissory note with an aggregate principal amount of $1.5 million (the “Promissory Note”) in a private placement to YA II PN, Ltd. (“Yorkville”)”

TREX WIND-DOWN, INC. incurred loan of $3.5 million with LEO US Holding, Inc..

“Parent agreed to increase the aggregate amount of the Bridge Loan by $3.5 million”

New Mountain Finance Corp amended credit facility with Wells Fargo Bank, National Association maturing October 26, 2028.

“y and among New Mountain Finance Holdings, L.L.C., as borrower, the Company, as collateral manager, Wells Fargo Bank, National Association (“ Wells Fargo ”), as administrative agent and swingline lender, the lenders party thereto from time to time,”

CONSUMER PORTFOLIO SERVICES, INC. incurred senior notes of $286.1 million of asset-backed Notes, in five classes with Computershare Trust Company, N.A. at Class A 6.40%, Class B 6.78%, Class C 7.17%, Class D 7.80%, Class E 10.13%.

“he Trust deposited the Receivables with Computershare Trust Company, N.A. ("CTCNA"), as trustee of a grantor trust, receiving”

PHOENIX MOTOR INC. amended convertible notes of increased to an aggregate principal amount equal to no greater than $9,666,500, and the total principal amount was incre with a certain accredited investor at original issue discount of 8.5% maturing 36 months following the date of the Original SPA.

“pursuant to the Amendment, under the SPA the "Funding Amount" was increased to an aggregate principal amount equal to no greater than $9,666,500, and the total principal amount was increased to be no greater than $10,564,481, to be reduced by the original issue discount of 8.5% and amounts previously advanced under the Original Note.”

Aimfinity Investment Corp. I incurred debt of unsecured promissory note of $85,000 with I-Fa Chang, sole member and manager of Aimfinity Investment LLC, the sponsor at bears no interest maturing payable in full upon the earlier to occur of (i) the consummation of the Company's business combination or (ii) the date of expiry of the term of the Company (t.

“o I-Fa Chang, sole member and manager of Aimfinity Investment LLC, the sponsor of the company (the “ Sponsor ”), as”

Constellation Acquisition Corp I incurred loan of $150,000 with Constellation Sponsor LP at does not bear interest maturing upon closing of the Company's initial business combination.

“or an Obligation under an Off-Balance Sheet Arrangement or a Registrant. On October 26, 2023, Constellation Acquisition Corp I (the “Company”) drew an aggregate of $150,000 (the “Extension Funds”), as approved by unanimous director resolution, dated October 23, 2023, pursuant to the unsecured promissory note, dated January 30, 2023 between the”

AKUMIN INC. reported a default on debt of $340 million with Stonepeak at 200 basis points.

“supplemented or otherwise modified from time to time prior to the date hereof, the “Series A Note”), issued by the Issuer to Stonepeak in the initial principal amount of $340 million, the form of which was attached as Exhibit B to the Series A Notes and Common Share Purchase Agreement between the Company, the Issuer and Stonepeak, dated June 25, 2021, which”

Avangrid, Inc. amended guarantee of increased the maximum guaranteed amount to approximately $887 million with U.S. Bank National Association.

“nt, equity contribution agreement and related documents) (the “Vineyard Wind 1 Debt Financing Documents”) with Banco Santander, S.A., New York Branch, as administrative agent (together with its successors and assigns in such capacity, “Administrative Agent”), U.S. Bank National Association (as successor-in-interest to MUFG Union Bank, N.A.), as collateral agent (together with its successors and assigns in such capacity, “Collateral Agent”), and the lenders and issuing lenders from time to time party thereto, and (ii) the Corporation issued a guaranty (as amended, restated, amended and restated, supplemented and otherwise modified and in effect from time to time, the “Lender Guaranty”), in favor of U.S.”

Avangrid, Inc. incurred guarantee of up to a maximum guaranteed amount of approximately $725 million with J.P. Morgan Chase, Bank of America, and Wells Fargo.

“(the “Corporation”), and 50% indirectly owned by funds of Copenhagen Infrastructure Partners, closed an approximately $1.2 billion tax equity financing transaction (the “Tax Equity Financing Transaction”) with J.P. Morgan Chase, Bank of America, and Wells Fargo (the “Tax Equity Investors”), in connection with its development, construction, ownership, leasing, operation and maintenance of an up to 800-megawatt wind generating facility currently under construction in waters off of the coast of Martha’s Vineyard, Massachusetts (the “Vineyard Wind 1 Project”).”

TransUnion incurred term loan of $1,300,000,000 with Deutsche Bank AG New York Branch at SOFR plus applicable margin that ranges from 1.25% to 2.00% or alternate base ra maturing October 27, 2028.

“provide for new term loans in an aggregate principal amount of $1,300,000,000 (the "2023 Refinancing Term A-4 Loans")”

TransUnion incurred revolving credit of $600,000,000 with Deutsche Bank AG New York Branch at SOFR plus applicable margin that ranges from 1.25% to 2.00% or alternate base ra maturing October 27, 2028.

“Pursuant to the Amendment, the Credit Agreement was amended to, among other things: (1) refinance in full the existing revolving credit facility with a new tranche of revolving credit commitments in an aggregate principal amount of $600,000,000”

Clearwater Paper Corp incurred credit facility of $270 million with AgWest Farm Credit, PCA at one-year fixed rate loan that will bear interest at an all-in interest rate of 9 maturing October 27, 2028.

“party thereto (the “PCA Credit Agreement”). The credit facility provided under the PCA Credit Agreement consists of a revolving term loan commitment initially in the amount of $270 million, $150 million of which was disbursed on the Closing Date in order to pay a portion of the price associated with the redemption of the outstanding Notes. The lending commitment”

KUSTOM ENTERTAINMENT, INC. incurred revolving credit of $4,880,000 with Kompass Kapital Funding, LLC at the greater of (i) the Prime Rate plus four percent or (ii) eight percent maturing October 26, 2025.

“”) by and between the Company, as grantor, and Kompass, as grantee, and issued a Revolving Note (the “ Revolving Note ”) to Kompass. The gross proceeds to the Company are $4,880,000 before repaying those certain Senior Secured Convertible Notes issued on April 5, 2023 in the aggregate amount of $3,162,500 and paying customary fees and expenses. Pursuant to”

CF Industries Holdings, Inc. incurred revolving credit of $750,000,000 with Citibank, N.A. at term secured overnight financing rate, plus a credit spread adjustment of 0.10% maturing October 26, 2028.

“On October 26, 2023 (the “Closing Date”), CF Industries Holdings, Inc. (the “Company”), as a guarantor, and its wholly-owned subsidiary CF Industries, Inc. (“CF Industries”), as lead borrower, entered into a $750,000,000 senior unsecured Revolving Credit Agreement (the “Credit Agreement”) with the lenders from time to time party thereto, Citibank, N.A. (“Citibank”), as administrative agent (in such capacity, the “Administrative Agent”), and the issuing banks party thereto, which replaced the Company’s Fourth Amended and Restated Revolving Credit Agreement, dated as of December 5, 2019 (as amended as of January 27, 2022 and May 12, 2023, the “Prior Credit Agreement”), that was scheduled to mature December 5, 2024.”

INTERPACE BIOSCIENCES, INC. incurred credit facility of $2,500,000 with BroadOak Fund V, L.P. at 8.00% per annum.

“Second Amendment ”) with BroadOak Fund V, L.P. (“ BroadOak ”), pursuant to which, among other things, the Company and BroadOak agreed to: (i) a payment of a lump sum payment of $2,500,000 on or prior to October 31, 2023 in full satisfaction of the $3,000,0000 terminal payment under the Loan and Security Agreement, dated October 29, 2021, as amended by the First”

RCI HOSPITALITY HOLDINGS, INC. amended loan of $15,720,578 aggregated unsecured promissory notes; $9,100,000 payable interest-only; $6,620,578 payable monthly with 10- with 26 investors at 12% per annum maturing $9,100,000 notes mature October 1, 2026; $6,620,578 notes mature November 1, 2027.

“On October 25, 2023, RCI Hospitality Holdings, Inc. ("we," "us" and "our") entered into a debt modification transaction under which 26 investors holding a total principal amount of $15,720,578 in unsecured promissory notes agreed to extend the maturity dates of such notes (as described below), with no other changes to the terms and conditions of the original promissory notes, which original promissory notes were issued in October 2021 and had original maturity dates in October 2024.”

SEMTECH CORP incurred convertible notes of $250 million aggregate principal amount with U.S. Bank Trust Company, National Association at 4.00% per year maturing November 1, 2028.

“Semtech Corporation (the “ Company ”) entered into an indenture (the “ Indenture ”) governing the terms of its $250 million aggregate principal amount of 4.00% Convertible Senior Notes due 2028”

PennyMac Financial Services, Inc. incurred term loan of $125 million with Atlas Securitized Products, L.P. at a rate reflective of the current market based on a spread above the Secured Over maturing October 25, 2028.

“y and among Issuer Trust, as issuer, PLS, as administrator and servicer, Atlas Securitized Products, L.P., as administrative agent (“Atlas”), and the syndicated lenders party thereto (the “Series 2023-GTL2 Loan Agreement”), related to the servicing spread.”

Monroe Capital Income Plus Corp incurred revolving credit of $295,000,000 with ING Capital, LLC, as Administrative Agent at (i) 1.50% per annum (or, at any time the Rating Condition is satisfied, 1.35% pe maturing October 20, 2028.

“Company, as a Borrower, the Lenders party hereto, ING Capital, LLC, as Administrative Agent and Joint Lead Arranger. The initial principal amount of the ING Credit Facility is $295,000,000, subject to availability under the borrowing base, which is based on the Company’s portfolio investments and other outstanding indebtedness, with an accordion provision to permit”

ID Auto, Inc. incurred loan of $1,000,000 with Sanjiv Gomes at 7.75% per annum, compounded semi-annually maturing October 20, 2024.

“the Company agreed to issue and sell to Sanjiv Gomes, the Company’s Chief Information Officer, in a private placement, an unsecured promissory note in the aggregate principal amount of $1,000,000 (the “Unsecured Note”). The Unsecured Note bears interest at the rate of 7.75% per annum, compounded semi-annually, and matures on October 20, 2024.”