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TCP CAPITAL CORP. FILES (8-K) Disclosing Other Events, Financial Statements and Exhibits

June 10, 2014



Item 7.01. Other Events

On June 10, 2014, TCP Capital Corp. (the "Company") announced that it intends to privately offer $100 million in aggregate principal amount of convertible senior unsecured notes due 2019 (the "Notes"). In connection with the private offering of the Notes, the Company intends to disclose certain information to potential investors. Attached hereto as Exhibit 99.1 are excerpts from a confidential preliminary offering memorandum containing certain of such information, some of which has not been previously reported.

In addition, on June 10, 2014, the Company issued a press release announcing that it intends to privately offer, subject to market and other conditions, $100 million in aggregate principal amount of the Notes. The Company also plans to grant the initial purchasers an option to purchase up to an additional $15 million principal amount of the Notes to cover overallotments, if any. The Company intends to use the net proceeds of this offering to repay amounts outstanding under its revolving credit facilities (which will increase the funds under the revolving credit facilities available to the Company to make additional investments in portfolio companies) and to make investments in portfolio companies in accordance with its investment objective and for other general corporate purposes, including payment of operating expenses. A copy of the press release is filed herewith as Exhibit 99.2 and incorporated herein by reference.

Neither the Notes nor the common stock that may be issued upon conversion thereof will be registered under the Securities Act of 1933 (the "Securities Act"). Neither the Notes nor the common stock that may be issued upon conversion thereof may be offered or sold in the United States absent registration or an applicable exemption from the registration requirements of the Securities Act.

The information disclosed under this Item 7.01, including Exhibit 99.1 and Exhibit 99.2 hereto, is being furnished and shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, and shall not be deemed incorporated by reference into any filing made under the Securities Act, except as expressly set forth by specific reference in such filing. The furnishing of this information pursuant to Item 7.01 shall not be deemed an admission by the Company as to the materiality of such information.

Item 9.01. Financial Statements and Exhibits

d) Exhibits. Exhibit Number Description 99.1 Regulation FD Disclosure. 99.2 Press Release, dated June 10, 2014 2



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Source: Edgar Glimpses