Preferred Stock Calendar

On The Horizon

HEALTHCARE TRUST, INC.:

• Up to $15 million more of its series A cumulative redeemable perpetual preferred stock at 7.375%

• B. Riley Principal Capital, Inc. (bookrunner)

• Redeemable on or after Dec. 11, 2024 at par. Prior to that, after a delisting event at par or within 120 days after a change of control at par

• New York-based real estate investment trust

NUGENEREX IMMUNO-ONCOLOGY INC.:

• $25-par series A cumulative redeemable perpetual preferred stock at 13%

• Dawson James Securities, Inc. (bookrunner)

• Redeemable after three years at par; prior to that, within 120 days after a change of control at par

• Miramar, Fla.-based oncology company focused on the modulation of the immune system to treat cancer

GENEREX BIOTECHNOLOGY CORP.:

• $33 million of 13% series A cumulative redeemable perpetual preferred stock at $33.00 per share

• Dawson James Securities, Inc. (bookrunner)

• Redeemable on or after Sept. 15, 2023 at par; prior to that, within 120 days after a change of control at par

• Miramar, Fla.-based integrated health care holding company

ONTRAK, INC.:

• Up to $50 million more of its series A cumulative perpetual preferred stock at 9.5%

• B. Riley Securities, Inc. (sales agent)

• Redeemable on or after Aug. 21, 2025 at par; prior to that, within 90 days after a delisting event or within 120 days after a change of control at par

• Santa Monica, Calif.-based medical technology company

QURATE RETAIL, INC.:

• Series A cumulative redeemable preferred stock at 8%

• Part of special cash dividend in the amount of $1.50 per common share and 0.03 of a share of new preferred stock

• Redeemable after 10 years at par; prior to that, after a tax event, tier 2 capital event or if the company is required to register as an investment company at par

• Tupelo, Miss.-based bank holding company

GLADSTONE INVESTMENT CORP.:

• Downsized $200 million of 6% $25-par notes due 2040

• Gladstone Securities, LLC (dealer manager)

• Redeemable at the option of the company or the holders

• McLean, Va.-based middle market investment company

GREAT AJAX CORP.:

• $130 million of 7.25% series A and 5% series B preferred stock

• 125 million shares of common stock

• Redeemable on or after July 6, 2023 at par; prior to that, after a change of control

• Beaverton, Ore.-based real estate investment trust

REMARK HOLDINGS, INC.:

• $15 million of $25-par 9.5% series A cumulative redeemable perpetual preferred stock

• Roth Capital Partners, LLC and Benchmark Co., LLC (bookrunners)

• Redeemable after three years; prior to that, within 120 days after a change of control

• Las Vegas-based artificial intelligence solutions company

DYNEX CAPITAL, INC.:

• Up to $50 million more of its 7.625% series B cumulative redeemable preferred stock and its 6.9% series C fixed-to-floating rate cumulative redeemable preferred stock

• Ladenburg Thalmann & Co. Inc. and JonesTrading Institutional Services LLC (bookrunners)

• Redeemable on or after April 15, 2025 at par; prior to that, within 120 days after a change of control

• Glen Allen, Va.-based real estate investment trust specializing in mortgage-backed securities

PROSPECT CAPITAL CORP.:

• $1 billion continuous $25-par preferred stock

• Preferred Capital Securities, LLC (dealer manager)

• Dividends payable monthly

• New York-based middle market investment company

EAGLE POINT CREDIT CO. INC.:

• Up to $25 million of 7.75% series B term preferred stock

• B. Riley FBR, Inc. and National Securities Corp. (placement agents)

• Required to be redeemed on Oct. 30, 2026 at par; prior to that, after Oct. 29, 2021

• Greenwich, Conn.-based closed-end debt fund

GLADSTONE COMMERCIAL CORP.:

• Up to $500 million of series F cumulative redeemable preferred stock

• Gladstone Securities (dealer-manager)

• Redeemable at $22.50 throughout the offering

• McLean, Va.-based real estate investment trust

GREAT WESTERN BANCORP, INC.:

• $50 million $1,000-par fixed-to-floating rate subordinated notes

• Piper Sandler & Co. (bookrunner)

• Redeemable after five years at par; prior to that, after a change in law that prevents the company from deducting interest, a tier 2 capital event or if the company is required to register as an investment company at par

• Springfield. Mo.-based bank holding company

MODULAR MEDICAL, INC.:

• Up to $50 million $25-par cumulative redeemable perpetual preferred stock at 13%

• Common stock purchase warrants of $6 million shares at $11.00 per share

• Redeemable after three years

• Escondido, Calif.-based medication delivery technology company

MITESCO, INC.:

• Up to $15 million 10% cumulative series A preferred stock

• CIM Securities (lead placement agent)

• Redeemable after three years

• Denver-based holding company specializing in health care

LANCASHIRE HOLDINGS LTD.:

• Up to $450 million of fixed-rate reset junior subordinated notes due 2041

• Hamilton, Bermuda-based specialty insurance provider

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