Preferred Stock Calendar

On The Horizon

LEVEL ONE BANCORP, INC.:

• $25-par series B non-cumulative perpetual preferred stock

• Piper Sander & Co. (bookrunner)

• Redeemable after five years at par; prior to that, within 90 days after a regulatory capital treatment event

• Farmington Hills, Mich.-based bank holding company

BAYCOM CORP.:

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

• Janney Montgomery Scott LLC and D.A. Davidson & Co. (bookrunners)

• Redeemable after five years and on any coupon payment date at par; prior to that, after a change in tax law, a tier 2 capital event or if the company is required to register as an investment company at par

• Walnut Creek, Calif.-based bank holding company

GLADSTONE INVESTMENT CORP.:

• $350 million of 6% 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

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

INVESTVIEW, INC.:

• $50 million $25-par 13% cumulative perpetual preferred stock

• Capital Engine (bookrunner)

• Redeemable after three years

• Aiken, S.C.-based investor education company

ORIGINCLEAR INC.:

• $19,145,000 $25-par series M preferred stock

• Dalmore Group, LLC (broker-dealer)

• Proceeds for general corporate purposes including working capital

• Los Angeles-based water treatment company

AYTU BIOSCIENCE, INC.:

• $17.50-par series I cumulative redeemable preferred stock

• H.C. Wainwright & Co., LLC (bookrunner)

• Proceeds for working capital and other general corporate purposes

• Englewood, Colo.-based specialty pharmaceutical company

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