<SEC-DOCUMENT>0001193125-19-027686.txt : 20190205
<SEC-HEADER>0001193125-19-027686.hdr.sgml : 20190205
<ACCEPTANCE-DATETIME>20190205090332
ACCESSION NUMBER:		0001193125-19-027686
CONFORMED SUBMISSION TYPE:	497AD
PUBLIC DOCUMENT COUNT:		2
FILED AS OF DATE:		20190205
DATE AS OF CHANGE:		20190205

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			FIDUS INVESTMENT Corp
		CENTRAL INDEX KEY:			0001513363
		IRS NUMBER:				275017321
		STATE OF INCORPORATION:			MD
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		497AD
		SEC ACT:		1933 Act
		SEC FILE NUMBER:	333-223350
		FILM NUMBER:		19566411

	BUSINESS ADDRESS:	
		STREET 1:		1603 ORRINGTON AVENUE
		STREET 2:		SUITE 820
		CITY:			EVANSTON
		STATE:			IL
		ZIP:			60201
		BUSINESS PHONE:		847-859-3940

	MAIL ADDRESS:	
		STREET 1:		1603 ORRINGTON AVENUE
		STREET 2:		SUITE 820
		CITY:			EVANSTON
		STATE:			IL
		ZIP:			60201
</SEC-HEADER>
<DOCUMENT>
<TYPE>497AD
<SEQUENCE>1
<FILENAME>d682890d497ad.htm
<DESCRIPTION>497AD
<TEXT>
<HTML><HEAD>
<TITLE>497AD</TITLE>
</HEAD>
 <BODY BGCOLOR="WHITE">


<Center><DIV STYLE="width:8.5in" align="left">
 <P STYLE="margin-top:0pt;margin-bottom:0pt">


<IMG SRC="g682890g0205014132114.jpg" ALT="LOGO">
 </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="right"><B>Filed Pursuant to Rule 497(a) </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="right"><B>File <FONT STYLE="white-space:nowrap">No.&nbsp;333-223350</FONT> </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="right"><B>Rule 482ad </B></P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>FIDUS
INVESTMENT CORPORATION ANNOUNCES </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>PUBLIC OFFERING OF NOTES </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>EVANSTON, Ill.,</B> <B>February</B><B></B><B>&nbsp;5, 2019</B> &#150; Fidus Investment Corporation (NASDAQ:FDUS) (&#147;Fidus&#148; or the
&#147;Company&#148;) today announced the commencement of a registered public offering of unsecured notes due 2024 (the &#147;Notes&#148;), subject to market and other conditions. The Notes are expected to be listed, and trade, on The Nasdaq Global
Select Market under the trading symbol &#147;FDUSZ&#148; within 30 days from the original issue date. The interest rate and other terms of the Notes will be determined at the time of pricing of the offering. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The Company intends to use the net proceeds from this offering to repay outstanding indebtedness under its existing credit facility with ING Capital LLC.
However, the Company may <FONT STYLE="white-space:nowrap">re-borrow</FONT> under its credit facility and use such borrowings to invest in lower middle-market companies in accordance with its investment objective and strategies and for working
capital and general corporate purposes. As of February&nbsp;4, 2019, the Company had $75.0&nbsp;million of indebtedness outstanding under its credit facility. The credit facility matures on June&nbsp;16, 2019, and borrowings under the credit
facility currently bear interest on a per annum basis equal to (i)&nbsp;the alternate base rate plus 2.5% or (ii)&nbsp;the applicable LIBOR, which varies depending on the period of the borrowing under the credit facility,&nbsp;plus 3.5%. The
alternate base rate is equal to the greater of (i)&nbsp;prime rate, (ii)&nbsp;the federal funds rate plus 0.5% or (iii)&nbsp;the three-month LIBOR plus 1.0%. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Keefe, Bruyette&nbsp;&amp; Woods, <I>A Stifel Company</I>, is acting as sole bookrunner for the offering. BB&amp;T Capital Markets, Janney Montgomery Scott
and Ladenburg Thalmann&nbsp;are acting as <FONT STYLE="white-space:nowrap">co-leads</FONT> for the offering. B. Riley FBR and William Blair&nbsp;are acting as <FONT STYLE="white-space:nowrap">co-managers</FONT> for the offering. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Investors are advised to carefully consider the investment objectives, risks and charges and expenses of the Company before investing. The preliminary
prospectus supplement dated February&nbsp;5, 2019, and accompanying prospectus dated May&nbsp;2, 2018, each of which has been filed with the U.S. Securities and Exchange Commission, contain this and other information about the Company and should be
read carefully before investing. </B></P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><I>The information in the preliminary prospectus supplement, the accompanying prospectus, and this press release is
not complete and may be changed. The preliminary prospectus supplement, the accompanying prospectus and this press release are not offers to sell or the solicitation of offers to buy, nor will there be any sale of the Notes referred to in this press
release, in any jurisdiction where such offer, solicitation or sale would be unlawful prior to the registration or qualification under the securities laws of such jurisdiction. </I></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>A shelf registration statement relating to these securities is on file with and has been declared effective by the U.S. Securities and Exchange Commission.
The offering may be made only by means of a prospectus and a related preliminary prospectus supplement, copies of which may be obtained, when available, from Keefe, Bruyette&nbsp;&amp; Woods, Inc., Attn: Debt Capital Markets, 787 Seventh Avenue, 4th
Floor, New York, NY 10019, (telephone <FONT STYLE="white-space:nowrap"><FONT STYLE="white-space:nowrap"><FONT STYLE="white-space:nowrap">number:&nbsp;1-800-966-1559).</FONT></FONT></FONT> </B></P>
<P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>ABOUT FIDUS INVESTMENT CORPORATION </B></P> <P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Fidus Investment
Corporation provides customized debt and equity financing solutions to lower middle-market companies, which management generally defines as U.S. based companies with revenues between $10&nbsp;million and $150&nbsp;million. The Company&#146;s
investment objective is to provide attractive risk-adjusted returns by generating both current income from debt investments and capital appreciation from equity related investments. Fidus seeks to partner with business owners, management teams and
financial sponsors by providing customized financing for change of ownership transactions, recapitalizations, strategic acquisitions, business expansion and other growth initiatives. </P>
</DIV></Center>


<p Style='page-break-before:always'>
<HR  SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">


<Center><DIV STYLE="width:8.5in" align="left">
 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Fidus is an externally managed, <FONT STYLE="white-space:nowrap">closed-end,</FONT> <FONT
STYLE="white-space:nowrap">non-diversified</FONT> management investment company that has elected to be treated as a business development company under the Investment Company Act of 1940, as amended. In addition, for tax purposes, Fidus has elected
to be treated as a regulated investment company under Subchapter M of the Internal Revenue Code of 1986, as amended. Fidus was formed in February 2011 to continue and expand the business of Fidus Mezzanine Capital, L.P., which commenced operations
in May 2007 and is licensed by the U.S. Small Business Administration as a small business investment company. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>FORWARD-LOOKING STATEMENTS </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">This press release may contain certain forward-looking statements which are based upon current expectations and are inherently uncertain. Any such statements,
other than statements of historical fact, are likely to be affected by other unknowable future events and conditions, including elements of the future that are or are not under the Company&#146;s control, and that the Company may or may not have
considered; accordingly, such statements cannot be guarantees or assurances of any aspect of future performance. Actual developments and results are highly likely to vary materially from these estimates and projections of the future as a result of a
number of factors, including those described from time to time in the Company&#146;s filings with the Securities and Exchange Commission. Such statements speak only as of the time when made, and are based on information available to the Company as
of the date hereof and are qualified in their entirety by this cautionary statement. The Company undertakes no obligation to update any such statement now or in the future, except as required by applicable law. </P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<TABLE CELLSPACING="0" CELLPADDING="0" WIDTH="100%" BORDER="0" STYLE="BORDER-COLLAPSE:COLLAPSE; font-family:Times New Roman; font-size:10pt" ALIGN="center">


<TR>
<TD WIDTH="51%"></TD>
<TD VALIGN="bottom" WIDTH="2%"></TD>
<TD WIDTH="47%"></TD></TR>


<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top"><B>Company Contact:</B></TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="bottom"><B>Investor Relations Contact:</B></TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Shelby E. Sherard</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="bottom">Jody Burfening</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Chief Financial Officer</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">LHA</TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Fidus Investment Corporation</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">(212) <FONT STYLE="white-space:nowrap">838-3777</FONT></TD></TR>
<TR STYLE="page-break-inside:avoid ; font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">(847) <FONT STYLE="white-space:nowrap">859-3938</FONT></TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="bottom"><U>jburfening@lhai.com</U></TD></TR>
</TABLE>
</DIV></Center>

</BODY></HTML>
</TEXT>
</DOCUMENT>
<DOCUMENT>
<TYPE>GRAPHIC
<SEQUENCE>2
<FILENAME>g682890g0205014132114.jpg
<DESCRIPTION>GRAPHIC
<TEXT>
begin 644 g682890g0205014132114.jpg
M_]C_X  02D9)1@ ! 0$ 8 !@  #_VP!#  @&!@<&!0@'!P<)"0@*#!0-# L+
M#!D2$P\4'1H?'AT:'!P@)"XG("(L(QP<*#<I+# Q-#0T'R<Y/3@R/"XS-#+_
MVP!# 0D)"0P+#!@-#1@R(1PA,C(R,C(R,C(R,C(R,C(R,C(R,C(R,C(R,C(R
M,C(R,C(R,C(R,C(R,C(R,C(R,C(R,C+_P  1" !0 )X# 2(  A$! Q$!_\0
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M0OCO_P @O1_^N[?^@UK_  L\"R^&[*34M04#4+E0 G_/)/3ZFK'Q9\-W.O\
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M$! EQ\N>E10ZE:SR+'')EFSMR,9J:>>.WB,LK;5'>@"E9V\WV][EXE@5DVE
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84Y5I&(/MFM&HH8([>(1Q#:H.0*EH __9

end
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
