Skip to content
Baker Capital StrategiesMARKETS. FILINGS. PERSPECTIVE.
Powered by THEMA

BAKER CAPITAL STRATEGIES

Get the free weekly BCS email.

Selected company filings and market updates, delivered by email. Your first report will follow soon.

  • Your weekly BCS reportMarket updates and links to filings you can explore.
  • THEMA at launchWe’ll send directions for setting up your filing alerts when THEMA officially opens.

One signup for the weekly email and your free THEMA Basic account at launch.

Already registered or a CSW member?Log in to THEMA →

At least 8 characters. This also creates your free THEMA account for launch.

You’re signing up for the weekly BCS email and THEMA launch/setup updates. Unsubscribe using the link in any email. Privacy policy · Terms

BCS

Current Report · Items 1.01, 2.03, 9.01 · 8-K

Trinity Capital Inc.

TRINNASDAQEQUITYCurrent

Entry into a Material Definitive Agreement · Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

Item 1.01 - Entry into a Material Definitive Agreement On September 30, 2026, Trinity Capital Inc. (the “Company”) entered into an underwriting agreement (the “Underwriting Agreement”) by and among the Company and Keefe, Bruyette & Woods, Inc.…

Filed Oct 5, 2026Accepted Oct 5, 2026, 4:52 PM EDTCIK 1786108Accession 0001213900-26-106862
Share

Company context

Trinity Capital Inc. (NYSE: TRIN) is an international alternative asset manager that seeks to deliver consistent returns for investors through access to private credit markets. Trinity Capital sources and structures investments in well-capitalized growth-oriented companies across five distinct lending verticals: Sponsor Finance, Equipment Finance, Tech Lending, Asset Based Lending, and Healthcare & Life Sciences. Headquartered in Phoenix, Arizona, Trinity Capital’s dedicated team is strategically located across the United States and Europe. For more information on Trinity Capital, please visit trinitycapital.com and stay connected to the latest activity via LinkedIn.

Current securities

Historical securities (3)

Recent company filings

  1. Regulation FD DisclosureOct 8, 2026
  2. 424B2 filingOct 2, 2026
  3. FWP - filed by Trinity Capital Inc. regarding Trinity Capital Inc.Sep 30, 2026
  4. 497AD filingSep 30, 2026
  5. 424B2 filingSep 30, 2026

Registered securities in this filing

TRINITY CAPITAL INC. · 8-K · Filed 2026-10-05

As filed in this accession. Current/historical status below comes from the governed listing record; the cover itself remains exact to this filing.

Common Stock, par value $0.001 per share

Symbol
TRIN
Exchange
NASDAQ
Classification
COMMON
Status
Current
Filing context

Context: c1

Dimensions: us-gaap:StatementClassOfStockAxis

7.875% Notes Due 2029

Symbol
TRINZ
Exchange
NASDAQ
Classification
DEBT
Status
Historical · closed Jul 24, 2026
Filing context

Context: c2

Dimensions: us-gaap:StatementClassOfStockAxis

7.875% Notes Due 2029

Symbol
TRINI
Exchange
NASDAQ
Classification
DEBT
Status
Historical · closed Jul 24, 2026
Filing context

Context: c3

Dimensions: us-gaap:StatementClassOfStockAxis

Accession 000121390026106862 · 3 registered-security cover members

Read the exact SEC filing ↗

Disclosure sections

Items 1.01, 2.03, 9.01

Select an item to read the extracted section. The as-filed document remains the primary evidence.

Item 1.01Item 1.01 - Entry into Material Agreement
Item 1.01 - Entry into a Material Definitive Agreement On September 30, 2026, Trinity Capital Inc. (the “Company”) entered into an underwriting agreement (the “Underwriting Agreement”) by and among the Company and Keefe, Bruyette & Woods, Inc. and MUFG Securities Americas Inc., as representatives of the several underwriters named in Schedule 1 thereto (collectively, the “Underwriters”), in connection with the issuance and sale of $350,000,000 aggregate principal amount of the Company’s 7.500% Notes due 2032 (the “Notes”). The Underwriting Agreement includes customary representations, warranties and covenants by the Company. It also provides for customary indemnification by each of the Company and the Underwriters against certain liabilities and customary contribution provisions in respect of those liabilities. On October 5, 2026, the Company and U.S. Bank Trust Company, National Association (the “Trustee”), entered into a ninth supplemental indenture (the “Ninth Supplemental Indenture”) to the indenture, dated as of January 16, 2020, between the Company and the Trustee (the “Base Indenture”; and together with the Ninth Supplemental Indenture, the “Indenture”), relating to the issuance of the Notes. The Notes will mature on January 15, 2032, and may be redeemed in whole or in part at the Company’s option at any time prior to December 15, 2031 at par value plus a “make-whole” premium calculated in accordance with terms under the Indenture and at par on December 15, 2031 or thereafter. The Notes bear interest at a rate of 7.500% per year payable semi-annually on January 15 and July 15 of each year, commencing on January 15, 2027. The Notes are direct, general unsecured obligations of the Company that rank senior in right of payment to all of the Company’s existing and future indebtedness or other obligations that are expressly subordinated in right of payment to the Notes, rank pari passu with all existing and future unsecured unsubordinated indebtedness or other obligations issued by the Company, rank effectively junior to any of the Company’s secured indebtedness (including unsecured indebtedness that the Company later secures) to the extent of the value of the assets securing such indebtedness, and rank structurally junior to all existing and future indebtedness or other obligations (including trade payables) incurred by the Company’s subsidiaries, financing vehicles or similar facilities. The Indenture contains certain covenants, including covenants requiring the Company to comply with the asset coverage requirements of Section 18(a)(1)(A) as modified by Section 61(a) of the Investment Company Act of 1940, as amended, or any successor provisions, but giving effect, in either case, to any exemptive relief granted to the Company by the Securities and Exchange Commission, and to provide financial information to the holders of the Notes and the Trustee if the Company should no longer be subject to the reporting requirements under the Securities Exchange Act of 1934, as amended. These covenants are subject to important limitations and exceptions that are described in the Indenture. In addition, upon the occurrence of a “change of control repurchase event,” as defined in the Indenture, the Company will generally be required to make an offer to purchase the Notes at a price equal to 100% of the principal amount of such Notes plus accrued and unpaid interest to, but not including, the date of purchase. The Notes were offered and sold in an offering registered under the Securities Act of 1933, as amended, pursuant to the Registration Statement on Form N-2 (File No. 333-289495) previously filed with the Securities and Exchange Commission on August 11, 2025, as supplemented by a preliminary prospectus supplement dated September 30, 2026, a final prospectus supplement dated September 30, 2026, and the pricing term sheet dated September 30, 2026. The transaction closed on October 5, 2026. The net proceeds to the Company were approximately $342.61 million, after deducting the underwriting discounts and estimated offering expenses. The Company intends to use the net proceeds to repay outstanding secured indebtedness under its credit agreement with KeyBank, National Association. The foregoing descriptions of the Underwriting Agreement, the Base Indenture, the Ninth Supplemental Indenture and the Notes do not purport to be complete and are qualified in their entirety by reference to the full text of the Underwriting Agreement, the Base Indenture, the Ninth Supplemental Indenture and the form of global note representing the Notes, respectively, each filed as exhibits hereto and incorporated by reference herein. This Current Report on Form 8-K shall not constitute an offer to sell or a solicitation of an offer to buy any securities, nor shall there be any sale of these securities in any state or jurisdiction in which such an offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state or other jurisdiction.
Item 2.03Item 2.03 - Creation of Direct Financial Obligation
Item 2.03 - Creation of a Direct Financial Obligation or an Obligation Under an Off-Balance Sheet Arrangement of a Registrant The information set forth under Item 1.01 of this Form 8-K is incorporated herein by reference.
Filed exhibits (1)
EX-4.2 (by filename) ea030735901_ex4-2.htm

Exhibit 4.2 NINTH SUPPLEMENTAL INDENTURE between TRINITY CAPITAL INC. and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of October 5, 2026 NINTH SUPPLEMENTAL INDENTURE THIS NINTH SUPPLEMENTAL INDENTURE (this “Ninth Supplemental Indenture”), dated as of October 5, 2026, is between Trinity Capital Inc., a Maryland corporation (the “Company”), and U.S. Bank Trust Company, National Association, as trustee (the “Trustee”). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below) unless otherwise defined herein. RECITALS OF THE COMPANY The Company and the Trustee executed and delivered an Indenture, dated as of January 16, 2020 (the “Base Indenture” and, as supplemented by this Ninth Supplemental Indenture, collectively, the “Indenture”), to provide for the issuance by the Company from time to time of the Company’s unsecured debentures, notes or other evidences of indebtedness (the “Securities”), to be issued in one or more series as provided in the Indenture. The Company desires to issue and sell $350,000,000 aggregate principal amount of the Company’s 7.500% Notes due 2032 (the “Notes”). The Company pr…

Open exhibit ↗

Privacy choices

BCS measures page use with Google Analytics using regional consent settings. You can change your preference here. Charts and market data remain available.

Essential functions — always available. Security, navigation, registration and remembering these choices.

Audience analytics

Analytics cookies are off by default for visitors Google identifies in the EEA, UK or Switzerland until allowed. Limited measurement without analytics cookies may still occur under those regional defaults.

TradingView charts, quotes and the economic calendar load automatically as page content. TradingView receives network and browser information and may collect its own usage analytics. This choice controls BCS’s Google Analytics only.

Google advertising is not enabled. Direct sponsor links do not load advertising trackers on BCS.

Turning analytics off stops future Google Analytics activity here. It does not erase information already received by the provider. Read the privacy policy.