{"url_path":"/sec/cik-0001786835/10-q/2026/item-6","section_key":"item-6","section_title":"Item 6 Exhibits","topic":"sec","document":{"doc_type":"10-Q","doc_date":"2026-05-15","source_url":"https://www.sec.gov/Archives/edgar/data/1786835/0001140361-26-021702-index.html","accession_number":"0001140361-26-021702","cik":"0001786835","ticker":null,"issuer_name":"Star Mountain Lower Middle-Market Capital Corp","edgar_url":"https://www.sec.gov/Archives/edgar/data/1786835/0001140361-26-021702-index.html","primary_entity_key":"0001786835","primary_entity_name":"Star Mountain Lower Middle-Market Capital Corp"},"word_count":945,"has_tables":true,"body_markdown":"Item 6.\n\nExhibits\n\nThe exhibits filed as part of this Form 10-Q are set forth on the Index to Exhibits, which is incorporated herein by reference.\n\nINDEX TO EXHIBITS\n\nExhibit\n\nNumber\n\n \n\nDescription of Document\n\n  \n\n[3.1 Certificate of Incorporation (incorporated by reference to the Company’s Form 10 Registration Statement filed on May 7, 2021)](https://www.sec.gov/Archives/edgar/data/1786835/000114036121016448/brhc10024249_ex3-1.htm)\n\n \n\n[3.1.1 Certificate of Conversion to a Corporation (incorporated by reference to the Company’s Form 10 Registration Statement filed\non May 7, 2021)](https://www.sec.gov/Archives/edgar/data/1786835/000114036121016448/brhc10024249_ex10-4.htm)\n\n \n\n[3.2 By-Laws (incorporated by reference to the Company’s Form 10 Registration Statement filed on May 7, 2021)](https://www.sec.gov/Archives/edgar/data/1786835/000114036121016448/brhc10024249_ex3-2.htm)\n\n \n\n[4.1 Form of Subscription Agreement (incorporated by reference to the Company’s Annual Report on Form 10K, filed with the SEC on March\n31, 2026)](https://www.sec.gov/Archives/edgar/data/1786835/000114036126012276/ef20060634_ex4-2.htm)\n\n \n\n[10.1 Investment Advisory Agreement between Star Mountain Credit Opportunities Fund, LP and Star Mountain Fund Management, LLC\n(incorporated by reference to the Company’s Form 10 Registration Statement filed on May 7, 2021)](https://www.sec.gov/Archives/edgar/data/1786835/000114036121016448/brhc10024249_ex10-1.htm)\n\n \n\n[10.2 Amended and Restated Investment Advisory Agreement dated as of June 14, 2023 between Star Mountain Credit Opportunities Fund,\nLP and Star Mountain Fund Management, LLC (incorporated by reference to the Company’s Current Report on Form 8-K (File No. 814-01399), filed on June 16, 2023)](https://www.sec.gov/Archives/edgar/data/1786835/000114036123030227/brhc20054528_ex10-1.htm)\n\n \n\n[10.3 Administration Agreement between Star Mountain Credit Opportunities Fund, LP and Star Mountain Fund Management LLC\n(incorporated by reference to the Company’s Form 10 Registration Statement filed on May 7, 2021)](https://www.sec.gov/Archives/edgar/data/1786835/000114036121016448/brhc10024249_ex10-2.htm)\n\n \n\n[10.4 Loan and Servicing Agreement, dated as of July 2, 2021, by and among Star Mountain Lower Middle-Market Capital Corp., as\nborrower, the lenders party thereto and Sterling National Bank, in its capacities as collateral agent and administrative agent (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K (File No.\n000-56259), filed on July 15, 2021)](https://www.sec.gov/Archives/edgar/data/1786835/000114036121024447/brhc10026887_ex10-1.htm)\n\n \n\n[10.5 First Amendment to Revolving Credit Agreement, dated as of November 10, 2021, by and among the Company, as Borrower, and\nSterling National Bank, as Administrative Agent and the Letter of Credit Issuer, and the Lenders party thereto (incorporated by reference to the Company’s Current Report on Form 8-K, filed with the SEC on November 12, 2021)](https://www.sec.gov/Archives/edgar/data/1786835/000114036121037608/brhc10030754_ex10-1.htm)\n\n \n\n[10.6 Second Amendment to Revolving Credit Agreement, dated as of January 12, 2022, by and among the Company, as Borrower, and Sterling\nNational Bank, as Administrative Agent and the Letter of Credit Issuer, and the Lenders party thereto (incorporated by reference to the Company’s Current Report on Form 8-K, filed with the SEC on January 14, 2022)](https://www.sec.gov/Archives/edgar/data/1786835/000094562122000021/exhibit101.htm)\n\n \n\n[10.7 Amendment to Loan and Servicing Agreement and Joinder Agreement, dated as of May 6, 2022, by and among the Company, as\nBorrower, and Webster Bank, N.A. (f/k/a Sterling National Bank), as Administrative Agent and the Letter of Credit Issuer, and the Lenders party thereto (incorporated by reference to the Company’s Current Report on Form 8-K, filed\nwith the SEC on May 12, 2022)](https://www.sec.gov/Archives/edgar/data/1786835/000114036122018783/brhc10037522_ex10-1.htm)\n\n \n\n[10.8 Second Amendment to Loan and Servicing Agreement, dated as of September 16, 2022, by and among the Company, as Borrower, and\nWebster Bank, N.A. (f/k/a Sterling National Bank), as Collateral Agent, Administrative Agent, Swing Lender, and Sole Lead Arranger, and the Lenders party thereto (incorporated by reference to the Company’s Current Report on Form\n8-K, filed with the SEC on September 20, 2022).](https://www.sec.gov/Archives/edgar/data/1786835/000114036122034043/brhc10042059_ex10-1.htm)\n\n \n\n[10.9 Fourth Amendment to Loan and Servicing Agreement, dated as of May 9, 2024, by and among the Company, as Borrower, and Webster\nBank, N.A. (f/k/a Sterling National Bank), as Collateral Agent, Administrative Agent, Swing Lender, and Sole Lead Arranger, and the Lenders party thereto (incorporated by reference to the Company’s Quarterly Report on Form 10-Q,\nfiled with the SEC on May 15, 2024)](https://www.sec.gov/Archives/edgar/data/1786835/000114036124026065/ef20026310_ex10-9.htm)\n\n \n\n[10.10 Fifth Amendment to Loan and Servicing Agreement, dated as of June 27, 2025, by and among the Company, as Borrower, and Webster\nBank, N.A. (f/k/a Sterling National Bank), as Collateral Agent, Administrative Agent, Swing Lender, and Sole Lead Arranger, and Lenders party thereto (incorporated by reference to the Company’s Current Report on Form 8-K, filed with\nthe SEC on July 1, 2025)](https://www.sec.gov/Archives/edgar/data/1786835/000114036125024332/ef20051404_ex10-1.htm)\n\n54\n\n[Table of Contents](#TableofContents)\n\n[10.11 Note Purchase Agreement, dated as of January 2, 2026, between the Company and the purchasers party thereto (incorporated by\nreference to the Company’s Current Report on Form 8-K, filed with the SEC on January 2, 2026)](https://www.sec.gov/Archives/edgar/data/1786835/000114036126000721/ef20062497_ex10-1.htm)\n\n \n\n[10.12 Star Mountain Lower Middle-Market Capital Corp. Distribution and Servicing Plan (incorporated by reference to the Company’s\nAnnual Report on Form 10-K, filed with the SEC on March 31, 2026)](https://www.sec.gov/Archives/edgar/data/1786835/000114036126012276/ef20060634_ex10-13.htm)\n\n \n\n[10.13 Star Mountain Lower Middle-Market Capital Corp. Class SP Shares Expense Support Agreement (incorporated by reference to the\nCompany’s Annual Report on Form 10-K, filed with the SEC on March 31, 2026)](https://www.sec.gov/Archives/edgar/data/1786835/000114036126012276/ef20060634_ex10-14.htm)\n\n \n\n[31.1* Certification of Chief Executive Officer pursuant to Rule 13a-14(a)/15d-14(a) of the Securities Exchange\nAct of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002](ef20070589_ex31-1.htm)\n\n \n\n[31.2* Certification of Chief Financial Officer pursuant to Rule 13a-14(a)/15d-14(a) of the Securities Exchange\nAct of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002](ef20070589_ex31-2.htm)\n\n \n\n[32.1** Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to\nSection 906 of the Sarbanes-Oxley Act of 2002](ef20070589_ex32-1.htm)\n\n \n\n[32.2** Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to\nSection 906 of the Sarbanes-Oxley Act of 2002](ef20070589_ex32-2.htm)\n\n \n\n*\n\nFiled herewith.\n\n**\n\nFurnished herewith.\n\n55\n\n[Table of Contents](#TableofContents)\n\nSIGNATURES\n\nPursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.\n\nStar Mountain Lower Middle-Market Capital Corp.\n\nDate: May 15, 2026\n\nBy:\n\n/s/        Brett A. Hickey\n\n \n\nName:\n\nBrett A. Hickey\n\n \n\n \n\nTitle:\n\nChief Executive Officer and President\n\nDate: May 15, 2026\n\nBy:\n\n \n\n/s/        Christopher J. Gimbert\n\n \n\nName:\n\nChristopher J. Gimbert\n\n \n\nTitle:\n\nChief Financial Officer\n\n56"}