N-2asr Sample Contracts
CĪON Investment Corporation as Issuer and U.S. BANK NATIONAL ASSOCIATION as Trustee Form of Indenture Dated as of [ ], 2022 Providing for the Issuance of Debt Securities CĪON Investment Corporation Reconciliation and tie between Trust Indenture Act of...Indenture • February 1st, 2022 • CION Investment Corp • New York
Master Custodian AgreementMaster Custodian Agreement • April 30th, 2021 • Calamos Strategic Total Return Fund • Massachusetts
This Agreement is made as of September 11, 2009 by and among each management investment company identified on Appendix A hereto (each such investment company and each management investment company made subject to this Agreement in accordance with Section 19.5 below, shall hereinafter be referred to as a “Fund”), and State Street Bank and Trust Company, a Massachusetts trust company (the “Custodian”).
FORM OF SUB-PLACEMENT AGENT AGREEMENT Eaton Vance Distributors, Inc. One Post Office Square Boston, Massachusetts 02109Sub-Placement Agent Agreement • April 29th, 2025 • Eaton Vance Tax-Managed Buy-Write Opportunities Fund
From time to time Eaton Vance Distributors, Inc. (the “Distributor”, “we” or “us”) will act as manager of registered at-the-market offerings by Eaton Vance [ ], a Massachusetts business trust (the “Fund”), of up to [ ] common shares (the “Shares”) of beneficial interest, par value $0.01 per share, of the Fund (the “Common Shares”). In the case of such offerings, the Fund has agreed with the Distributor to issue and sell through or to the Distributor, as sales agent and/or principal, the Shares.
FORM OF DEALER AGREEMENT John Hancock Investment Management Distributors LLCDealer Agreement • April 13th, 2022 • John Hancock Premium Dividend Fund • New York
From time to time John Hancock Investment Management Distributors LLC (the “Manager”, “we” or “us”) will act as manager of registered at-the-market offerings by John Hancock Premium Dividend Fund, a Massachusetts business trust (the “Fund”), of up to ______________ common shares (the “Shares”) of beneficial interest, with no par value, of the Fund (the “Common Shares”). In the case of such offerings, the Fund has agreed with the Manager to issue and sell through or to the Manager, as sales agent and/or principal, the Shares.
Guggenheim Strategic Opportunities Fund Fourth Amended and Restated Agreement and Declaration of Trust Dated as of February 29, 2024Agreement and Declaration of Trust • May 6th, 2024 • Guggenheim Strategic Opportunities Fund
FOURTH AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST made as of the 29th day of February, 2024, by the Trustees hereunder, and by the holders of shares of beneficial interest issued hereunder as hereinafter provided.
FORM OF DISTRIBUTION AGREEMENTDistribution Agreement • February 21st, 2025 • Calamos Convertible & High Income Fund • New York
This DISTRIBUTION AGREEMENT (this “Agreement”) made as of February 24, 2025 by and between Calamos Convertible and High Income Fund, a Delaware statutory trust (the “Fund”), and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”).
FORM OF DISTRIBUTION AGREEMENT EATON VANCE [ ] TRUST One Post Office Square Boston, Massachusetts 02109Distribution Agreement • April 29th, 2025 • Eaton Vance Tax-Managed Buy-Write Opportunities Fund
Eaton Vance [ ] Trust is a Massachusetts business trust operating as a closed-end management investment company (hereinafter referred to as the “Fund”). The Fund has filed an automatic shelf registration statement “as defined under Rule 405 under the Securities Act of 1933, as amended (the “1933 Act”) on Form N-2 (File Nos. 333-[ ] and 811-[ ]) (the “Registration Statement”) pursuant to the Investment Company Act of 1940, as amended, and the 1933 Act, to register additional common shares of the Fund, which may be issued and sold from time to time through various specified transactions, including at-the-market (“ATM”) offerings. “Registration Statement” as used herein includes the Prospectus, Statement of Additional Information, including materials incorporated therein and any supplements or amendments thereto.
NUVEEN DYNAMIC MUNICIPAL OPPORTUNITIES FUND Chicago, Illinois 60606Distribution Agreement • August 26th, 2021 • Nuveen Dynamic Municipal Opportunities Fund
Nuveen Dynamic Municipal Opportunities Fund is a Massachusetts business trust operating as a closed-end management investment company (hereinafter referred to as the “Fund”). The Fund has filed an automatic shelf registration statement on Form N-2 (File Nos. 333- [ ] and 811-23489) (the “Registration Statement”) pursuant to the Investment Company Act of 1940, as amended, and the Securities Act of 1933, as amended, to register additional common shares of the Fund, which may be issued and sold from time to time through various specified transactions, including at-the-market (“ATM”) offerings. The Fund also has filed or will file a prospectus supplement (“Prospectus Supplement”) pursuant to Rule 424 under the Securities Act of 1933 in connection with the offering of its common shares through an ATM offering.
Master Custodian AgreementMaster Custodian Agreement • April 13th, 2022 • John Hancock Premium Dividend Fund • Massachusetts
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • November 12th, 2021 • Blackrock Municipal Income Trust Ii • New York
AGREEMENT, dated September 29, 2006, between BlackRock Municipal Income Trust II (the “Trust”), a Delaware statutory trust, and BlackRock Advisors, LLC (the “Advisor”), a Delaware limited liability company.
calamos dYNAMIC CONVERTIBLE AND INCOME fund BY-LAWS (as amended and restated through January 12, 2021)By-Laws • May 27th, 2021 • Calamos Dynamic Convertible & Income Fund
EATON VANCE ENHANCED EQUITY INCOME FUND INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • January 20th, 2022 • Eaton Vance Enhanced Equity Income Fund • Massachusetts
AGREEMENT made as of this 1st day of March, 2021, between Eaton Vance Enhanced Equity Income Fund, a Massachusetts business trust (the “Trust”), and Eaton Vance Management, a Massachusetts business trust (the “Adviser”).
AMENDED AND RESTATED INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • March 19th, 2025 • Nuveen Credit Strategies Income Fund • Illinois
AGREEMENT effective as of this 31st day of December 2020 by and between Nuveen Fund Advisors, LLC, a Delaware limited liability company and a registered investment adviser (“Manager”), and Nuveen Asset Management, LLC, a Delaware limited liability company and a federally registered investment adviser (“Sub-Adviser”).
PIMCO CORPORATE & INCOME OPPORTUNITY FUND COMMON SHARES CAPITAL ON DEMAND™ THIRD AMENDED AND RESTATED SALES AGREEMENTSales Agreement • September 28th, 2023 • Pimco Corporate & Income Opportunity Fund • New York
PIMCO Corporate & Income Opportunity Fund, an unincorporated voluntary association with transferable shares organized and existing under and by virtue of the laws of The Commonwealth of Massachusetts (commonly referred to as a Massachusetts business trust) (the “Fund”), Pacific Investment Management Company LLC, a Delaware limited liability company (the “Manager”), and JonesTrading Institutional Services LLC (“Jones”) previously entered into a Capital on Demand™ Second Amended and Restated Sales Agreement dated October 5, 2021, as amended (the “Original Agreement”). The parties hereby amend and restate the Original Agreement and the parties hereto collectively confirm their agreement in the form of this Capital on Demand™ Third Amended and Restated Sales Agreement (this “Agreement”), which supersedes and replaces the Original Agreement, as follows:
SEVENTH AMENDED AND RESTATED SECURITIES LENDING AGENCY AGREEMENTSecurities Lending Agency Agreement • November 12th, 2021 • Blackrock Municipal Income Trust Ii • New York
This Seventh Amended and Restated Agreement, dated as of January 1, 2021, between each investment company, severally and not jointly, identified on Schedule A, as such schedule may be amended from time to time (each a “Client”), acting on behalf of itself or the funds listed on Schedule A hereto and any future series of a Client (each, a “Fund”), by and through BlackRock Advisors, LLC (“BlackRock”), not in its individual capacity but as agent and investment advisor, and BlackRock Investment Management, LLC (the “Lending Agent”), a Delaware limited liability company.
Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Schedule A Attached Hereto and Computershare Inc. and Computershare Trust Company, N.A.Transfer Agency and Service Agreement • March 19th, 2021 • Nuveen Preferred & Income Securities Fund • New York
THIS TRANSFER AGENCY AND SERVICE AGREEMENT, effective as of June 15, 2017 (“Effective Date”), is by and between each of the Nuveen closed-end investment companies listed on Schedule A attached hereto, as may be amended from time to time (“Schedule A”) (each such investment company, a “Fund”), and Computershare Inc., a Delaware corporation (“Computershare”), and its fully owned subsidiary Computershare Trust Company, N.A., a federally chartered trust company (“Trust Company”, and together with Computershare, “Transfer Agent”), each having a principal office and place of business at 250 Royall Street, Canton, Massachusetts 02021.
JOHN HANCOCK PREMIUM DIVIDEND FUND AMENDED AND RESTATED ADVISORY AGREEMENTAdvisory Agreement • April 13th, 2022 • John Hancock Premium Dividend Fund • Massachusetts
Amended and Restated Advisory Agreement dated _____________________, 2020, between John Hancock Premium Dividend Fund, a Massachusetts business trust (the “Fund”), and John Hancock Investment Management LLC, a Delaware limited liability company (“JHIM” or the “Adviser”). In consideration of the mutual covenants contained herein, the parties agree as follows:
AMENDED AND RESTATED BYLAWS of PIMCO MUNICIPAL INCOME FUND II (Amended and Restated as of July 14, 2021)Bylaws • August 11th, 2022 • Pimco Municipal Income Fund Ii
AMENDMENT TO THE AMENDED AND RESTATED CUSTODIAN AGREEMENT BETWEEN EACH MANAGEMENT INVESTMENT COMPANY IDENTIFIED ON APPENDIX A OF THE AGREEMENT AND STATE STREET BANK AND TRUST COMPANYCustodian Agreement • August 26th, 2021 • Nuveen Dynamic Municipal Opportunities Fund
AMENDMENT to the Amended and Restated Custodian Agreement (the “Agreement”) made as of July 15, 2015 by and between State Street Bank and Trust Company, a Massachusetts trust company (the “Custodian”) and each management investment company identified on Appendix A of the Agreement and each management investment company which becomes a party to this Agreement in accordance with the terms hereof (in each case, a “Fund” or “Funds”), including, if applicable, each series of the Fund identified on Appendix A and each series which becomes a party to this Agreement in accordance with the terms hereof.
FIRST AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • March 19th, 2021 • Nuveen Preferred & Income Opportunities Fund
This First Amendment (“Amendment”) is entered into and effective as of this the 7th day of September, 2017, and hereby amends that certain Transfer Agency and Service Agreement by and among each Nuveen closed-end investment companies listed on Schedule A attached hereto, as may be amended from time to time (“Schedule A”) (each such investment company, a “Fund”), and Computershare Inc., (“Computershare”) and its fully owned subsidiary Computershare Trust Company, N.A., (“Trust Company”, and together with Computershare, “Transfer Agent”) dated June 15, 2017 (the “Agreement”). Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to such terms in the Agreement.
ADMINISTRATION AGREEMENTAdministration Agreement • May 27th, 2021 • Calamos Dynamic Convertible & Income Fund • Massachusetts
THIS ADMINISTRATION AGREEMENT (this “Agreement”) is entered into as of October 26, 2018 by and between State Street Bank and Trust Company, a Massachusetts trust company (the “Administrator”), and each registered management investment company identified on Schedule A hereto (each, a “Trust” and, together with the Administrator, the “Parties”), and shall be effective on November 1, 2018 (the “Effective Date”).
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • April 13th, 2022 • John Hancock Premium Dividend Fund
THIS AGREEMENT, dated as of January 19, 2022, between the Acquiring Fund (the “Acquiring Fund”), and the Acquired Fund (the “Acquired Fund” and together with the Acquiring Fund, the ”Funds”), listed on Schedule A.
ADMINISTRATIVE SERVICES AGREEMENTAdministrative Services Agreement • January 20th, 2022 • Eaton Vance Enhanced Equity Income Fund • Massachusetts
AGREEMENT made this 1st day of March, 2021, between Eaton Vance Enhanced Equity Income Fund, a Massachusetts business trust (the “Trust”), and Eaton Vance Management, a Massachusetts business trust (“Eaton Vance”).
NUVEEN AMT-FREE MUNICIPAL CREDIT INCOME FUND UNDERWRITING AGREEMENT (THE “AGREEMENT”) (MFP Shares)Underwriting Agreement • November 18th, 2021 • Nuveen AMT-Free Municipal Credit Income Fund • New York
Nuveen AMT-Free Municipal Credit Income Fund (the “Fund”), Nuveen Fund Advisors, LLC (the “Investment Adviser”) and Nuveen Asset Management, LLC (the “Sub-Adviser,” and together with the Investment Adviser, the “Advisers”), confirm their respective agreements with [NAME] (the “Underwriter,”), with respect to the issue and sale by the Fund and the purchase by the Underwriter of [-] Series [-] MuniFund Preferred Shares, par value $0.01 per share and liquidation preference of $1,000 per share (the “MFP Shares”), in the Variable Rate Remarketed Mode (the MFP Shares, while in the Variable Rate Remarketed Mode, the “Securities”).
AMENDED & RESTATED SUPPORT SERVICES AGREEMENTSupport Services Agreement • June 23rd, 2022 • PIMCO Dynamic Income Fund • New York
This AMENDED AND RESTATED AGREEMENT is made on this 9th day of December, 2021, by and between PIMCO Investments LLC, a Delaware limited liability company (“PI”), and each of the investment companies listed on Appendix A hereto (each a “Fund” and, collectively, the “Funds”), in each case acting and agreeing with PI severally and neither jointly nor jointly and severally with any other Fund.
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • April 13th, 2022 • John Hancock Premium Dividend Fund • Massachusetts
THIS AGREEMENT (the “Agreement”) is made as of this 30th day of June, 2020 by and among the trusts listed in Appendix A (the “Trusts”), on behalf of themselves and each of their funds (the “Funds”), John Hancock Investment Management LLC (formerly, John Hancock Advisers, LLC) (“John Hancock”) and the Trust’s Chief Compliance Officer, Frank Knox (the “CCO”).
To the Trustees of the John Hancock Group of Funds Boston, MA 02116 Re: Agreement to Waive Advisory Fees and Reimburse ExpensesAgreement to Waive Advisory Fees and Reimburse Expenses • April 13th, 2022 • John Hancock Premium Dividend Fund
John Hancock Variable Trust Advisers LLC (formerly John Hancock Investment Management Services, LLC) and John Hancock Investment Management LLC (formerly John Hancock Advisers, LLC) (collectively, the “Advisers”), each an investment adviser to the investment companies listed in Appendix A (collectively, the “John Hancock Funds”), hereby notify you as follows:
CONTINUANCE OF MANAGEMENT AGREEMENTSManagement Agreement • November 18th, 2021 • Nuveen AMT-Free Municipal Credit Income Fund
Agreement made as of this 30th day of July 2021, by and between the entities listed on Appendix A (the “Funds”), and Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”), to be effective August 1, 2021.
CUSTODIAL AGREEMENTCustodial Agreement • December 17th, 2021 • Hercules Capital, Inc. • New York
THIS CUSTODIAL AGREEMENT (this “Agreement”) dated as of April 23, 2021, is entered into between HERCULES FUNDING IV LLC (the “Owner”) and WELLS FARGO BANK, NATIONAL ASSOCIATION, as custodian (in such capacity, the “ Custodian”).
NUVEEN AMT-FREE MUNICIPAL CREDIT INCOME FUND (NVG) AND NUVEEN FUND ADVISORS, LLC AND REMARKETING AGREEMENT Dated as of [●] Series [●] MuniFund Preferred Shares Variable Rate Remarketed Mode (NVG – Series [●] MFP)Remarketing Agreement • November 18th, 2021 • Nuveen AMT-Free Municipal Credit Income Fund • New York
This REMARKETING AGREEMENT, dated as of [●] (this “Agreement”), by and among Nuveen AMT-Free Municipal Credit Income Fund, a closed-end investment company organized as a Massachusetts business trust (the “Fund”), Nuveen Fund Advisors, LLC, a registered investment adviser and wholly-owned subsidiary of Nuveen Investments, Inc. (the “Investment Adviser”), and [●] (the “Remarketing Agent”).
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • June 23rd, 2022 • PIMCO Dynamic Income Fund • California
INVESTMENT MANAGEMENT AGREEMENT, made this 8th day of May, 2018, between each Delaware limited liability company listed on Appendix A attached hereto (each a “Fund” and, together, the “Funds”), and Pacific Investment Management Company LLC (“PIMCO”), a Delaware limited liability company. Capitalized terms not otherwise defined herein have the meanings specified in the Limited Liability Company Agreement of each Fund (as amended, restated or otherwise modified from time to time, the “LLC Agreement”).
NUVEEN OPEN-END AND CLOSED-END FUNDS DEFERRED COMPENSATION PLAN FOR INDEPENDENT DIRECTORS AND TRUSTEES (As Amended and Restated Effective May 8, 2020)Deferred Compensation Plan • March 25th, 2021 • Nuveen Municipal Credit Opportunities Fund • Illinois
as Company and FS GLOBAL CREDIT OPPORTUNITIES FUND, as Investment Manager INVESTMENT MANAGEMENT AGREEMENT Dated as of March 10, 2015Investment Management Agreement • January 14th, 2025 • FS Credit Opportunities Corp.
INVESTMENT MANAGEMENT AGREEMENT, dated as of March 10, 2015 (this “Agreement”), between BUCKS FUNDING, a Cayman Islands company limited by shares (the “Company”), and FS GLOBAL CREDIT OPPORTUNITIES FUND, a Delaware statutory trust, as investment manager (in such capacity, the “Investment Manager”).
AMENDMENT TO CUSTODIAN AGREEMENTSCustodian Agreement • May 31st, 2022 • Pimco High Income Fund
THIS AMENDMENT is made as of the close of business on the 5th day of September, 2014 (the “Amendment”), by and among State Street Bank and Trust Company (“State Street”), each investment company listed on Schedule A hereto (each, a “Fund” and, together, the “Funds”) and Pacific Investment Management Company LLC (“PIMCO”).
Transfer Agency and Service Agreement Between CBRE Global Real Estate Income Fund and Computershare Trust Company, N.A. and Computershare Inc.Transfer Agency and Service Agreement • February 21st, 2023 • Cbre Global Real Estate Income Fund • New York
THIS TRANSFER AGENCY AND SERVICE AGREEMENT, effective as of May 1, 2022 (“Effective Date”), is by and between CBRE Global Real Estate Income Fund, a Delaware corporation, having its principal office and place of business at 201 King of Prussia Road, Suite 600 Radnor, PA 19087 (“Company”), and Computershare Inc., a Delaware corporation (“Computershare”), and its affiliate Computershare Trust Company, N.A., a federally chartered trust company (“Trust Company”, and together with Computershare, “Agent”), each having a principal office and place of business at 150 Royall Street, Canton, Massachusetts 02021.