Sub-Placement Agent Agreement Sample Contracts
SUB-PLACEMENT AGENT AGREEMENT ALPS Distributors, Inc.Sub-Placement Agent Agreement • May 21st, 2025 • Rivernorth Opportunities Fund, Inc.
From time to time ALPS Distributors, Inc. (the “Distributor,” “we” or “us”) will act as manager of registered at-the-market offerings by RiverNorth Opportunities Fund, Inc., a Maryland corporation (the “Fund”), of up to 15,000,000 shares (the “Shares”) of common stock, $0.0001 par value 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 the Distributor, as sales agent, the Shares (the “Distribution Agreement”).
SUB-PLACEMENT AGENT AGREEMENT BlackRock Investments, LLCSub-Placement Agent Agreement • June 2nd, 2023 • BlackRock Enhanced Equity Dividend Trust
From time to time BlackRock Investments, LLC (the “Distributor,” “we” or “us”) will act as manager of registered at-the-market offerings by BlackRock Enhanced Equity Dividend Trust, a Delaware statutory trust (the “Trust”), of up to 40,000,000 common shares (the “Shares”) of beneficial interest, par value $0.001 per share, of the Trust (the “Common Shares”). In the case of such offerings, the Trust has agreed with the Distributor to issue and sell through or to the Distributor, as sales agent and/or principal, the Shares (the “Distribution Agreement”).
SUB-PLACEMENT AGENT AGREEMENTSub-Placement Agent Agreement • November 29th, 2011 • Endowment Institutional TEI Fund, L.P. • Delaware
THIS SUB-PLACEMENT AGENT AGREEMENT (“Agreement”) made and entered into between Salient Capital, L.P. (“Salient Capital”), 4265 San Felipe, Suite 800, Houston, Texas 77027 and (hereinafter “Broker/Dealer”).
SUB-PLACEMENT AGENT AGREEMENTSub-Placement Agent Agreement • August 16th, 2019 • Agility Multi-Asset Income Fund • Delaware
This SUB-PLACEMENT AGENT AGREEMENT (the “Agreement”) dated as of July 1, 2019 is by and between Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC, both Delaware limited liability companies registered with the U.S. Securities and Exchange Commission as a broker-dealers and investment advisers (the “Sub-Placement Agent”) and UMB Distribution Services, LLC, a limited liability company organized under the laws of the State of Wisconsin and registered with the U.S. Securities and Exchange Commission as a broker-dealer (“UMBDS”).
SUB-PLACEMENT AGENT AGREEMENT BlackRock Investments, LLCSub-Placement Agent Agreement • June 6th, 2025 • BlackRock Multi-Sector Income Trust
From time to time BlackRock Investments, LLC (the “Distributor,” “we” or “us”) will act as manager of registered at-the-market offerings by BlackRock Multi-Sector Income Trust, a Delaware statutory trust (the “Trust”), of up to 13,000,000 common shares (the “Shares”) of beneficial interest, par value $0.001 per share, of the Trust (the “Common Shares”). In the case of such offerings, the Trust has agreed with the Distributor to issue and sell through or to the Distributor, as sales agent and/or principal, the Shares (the “Distribution Agreement”).
SUB-PLACEMENT AGENT AGREEMENT Invesco Distributors, Inc.Sub-Placement Agent Agreement • March 6th, 2025 • Invesco Senior Income Trust
From time to time, Invesco Distributors, Inc. (the “Distributor”, “we” or “us”) will act as distributor/ placement agent of registered at-the-market offerings by Invesco Senior Income Trust, a Delaware statutory trust (the “Fund”), of the Fund’s common shares of beneficial interest, no par value (the “Common Stock”). In the case of such offerings, the Fund has agreed with the Distributor to issue and sell through or to the Distributor, up to 77 million shares of the Fund’s Common Stock.
SUB-PLACEMENT AGENT AGREEMENT Eaton Vance Distributors, Inc. Two International Place Boston, Massachusetts 02110Sub-Placement Agent Agreement • May 30th, 2013 • Eaton Vance Senior Floating Rate Trust • New York
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 [ ] Trust, 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.
SUB-PLACEMENT AGENT AGREEMENT BlackRock Investments, LLCSub-Placement Agent Agreement • August 14th, 2025 • BLACKROCK LTD DURATION INCOME TRUST
From time to time BlackRock Investments, LLC (the “Distributor,” “we” or “us”) will act as manager of registered at-the-market offerings by BlackRock Limited Duration Income Trust, a Delaware statutory trust (the “Trust”), of up to 12,000,000 common shares (the “Shares”) of beneficial interest, par value $0.001 per share, of the Trust (the “Common Shares”). In the case of such offerings, the Trust has agreed with the Distributor to issue and sell through or to the Distributor, as sales agent and/or principal, the Shares (the “Distribution Agreement”).
AMENDMENT NO. 1 TO SUB-PLACEMENT AGENT AGREEMENTSub-Placement Agent Agreement • November 24th, 2021 • Reaves Utility Income Fund • New York
SUB-PLACEMENT AGENT AGREEMENT BlackRock Investments, LLCSub-Placement Agent Agreement • June 30th, 2025 • Blackrock Core Bond Trust
From time to time BlackRock Investments, LLC (the “Distributor,” “we” or “us”) will act as manager of registered at-the-market offerings by BlackRock Core Bond Trust, a Delaware statutory trust (the “Trust”), of up to 6,943,944 common shares (the “Shares”) of beneficial interest, par value $0.001 per share, of the Trust (the “Common Shares”). In the case of such offerings, the Trust has agreed with the Distributor to issue and sell through or to the Distributor, as sales agent and/or principal, the Shares (the “Distribution Agreement”).
Form of Agreement Nuveen Investments, LLCSub-Placement Agent Agreement • October 31st, 2007 • Nuveen Real Estate Income Fund • New York
From time to time Nuveen Investments, LLC (the “Manager”, “we” or “us”) will act as manager of registered at-the-market offerings by Nuveen Real Estate Income Fund, a Massachusetts business trust (the “Fund”), of the Fund’s common stock, par value $0.01 per share (the “Common Stock”). 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, a certain number of shares of the Fund’s Common Stock.
SUB PLACEMENT AGENT AGREEMENTSub Placement Agent Agreement • February 14th, 2025 • IX Acquisition Corp. • Communications services, nec
Pursuant to the terms of the agreement dated September 25, 2024 as amended on October 9, 2024 and November 26, 2024 (as the same may be amended, modified or supplemented from time to time, the “Placement Agent Agreement") between The Benchmark Company, LLC (“Placement Agent” or “Benchmark”) and IX Acquisition Corp. (the “SPAC”) and Aerkomm Inc and their affiliates, including any surviving or successor entities resulting from a merger or reorganization (collectively, the “Company”), Placement Agent has been engaged by the Company as a placement agent in connection with the proposed offering and private placement (the “Offering”) of securities of the Company (collectively, the “Securities”).
SUB-PLACEMENT AGENT AGREEMENT ALPS Distributors, Inc.Sub-Placement Agent Agreement • August 1st, 2025 • Abrdn Income Credit Strategies Fund
From time to time ALPS Distributors, Inc. (the “Distributor,” “we” or “us”) will act as manager of registered at-the-market offerings by abrdn Income Credit Strategies Fund, a Delaware statutory trust (the “Fund”), having an aggregate offering price of up to $75,000,000 of common shares (the “Shares”) of beneficial interest, $0.001 par value 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 the Distributor, as sales agent, the Shares (the “Distribution Agreement”).
ALPS DISTRIBUTORS, INC. AMENDMENT NO. 2 TO SUB-PLACEMENT AGENT AGREEMENTSub-Placement Agent Agreement • October 6th, 2020 • Reaves Utility Income Fund • New York
First Amendment to Sub-Placement Agent AgreementSub-Placement Agent Agreement • February 21st, 2020 • Calamos Global Total Return Fund
This FIRST AMENDMENT (this “First Amendment”) is made as of January 13, 2020 to that certain Sub-Placement Agent Agreement by and between UBS Securities LLC (the “Agent”), and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”), dated as of March 8, 2019 (the “Sub-Placement Agent Agreement”).
ALPS DISTRIBUTORS, INC. AMENDMENT NO. 3 TO SUB-PLACEMENT AGENT AGREEMENTSub-Placement Agent Agreement • June 21st, 2021 • Reaves Utility Income Fund • New York
ALPS DISTRIBUTORS, INC. AMENDMENT NO. 4 TO SUB-PLACEMENT AGENT AGREEMENTSub-Placement Agent Agreement • November 22nd, 2021 • Reaves Utility Income Fund • New York
ALPS DISTRIBUTORS, INC. AMENDMENT NO. 1 TO SUB-PLACEMENT AGENT AGREEMENTSub-Placement Agent Agreement • September 21st, 2021 • Rivernorth Opportunities Fund, Inc.
AMENDMENT NO. 1 TO SUB-PLACEMENT AGENT AGREEMENTSub-Placement Agent Agreement • April 9th, 2025 • Neuberger Berman High Yield Strategies Fund Inc. • New York
AMENDMENT NO. 1 TO SUB-PLACEMENT AGENT AGREEMENTSub-Placement Agent Agreement • February 6th, 2024 • Reaves Utility Income Fund • New York
This Amendment No. 1. (“Amendment”) is made in reference to the Sub-Placement Agent Agreement, dated September 19, 2022 (the “Sub-Placement Agent Agreement”), by and between UBS Securities LLC (“Agent”) and Paralel Distributors LLC (the “Distributor”), related to the engagement of the Agent by Manager as a sub-placement agent with respect to the initial offering of up to 8,000,000 shares of beneficial interest, no par value, to be issued and sold by the Reaves Utility Income Fund (the “Fund”) in registered at-the-market offerings. The Parties agree as follows:
ALPS DISTRIBUTORS, INC. AMENDMENT NO. 3 TO SUB-PLACEMENT AGENT AGREEMENTSub-Placement Agent Agreement • December 23rd, 2022 • Rivernorth Opportunities Fund, Inc.
SUB-PLACEMENT AGENT AGREEMENT Franklin Distributors, LLC One Franklin Parkway San Mateo, CA 94403Sub-Placement Agent Agreement • July 21st, 2025 • Western Asset Municipal High Income Fund Inc.
SUB-PLACEMENT AGENT AGREEMENTSub-Placement Agent Agreement • July 8th, 2008 • Endowment Registered Fund L P • Delaware
THIS SUB-PLACEMENT AGENT AGREEMENT (“Agreement”) made and entered into between SMH Capital, Inc. (“SMH”), 600 Travis, Suite 3100, Houston, Texas 77002 and (hereinafter “Broker/Dealer”).
WITNESSETH:Sub-Placement Agent Agreement • March 21st, 2003 • Acp Funds Trust • Delaware