SECURITIES AND INCOME FUND s/ Xxxx Xxxxxx ------------------------------------------ By: Xxxx Xxxxxx Title: Secretary
SECURITIES AND INCOME FUND. By: ------------------------------ Name: Xxxx Xxxxxx Title: Secretary Attest: ----------------------------------- Name: F. Xxxxx Xxxxxx Title: Vice President and Assistant Secretary THE BANK OF NEW YORK By: ------------------------------ Name: Title: Attest: ----------------------------------- APPENDIX A TO FUND ACCOUNTING AGREEMENT BETWEEN THE BANK OF NEW YORK AND
SECURITIES AND INCOME FUND. The Bank of New York (the "Bank"), as agent for Advent Claymore Convertible Securities and Income Fund (the "Fund"), shall maintain the following records on a daily basis for each Series.
SECURITIES AND INCOME FUND. The Bank of New York, as Auction Agent AUCTION AGENCY AGREEMENT This Auction Agency Agreement (this "Agreement"), dated as of _____________, 2003, is between the Advent Claymore Convertible Securities and Income Fund (the "Fund") and The Bank of New York, a New York banking corporation. The Fund proposes to issue an aggregate of 2,150 preferred shares, par value $0.001 per share, liquidation preference $25,000 per share, designated as Auction Market Preferred Shares, Series M7, an aggregate of 2,150 preferred shares, par value $0.001 per share, liquidation preference $25,000 per share, designated as Auction Market Preferred Shares, Series T28, an aggregate of 2,150 preferred shares, par value $0.001 per share, liquidation preference $25,000 per share, designated as Auction Market Preferred Shares, Series W7 and an aggregate of 2,150 preferred shares, par value $0.001 per share, liquidation preference $25,000 per share, designated as Auction Market Preferred Shares, Series TH28 (together the "AMPS"), pursuant to the Statement of Preferences (as defined below). The Fund desires that The Bank of New York perform certain duties as agent in connection with each Auction (as defined below) (in such capacity, the "Auction Agent"), and as the transfer agent, registrar, dividend paying agent and redemption agent with respect to the AMPS (in such capacity, the "Paying Agent"), upon the terms and conditions of this Agreement, and the Fund hereby appoints The Bank of New York as said Auction Agent.
SECURITIES AND INCOME FUND. By: Name: Rodd Baxter Title: Secrxxxxx THE BANK OF NEW YORK ---------------------------------- By: Name: Title: EXHIBIT A FORM OF BROKER-DEALER AGREEMENT EXHIBIT B SETTLEMENT PROCEDURES The following summary of Settlement Procedures sets forth the procedures expected to be followed in connection with the settlement of each Auction and will be incorporated by reference in the Broker-Dealer Agreement.
SECURITIES AND INCOME FUND. Dated: __________, 20___ EXHIBIT G ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND NOTICE OF FAILURE TO CURE A FAILURE TO DEPOSIT ON AUCTION MARKET PREFERRED SHARES ("AMPS") NOTICE IS HEREBY GIVEN that Advent Claymore Convertible Securities and Income Fund (the "Fund") has failed to cure its Failure to Deposit and/or has failed to pay the applicable Late Charge with respect to its Series ____ AMPS. The dividend rate on the shares of Series ___ AMPS for the current Dividend Period is _____________% per annum, the Dividend Payment Date for the current Dividend Period is scheduled to be _______________, 20___ and the next Auction Date is scheduled to be _______________, 20___.
SECURITIES AND INCOME FUND. Dated: __________, 20___
SECURITIES AND INCOME FUND. By: ----------------------------------- -------------------------------- F. Xxxxx Xxxxxx Xxxx Xxxxxx Vice President and Assistant Secretary Secretary
SECURITIES AND INCOME FUND. By: ---------------------------------- Name: Xxxx Xxxxxx Title: Secretary THE BANK OF NEW YORK By: ---------------------------------- Name: Title: SCHEDULE I CERTIFICATE OF AUTHORIZED PERSONS (THE FUND - WRITTEN INSTRUCTIONS) The undersigned hereby certifies that he/she is the duly elected and acting Secretary of Advent Claymore Convertible Securities and Income Fund (the "Fund"), and further certifies that the following officers or employees of the Fund have been duly authorized in conformity with the Fund's Declaration of Trust and By-Laws to deliver Certificates to The Bank of New York ("Custodian") pursuant to the Custody Agreement between the Fund and Custodian dated as of May 2, 2003, and that the signatures appearing opposite their names are true and correct: Name Position Signature President and Xxxxx X. Xxxxxxxx Chief Executive Officer ---------------------- Xxxx Xxxxxx Secretary ---------------------- Treasurer and Xxxx Xxxxxxxxx Chief Financial Officer ---------------------- Xxx Xxxx Vice President ---------------------- Vice President and F. Xxxxx Xxxxxx Assistant Secretary ---------------------- Xxxxxx Xxxxxx Employee of Advisor ---------------------- Xxxx Xxxxxxxxxxx Employee of Advisor ---------------------- This certificate supersedes any certificate of Authorized Persons you may currently have on file. [seal] By: --------------------------- Name: Xxxx Xxxxxx Title: Secretary Date: SCHEDULE II SERIES Common Shares - Advent Claymore Convertible Securities and Income Fund APPENDIX I THE BANK OF NEW YORK ON-LINE COMMUNICATIONS SYSTEM (THE "SYSTEM") TERMS AND CONDITIONS
SECURITIES AND INCOME FUND. By: ____________________________ Name: Rxxxxx Xxxxx Title: Chief Financial Officer Date: December 15, 2017
