Terms of AAU; Certain Definitions; Construction. Each AAU will relate to an Offering, and will identify: (i) the securities to be offered in the Offering (the “Securities”), their principal terms, the issuer or issuers (each, an “Issuer”) and any guarantor (each, a “Guarantor”) thereof, and, if different from the Issuer, the seller or sellers (each, a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving two or more syndicates (an “International Offering”), each of which will offer and sell Securities subject to such restrictions as may be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, or other similar fees, discounts, or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (B) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, or otherwise, (C) any co-managers for such Offering (the “Co-Managers”), (D) your proposed participation in the Offering, and (E) any trustee, fiscal agent, or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, or similar agreement (the “Indenture”) under which such Securities will be issued.
Appears in 80 contracts
Samples: Master Agreement Among Underwriters (Cohen & Steers Real Estate Opportunities & Income Fund), Master Agreement Among Underwriters (PIMCO Access Income Fund), Master Agreement Among Underwriters (Guggenheim Active Allocation Fund)
Terms of AAU; Certain Definitions; Construction. Each AAU will relate to an Offering, and will identify: (i) the securities to be offered in the Offering (the “Securities”), their principal terms, the issuer or issuers (each, an “Issuer”) and any guarantor (each, a “Guarantor”) thereof, and, if different from the Issuer, the seller or sellers (each, a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below)over-allotments, or (y) an offering in multiple jurisdictions or markets involving two or more syndicates (an “International Offering”), each of which will offer and sell Securities subject to such restrictions as may be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, or other similar fees, discounts, or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (B) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, or otherwise, (C) any co-managers for such Offering (the “Co-Managers”), (D) your proposed participation in the Offering, and (E) any trustee, fiscal agent, or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, or similar agreement (the “Indenture”) under which such Securities will be issued.
Appears in 53 contracts
Samples: Master Agreement Among Underwriters, Master Agreement Among Underwriters, Master Agreement Among Underwriters
Terms of AAU; Certain Definitions; Construction. Each AAU will shall relate to an Offering, Offering and will identify: shall identify (i) the securities to be offered in the Offering (the “Securities”"SECURITIES"), their principal terms, the issuer or issuers (each, each an “Issuer”"ISSUER") and any guarantor (each, each a “Guarantor”"GUARANTOR") thereof, thereof and, if different from the Issuer, the seller or sellers (each, each a “Seller”"SELLER") of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, agreement or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”"UNDERWRITING AGREEMENT") providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, purchasers or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting AgreementAgreement (including the Manager and the Co-Managers (as defined below), and whether such agreement provides for: the "UNDERWRITERS"), (xiii) if applicable, that the Underwriting Agreement includes an option (an "OVER-ALLOTMENT OPTION") to purchase Additional Securities (as defined below) to cover sales over-allotments, if any, (iv) if applicable, that the Offering is part of shares in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving that includes concurrent offerings by two or more syndicates (an “International Offering”"INTERNATIONAL OFFERING"), each of which will offer and sell Securities subject to such restrictions as may shall be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iiiv) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”"PURCHASE PRICE"), (ivvi) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”"OFFERING PRICE"), any selling concession to dealers (the “Selling Concession”"SELLING CONCESSION"), reallowance (the “Reallowance”"REALLOWANCE"), management fee, global coordinators’ ' fee, praecipium, praecipium or other similar fees, discounts, discounts or commissions (collectively, the “Fees and Commissions”"FEES AND COMMISSIONS") with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (Avii) the proposed or actual pricing date (“Pricing Date”"PRICING DATE") and settlement date (the “Settlement Date”"SETTLEMENT DATE"), (Bviii) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, Agreement or otherwise, (Cix) any co-managers for such Offering (the “Co"CO-Managers”MANAGERS"), (Dx) your proposed participation in the Offering, and (Exi) any if applicable, the trustee, fiscal agent, agent or similar agent (the “Trustee”"TRUSTEE") for the indenture, trust agreement, fiscal agency agreement, agreement or similar agreement (the “Indenture”"INDENTURE") under which such Securities will be issuedissued and (xii) any other principal terms of the Offering.
Appears in 26 contracts
Samples: Master Agreement (Nuveen Tax-Advantaged Dividend Growth Fund), Master Agreement Among Underwriters (Kayne Anderson MLP Investment CO), Master Agreement Among Underwriters (Nuveen Arizona Dividend Advantage Municipal Fund 3)
Terms of AAU; Certain Definitions; Construction. Each AAU will relate to an Offering, and will identify: (i) the securities to be offered in the Offering (the “Securities”), their principal terms, the issuer or issuers (each, an “Issuer”) and any guarantor (each, a “Guarantor”) thereof, and, if different from the Issuer, the seller or sellers (each, a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares Securities in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving two or more syndicates (an “International Offering”), each of which will offer and sell Securities subject to such restrictions as may be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, or other similar fees, discounts, or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (B) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, or otherwise, (C) any co-managers for such Offering (the “Co-Managers”), (D) your proposed participation in the Offering, and (E) any trustee, fiscal agent, or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, or similar agreement (the “Indenture”) under which such Securities will be issued.
Appears in 18 contracts
Samples: Master Agreement Among Underwriters (GAMCO Natural Resources, Gold & Income Trust), Master Agreement Among Underwriters (Dreyfus Alcentra Global Credit Income 2024 Target Term Fund, Inc.), Master Agreement Among Underwriters (Eaton Vance Floating-Rate 2022 Target Term Trust)
Terms of AAU; Certain Definitions; Construction. Each AAU will shall relate to an Offering, Offering and will identify: shall identify (i) the securities to be offered in the Offering (the “"Securities”"), their principal terms, the issuer or issuers (each, each an “"Issuer”") and any guarantor (each, each a “"Guarantor”") thereof, thereof and, if different from the Issuer, the seller or sellers (each, each a “"Seller”") of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, agreement or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “"Underwriting Agreement”") providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, purchasers or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting AgreementAgreement (including the Manager and the Co-Managers (as defined below), and whether such agreement provides for: the "Underwriters"), (xiii) if applicable, that the Underwriting Agreement includes an option (an "Over-allotment Option") to purchase Additional Securities (as defined below) to cover sales over-allotments, if any, (iv) if applicable, that the Offering is part of shares in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving that includes concurrent offerings by two or more syndicates (an “"International Offering”"), each of which will offer and sell Securities subject to such restrictions as may shall be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iiiv) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “"Purchase Price”"), (ivvi) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “"Offering Price”"), any selling concession to dealers (the “"Selling Concession”"), reallowance (the “"Reallowance”"), management fee, global coordinators’ ' fee, praecipium, praecipium or other similar fees, discounts, discounts or commissions (collectively, the “"Fees and Commissions”") with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (Avii) the proposed or actual pricing date (“"Pricing Date”") and settlement date (the “"Settlement Date”"), (Bviii) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, Agreement or otherwise, (Cix) any co-managers for such Offering (the “"Co-Managers”"), (Dx) your proposed participation in the Offering, and (Exi) any if applicable, the trustee, fiscal agent, agent or similar agent (the “"Trustee”") for the indenture, trust agreement, fiscal agency agreement, agreement or similar agreement (the “"Indenture”") under which such Securities will be issuedissued and (xii) any other principal terms of the Offering.
Appears in 14 contracts
Samples: Master Agreement Among Underwriters (Prospect Street High Income Portfolio Inc), Master Agreement (Pimco High Income Fund), Master Agreement (Cohen & Steers Advantage Income Fund Inc)
Terms of AAU; Certain Definitions; Construction. Each AAU will shall relate to an Offering, Offering and will identify: shall identify (i) the securities to be offered in the Offering (the “Securities”), their principal terms, the issuer or issuers (each, each an “Issuer”) and any guarantor (each, each a “Guarantor”) thereof, thereof and, if different from the Issuer, the seller or sellers (each, each a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, agreement or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, purchasers or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting AgreementAgreement (including the Manager and the Co-Managers (as defined below), and whether such agreement provides for: the “Underwriters”), (xiii) if applicable, that the Underwriting Agreement includes an option (an “Over-allotment Option”) to purchase Additional Securities (as defined below) to cover sales over-allotments, if any, (iv) if applicable, that the Offering is part of shares in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving that includes concurrent offerings by two or more syndicates (an “International Offering”), each of which will offer and sell Securities subject to such restrictions as may shall be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iiiv) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (ivvi) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, praecipium or other similar fees, discounts, discounts or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (Avii) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (Bviii) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, Agreement or otherwise, (Cix) any co-managers for such Offering (the “Co-Managers”), (Dx) your proposed participation in the Offering, and (Exi) any if applicable, the trustee, fiscal agent, agent or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, agreement or similar agreement (the “Indenture”) under which such Securities will be issuedissued and (xii) any other principal terms of the Offering.
Appears in 11 contracts
Samples: Master Agreement (Nuveen Build America Bond Opportunity Fund), Master Agreement (Nuveen Build America Bond Opportunity Fund), Master Agreement (ClearBridge Energy MLP Fund Inc.)
Terms of AAU; Certain Definitions; Construction. Each AAU will relate to an Offering, and will identify: (i) the securities to be offered in the Offering (the “Securities”), their principal terms, the issuer or issuers (each, an “Issuer”) and any guarantor (each, a “Guarantor”) thereof, and, if different from the Issuer, the seller or sellers (each, a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below)over- allotments, or (y) an offering in multiple jurisdictions or markets involving two or more syndicates (an “International Offering”), each of which will offer and sell Securities subject to such restrictions as may be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, or other similar fees, discounts, or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (B) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, or otherwise, (C) any co-managers for such Offering (the “Co-Co- Managers”), (D) your proposed participation in the Offering, and (E) any trustee, fiscal agent, or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, or similar agreement (the “Indenture”) under which such Securities will be issued.
Appears in 10 contracts
Samples: Master Agreement Among Underwriters (Nuveen Variable Rate Preferred & Income Fund), Master Agreement Among Underwriters (Nuveen Core Plus Impact Fund), Master Agreement Among Underwriters (RiverNorth Flexible Municipal Income Fund II, Inc.)
Terms of AAU; Certain Definitions; Construction. Each AAU will shall relate to an Offering, Offering and will identify: shall identify (i) the securities to be offered in the Offering (the “"Securities”"), their principal terms, the issuer or issuers (each, each an “"Issuer”") and any guarantor (each, each a “"Guarantor”") thereof, thereof and, if different from the Issuer, the seller or sellers (each, each a “"Seller”") of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, agreement or similar agreement (as identified in such the AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “"Underwriting Agreement”") providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, purchasers or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, Agreement (the "Underwriters") and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below), or (y) for an offering in multiple jurisdictions or markets (an "International Offering") involving two or more syndicates (an “International Offering”)syndicates, each of which will offer and sell Securities subject to such restrictions as may shall be specified in any Intersyndicate Agreement (as defined below) referred to in such the AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “"Purchase Price”"), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “"Offering Price”"), any selling concession to dealers (the “"Selling Concession”), reallowance (the “"Reallowance”"), management fee, global coordinators’ ' fee, praecipium, or other similar fees, discounts, discounts or commissions (collectively, the “"Fees and Commissions”") with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“"Pricing Date”") and settlement date (the “"Settlement Date”"), (Bvi) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, Agreement or otherwise, (Cvii) any co-managers for such the Offering (the “"Co-Managers”"), (Dviii) your proposed participation in the Offering, and (Eix) any if applicable, the trustee, fiscal agent, agent or similar agent (the “"Trustee”") for the indenture, trust agreement, fiscal agency agreement, agreement or similar agreement (the “"Indenture”") under which such the Securities will be issuedissued and (x) any other principal terms of the Offering.
Appears in 5 contracts
Samples: Master Agreement Among Underwriters (Dividend Capital Realty Income Allocation Fund), Master Agreement Among Underwriters (RMK Advantage Income Fund, Inc.), Master Agreement Among Underwriters (RMK Multi-Sector High Income Fund Inc)
Terms of AAU; Certain Definitions; Construction. Each AAU will shall relate to an OfferingOffering and shall identify, to the extent practicable and will identifyto the extent necessary in our judgment, the following: (i) the securities to be offered in the Offering (the “Securities”), their principal terms, the issuer or issuers (each, each an “Issuer”) and any guarantor (each, each a “Guarantor”) thereof, thereof and, if different from the Issuer, the seller or sellers (each, each a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, agreement or similar agreement (as identified in such AAU and as amended or supplementedsupplemented and including any terms agreement, including a terms pricing agreement or pricing similar agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, purchasers or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, Agreement (the “Underwriters”) and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below), over-allotments or (y) for an offering in multiple jurisdictions or markets involving two or more syndicates (an “International Offering”)) involving two or more syndicates, each of which will offer and sell Securities subject to such restrictions as may shall be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), ) and any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, praecipuum or other similar fees, discounts, discounts or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (Bvi) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, Agreement or otherwise, (Cvii) any co-managers for such Offering (the “Co-Managers”), (Dviii) your proposed participation in the Offering, and (Eix) any if applicable, the trustee, fiscal agent, agent or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, agreement or similar agreement (the “Indenture”) under which such Securities will be issuedissued and (x) any other principal terms of the Offering.
Appears in 3 contracts
Samples: Master Agreement Among Underwriters (Dividend Capital Strategic Global Realty Fund), Master Agreement Among Underwriters (Western Asset Municipal Defined Opportunity Trust Inc.), Master Agreement Among Underwriters (Seligman Premium Technology Growth Fund, Inc.)
Terms of AAU; Certain Definitions; Construction. Each AAU will relate to an Offering, and will identify: (i) the securities to be offered in the Offering (the “Securities”"SECURITIES"), their principal terms, the issuer or issuers (each, an “Issuer”"ISSUER") and any guarantor (each, a “Guarantor”"GUARANTOR") thereof, and, if different from the Issuer, the seller or sellers (each, a “Seller”"SELLER") of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”"UNDERWRITING AGREEMENT") providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, or others acting in a similar capacity (the “Underwriters”"UNDERWRITERS") on whose behalf the Manager (as defined below) executes the Underwriting Agreement, and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving two or more syndicates (an “International Offering”"INTERNATIONAL OFFERING"), each of which will offer and sell Securities subject to such restrictions as may be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”"PURCHASE PRICE"), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”"OFFERING PRICE"), any selling concession to dealers (the “Selling Concession”"SELLING CONCESSION"), reallowance (the “Reallowance”"REALLOWANCE"), management fee, global coordinators’ ' fee, praecipium, or other similar fees, discounts, or commissions (collectively, the “Fees and Commissions”"FEES AND COMMISSIONS") with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”"PRICING DATE") and settlement date (the “Settlement Date”"SETTLEMENT DATE"), (B) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, or otherwise, (C) any co-managers for such Offering (the “Co"CO-Managers”MANAGERS"), (D) your proposed participation in the Offering, and (E) any trustee, fiscal agent, or similar agent (the “Trustee”"TRUSTEE") for the indenture, trust agreement, fiscal agency agreement, or similar agreement (the “Indenture”"INDENTURE") under which such Securities will be issued.
Appears in 2 contracts
Samples: Master Agreement Among Underwriters (First Trust New Opportunities MLP & Energy Fund), Master Agreement Among Underwriters (First Trust Energy Infrastructure Fund)
Terms of AAU; Certain Definitions; Construction. Each AAU will relate to an Offering, and will identify: (i) the securities to be offered in the Offering (the “Securities”), their principal terms, the issuer or issuers (each, an “Issuer”) and any guarantor (each, a “Guarantor”) thereof, and, if different from the Issuer, the seller or sellers (each, a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below)over-allotments, or (y) an offering in multiple jurisdictions or markets involving two or more syndicates (an “International Offering”), each of which will offer and sell Securities subject to such restrictions as may be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, or other similar fees, discounts, or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (B) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, or otherwise, (C) any co-managers for such Offering (the “Co-Co- Managers”), (D) your proposed participation in the Offering, and (E) any trustee, fiscal agent, or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, or similar agreement (the “Indenture”) under which such Securities will be issued.
Appears in 2 contracts
Samples: Master Agreement Among Underwriters (Calamos Long/Short Equity & Dynamic Income Trust), Master Agreement Among Underwriters
Terms of AAU; Certain Definitions; Construction. Each AAU will shall relate to an Offering, Offering and will identify: shall identify (i) the securities to be offered in the Offering (the “"Securities”"), their principal terms, the issuer or issuers (each, each an “"Issuer”") and any guarantor (each, each a “"Guarantor”") thereof, thereof and, if different from the Issuer, the seller or sellers (each, each a “"Seller”") of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, agreement or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “"Underwriting Agreement”") providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, purchasers or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting AgreementAgreement (including the Manager and the Co-Managers (as defined below), and whether such agreement provides for: the "Underwriters"), (xiii) if applicable, that the Underwriting Agreement includes an option (an "Over-allotment Option") to purchase Additional Securities (as defined below) to cover sales over-allotments, if any, (iv) if applicable, that the Offering is part of shares in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving that includes concurrent offerings by two or more syndicates (an “"International Offering”"), each of which will offer and sell Securities subject to such restrictions as may shall be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iiiv) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “"Purchase Price”"), (ivvi) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “"Offering Price”"), any selling concession to dealers (the “"Selling Concession”"), reallowance (the “"Reallowance”"), management fee, global coordinators’ ' fee, praecipium, praecipium or other similar fees, discounts, discounts or commissions (collectively, the “"Fees and Commissions”") with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (Avii) the proposed or actual pricing date (“"Pricing Date”") and settlement date (the “"Settlement Date”"), (Bviii) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, Agreement or otherwise, (Cix) any co-co- managers for such Offering (the “"Co-Managers”"), (Dx) your proposed participation in the Offering, and (Exi) any if applicable, the trustee, fiscal agent, agent or similar agent (the “"Trustee”") for the indenture, trust agreement, fiscal agency agreement, agreement or similar agreement (the “"Indenture”") under which such Securities will be issuedissued and (xii) any other principal terms of the Offering.
Appears in 2 contracts
Samples: Master Agreement (Pimco Corporate Income Fund), Master Agreement (Pimco Corporate Income Fund)
Terms of AAU; Certain Definitions; Construction. Each AAU will relate to an Offering, and will identify: (i) the securities to be offered in the Offering (the “Securities”), their principal terms, the issuer or issuers (each, an “Issuer”) and any guarantor (each, a “Guarantor”) thereof, and, if different from the Issuer, the seller or sellers (each, a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below)over- allotments, or (y) an offering in multiple jurisdictions or markets involving two or more syndicates (an “International Offering”), each of which will offer and sell Securities subject to such restrictions as may be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, or other similar fees, discounts, or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (B) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, or otherwise, (C) any co-managers for such Offering (the “Co-Managers”), (D) your proposed participation in the Offering, and (E) any trustee, fiscal agent, or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, or similar agreement (the “Indenture”) under which such Securities will be issued.
Appears in 1 contract
Samples: Master Agreement Among Underwriters (Gabelli Dividend & Income Trust)
Terms of AAU; Certain Definitions; Construction. Each AAU will shall relate to an Offering, Offering and will identify: shall identify (i) the securities to be offered in the Offering (the “Securities”"SECURITIES"), their principal terms, the issuer Issuer or issuers Issuers (each, an “Issuer”each a "ISSUER") and any guarantor (each, each a “Guarantor”"GUARANTOR") thereof, thereof and, if different from the Issuer, the seller or sellers (each, each a “Seller”"SELLER") of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, agreement or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”"UNDERWRITING AGREEMENT") providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, purchasers or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, Agreement (the "UNDERWRITERS") and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below), over-allotments or (y) for an offering in multiple jurisdictions or markets (an "INTERNATIONAL OFFERING") involving two or more syndicates (an “International Offering”)syndicates, each of which will offer and sell Securities subject to such restrictions as may shall be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”"PURCHASE PRICE"), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”"OFFERING PRICE"), any selling concession to dealers (the “Selling Concession”"SELLING CONCESSION"), reallowance (the “Reallowance”"REALLOWANCE"), management fee, global coordinators’ ' fee, praecipium, praecipium or other similar fees, discounts, discounts or commissions (collectively, the “Fees and Commissions”"FEES AND COMMISSIONS") with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”"PRICING DATE") and settlement date (the “Settlement Date”"SETTLEMENT DATE"), (Bvi) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, Agreement or otherwise, (Cvii) any co-managers for such Offering (the “Co"CO-Managers”MANAGERS"), (Dviii) your proposed participation in the Offering, and (Eix) any if applicable, the trustee, fiscal agent, agent or similar agent (the “Trustee”"TRUSTEE") for the indenture, trust agreement, fiscal agency agreement, agreement or similar agreement (the “Indenture”"INDENTURE") under which such Securities will be issuedissued and (x) any other principal terms of the Offering.
Appears in 1 contract
Samples: Master Agreement Among Underwriters (RMR Asia Pacific Real Estate Fund)
Terms of AAU; Certain Definitions; Construction. Each AAU will shall relate to an Offering, Offering and will identify: shall identify (i) the securities to be offered in the Offering (the “Securities”), their principal terms, the issuer Issuer or issuers Issuers (each, an each a “Issuer”) and any guarantor (each, each a “Guarantor”) thereof, thereof and, if different from the Issuer, the seller or sellers (each, each a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, agreement or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, purchasers or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, Agreement (the “Underwriters”) and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below), over-allotments or (y) for an offering in multiple jurisdictions or markets involving two or more syndicates (an “International Offering”)) involving two or more syndicates, each of which will offer and sell Securities subject to such restrictions as may shall be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, praecipium or other similar fees, discounts, discounts or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (Bvi) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, Agreement or otherwise, (Cvii) any co-managers for such Offering (the “Co-Managers”), (Dviii) your proposed participation in the Offering, and (Eix) any if applicable, the trustee, fiscal agent, agent or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, agreement or similar agreement (the “Indenture”) under which such Securities will be issuedissued and (x) any other principal terms of the Offering.
Appears in 1 contract
Samples: Master Agreement Among Underwriters (RMR Asia Real Estate Fund)
Terms of AAU; Certain Definitions; Construction. Each AAU will shall relate to an Offering, Offering and will identify: shall identify (i) the securities to be offered in the Offering (the “Securities”"SECURITIES"), their principal terms, the issuer or issuers (each, each an “"Issuer”") and any guarantor (each, each a “Guarantor”"GUARANTOR") thereof, thereof and, if different from the Issuer, the seller or sellers (each, each a “Seller”"SELLER") of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, agreement or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”"UNDERWRITING AGREEMENT") providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, purchasers or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting AgreementAgreement (including the Manager and the Co-Managers (as defined below), and whether such agreement provides for: the "UNDERWRITERS"), (xiii) if applicable, that the Underwriting Agreement includes an option (an "OVER-ALLOTMENT OPTION") to purchase Additional Securities (as defined below) to cover sales over-allotments, if any, (iv) if applicable, that the Offering is part of shares in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving that includes concurrent offerings by two or more syndicates (an “International Offering”"INTERNATIONAL OFFERING"), each of which will offer and sell Securities subject to such restrictions as may shall be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iiiv) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”"PURCHASE PRICE"), (ivvi) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”"OFFERING PRICE"), any selling concession to dealers (the “Selling Concession”"SELLING CONCESSION"), reallowance (the “Reallowance”"REALLOWANCE"), management fee, global coordinators’ ' fee, praecipium, praecipium or other similar fees, discounts, discounts or commissions (collectively, the “Fees and Commissions”"FEES AND COMMISSIONS") with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (Avii) the proposed or actual pricing date (“Pricing Date”"PRICING DATE") and settlement date (the “Settlement Date”"SETTLEMENT DATE"), (Bviii) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, Agreement or otherwise, (Cix) any co-managers for such Offering (the “Co"CO-Managers”MANAGERS"), (Dx) your proposed participation in the Offering, and (Exi) any if applicable, the trustee, fiscal agent, agent or similar agent (the “Trustee”"TRUSTEE") for the indenture, trust agreement, fiscal agency agreement, agreement or similar agreement (the “Indenture”"INDENTURE") under which such Securities will be issuedissued and (xii) any other principal terms of the Offering.
Appears in 1 contract
Samples: Master Agreement Among Underwriters (Nuveen Quality Preferred Income Fund 2)
Terms of AAU; Certain Definitions; Construction. Each AAU will relate to an Offering, and will identify: (i) the securities to be offered in the Offering (the “Securities”"SECURITIES"), their principal terms, the issuer or issuers (each, an “Issuer”"ISSUER") and any guarantor (each, a “Guarantor”"GUARANTOR") thereof, and, if different from the Issuer, the seller or sellers (each, a “Seller”"SELLER") of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”"UNDERWRITING AGREEMENT") providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, or others acting in a similar capacity (the “Underwriters”"UNDERWRITERS") on whose behalf the Manager (as defined below) executes the Underwriting Agreement, and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares Securities in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving two or more syndicates (an “International Offering”"INTERNATIONAL OFFERING"), each of which will offer and sell Securities subject to such restrictions as may be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”"PURCHASE PRICE"), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”"OFFERING PRICE"), any selling concession to dealers (the “Selling Concession”"SELLING CONCESSION"), reallowance (the “Reallowance”"REALLOWANCE"), management fee, global coordinators’ ' fee, praecipium, or other similar fees, discounts, or commissions (collectively, the “Fees and Commissions”"FEES AND COMMISSIONS") with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”"PRICING DATE") and settlement date (the “Settlement Date”"SETTLEMENT DATE"), (B) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, or otherwise, (C) any co-managers for such Offering (the “Co"CO-Managers”MANAGERS"), (D) your proposed participation in the Offering, and (E) any trustee, fiscal agent, or similar agent (the “Trustee”"TRUSTEE") for the indenture, trust agreement, fiscal agency agreement, or similar agreement (the “Indenture”"INDENTURE") under which such Securities will be issued.
Appears in 1 contract
Samples: Master Agreement Among Underwriters (First Trust Dynamic Europe Equity Income Fund)
Terms of AAU; Certain Definitions; Construction. Each AAU will shall relate to an Offering, Offering and will identify: shall identify (i) the securities to be offered in the Offering (the “"Securities”"), their principal terms, the issuer or issuers (each, each an “Issuer”) and any guarantor (each, each a “Guarantor”) thereof, thereof and, if different from the Issuer, the seller or sellers (each, each a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, agreement or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, purchasers or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting AgreementAgreement (including the Manager and the Co-Managers (as defined below), and whether such agreement provides for: the “Underwriters”), (xiii) if applicable, that the Underwriting Agreement includes an option (an “Over-allotment Option”) to purchase Additional Securities (as defined below) to cover sales over-allotments, if any, (iv) if applicable, that the Offering is part of shares in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving that includes concurrent offerings by two or more syndicates (an “International Offering”), each of which will offer and sell Securities subject to such restrictions as may shall be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iiiv) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (ivvi) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, praecipium or other similar fees, discounts, discounts or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (Avii) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (Bviii) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, Agreement or otherwise, (Cix) any co-managers for such Offering (the “Co-Managers”), (Dx) your proposed participation in the Offering, and (Exi) any if applicable, the trustee, fiscal agent, agent or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, agreement or similar agreement (the “Indenture”) under which such Securities will be issuedissued and (xii) any other principal terms of the Offering.
Appears in 1 contract
Samples: Master Agreement (Seligman LaSalle International Real Estate Fund, Inc.)
Terms of AAU; Certain Definitions; Construction. Each AAU will shall relate to an OfferingOffering and shall identify, to the extent practicable and will identifyto the extent necessary in our judgment, the following: (i) the securities to be offered in the Offering (the “Securities”"SECURITIES"), their principal terms, the issuer or issuers (each, each an “Issuer”"ISSUER") and any guarantor (each, each a “Guarantor”"GUARANTOR") thereof, thereof and, if different from the Issuer, the seller or sellers (each, each a “Seller”"SELLER") of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, agreement or similar agreement (as identified in such AAU and as amended or supplementedsupplemented and including any terms agreement, including a terms pricing agreement or pricing similar agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”"UNDERWRITING AGREEMENT") providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, purchasers or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, Agreement (the "UNDERWRITERS") and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below), over-allotments or (y) for an offering in multiple jurisdictions or markets (an "INTERNATIONAL OFFERING") involving two or more syndicates (an “International Offering”)syndicates, each of which will offer and sell Securities subject to such restrictions as may shall be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”"PURCHASE PRICE"), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), "OFFERING PRICE") and any selling concession to dealers (the “Selling Concession”"SELLING CONCESSION"), reallowance (the “Reallowance”"REALLOWANCE"), management fee, global coordinators’ ' fee, praecipium, praecipuum or other similar fees, discounts, discounts or commissions (collectively, the “Fees and Commissions”"FEES AND COMMISSIONS") with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”"PRICING DATE") and settlement date (the “Settlement Date”"SETTLEMENT DATE"), (Bvi) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, Agreement or otherwise, (Cvii) any co-managers for such Offering (the “Co"CO-Managers”MANAGERS"), (Dviii) your proposed participation in the Offering, and (Eix) any if applicable, the trustee, fiscal agent, agent or similar agent (the “Trustee”"TRUSTEE") for the indenture, trust agreement, fiscal agency agreement, agreement or similar agreement (the “Indenture”"INDENTURE") under which such Securities will be issuedissued and (x) any other principal terms of the Offering.
Appears in 1 contract
Samples: Master Agreement Among Underwriters (First Trust High Income Long/Short Fund)
Terms of AAU; Certain Definitions; Construction. Each AAU will relate to an Offering, and will identify: (i) the securities to be offered in the Offering (the “Securities”), their principal terms, the issuer or issuers (each, an “Issuer”) and any guarantor (each, a “Guarantor”) thereof, and, if different from the Issuer, the seller or sellers (each, a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving two or more syndicates (an “International Offering”), each of which will offer and sell Securities subject to such restrictions as may be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, or other similar fees, discounts, or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (B) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, or otherwise, (C) any co-managers for such Offering (the “Co-Managers”), (D) your proposed participation in the Offering, and (E) any trustee, fiscal agent, or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, or similar agreement (the “Indenture”) under which such Securities will be issued.
Appears in 1 contract
Samples: Master Agreement Among Underwriters (Eagle Point Credit Co Inc.)
Terms of AAU; Certain Definitions; Construction. Each AAU will shall relate to an Offering, Offering and will identify: shall identify (i) the securities to be offered in the Offering (the “"Securities”"), their principal terms, the issuer or issuers (each, each an “"Issuer”") and any guarantor (each, each a “"Guarantor”") thereof, thereof and, if different from the Issuer, the seller or sellers (each, each a “"Seller”") of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, agreement or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “"Underwriting Agreement”") providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, purchasers or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting AgreementAgreement (including the Manager and the Co-Managers (as defined below), and whether such agreement provides for: the "Underwriters"), (xiii) if applicable, that the Underwriting Agreement includes an option (an "Over- allotment Option") to purchase Additional Securities (as defined below) to cover sales over-allotments, if any, (iv) if applicable, that the Offering is part of shares in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving that includes concurrent offerings by two or more syndicates (an “"International Offering”"), each of which will offer and sell Securities subject to such restrictions as may shall be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iiiv) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “"Purchase Price”"), (ivvi) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “"Offering Price”"), any selling concession to dealers (the “"Selling Concession”"), reallowance (the “"Reallowance”"), management fee, global coordinators’ ' fee, praecipium, praecipium or other similar fees, discounts, discounts or commissions (collectively, the “"Fees and Commissions”") with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (Avii) the proposed or actual pricing date (“"Pricing Date”") and settlement date (the “"Settlement Date”"), (Bviii) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, Agreement or otherwise, (Cix) any co-managers for such Offering (the “Co-"Co- Managers”"), (Dx) your proposed participation in the Offering, and (Exi) any if applicable, the trustee, fiscal agent, agent or similar agent (the “"Trustee”") for the indenture, trust agreement, fiscal agency agreement, agreement or similar agreement (the “"Indenture”") under which such Securities will be issuedissued and (xii) any other principal terms of the Offering.
Appears in 1 contract
Samples: Master Agreement (Alliance National Municipal Income Fund)
Terms of AAU; Certain Definitions; Construction. Each AAU will shall relate to an Offering, Offering and will identify: shall identify (i) the securities to be offered in the Offering (the “Securities”"SECURITIES"), their principal terms, the issuer or issuers (each, each an “Issuer”"ISSUER") and any guarantor (each, each a “Guarantor”"GUARANTOR") thereof, thereof and, if different from the Issuer, the seller or sellers (each, each a “Seller”"SELLER") of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, agreement or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”"UNDERWRITING AGREEMENT") providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, purchasers or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting AgreementAgreement (including the Manager and the Co-Managers (as defined below), and whether such agreement provides for: the "UNDERWRITERS"), (xiii) if applicable, that the Underwriting Agreement includes an option (an "OVER-ALLOTMENT OPTION") to purchase Additional Securities (as defined below) to cover sales over-allotments, if any, (iv) if applicable, that the Offering is part of shares in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving that includes concurrent offerings by two or more syndicates (an “International Offering”"INTERNATIONAL OFFERING"), each of which will offer and sell Securities subject to such restrictions as may shall be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iiiv) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”"PURCHASE PRICE"), (ivvi) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”"OFFERING PRICE"), any selling concession to dealers (the “Selling Concession”"SELLING CONCESSION"), reallowance (the “Reallowance”"REALLOWANCE"), management fee, global coordinators’ ' fee, praecipium, praecipium or other similar fees, discounts, discounts or commissions (collectively, the “Fees and Commissions”"FEES AND COMMISSIONS") with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (Avii) the proposed or actual pricing date (“Pricing Date”"PRICING DATE") and settlement date (the “Settlement Date”"SETTLEMENT DATE"), (Bviii) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, Agreement or otherwise, (Cix) any co-managers for such Offering (the “Co"CO-Managers”MANAGERS"), (Dx) your proposed participation in the Offering, and (Exi) any if applicable, the trustee, fiscal agent, agent or similar agent (the “Trustee”"TRUSTEE") for the indenture, trust agreement, fiscal agency agreement, agreement or similar agreement (the “"Indenture”") under which such Securities will be issuedissued and (xii) any other principal terms of the Offering.
Appears in 1 contract
Samples: Master Agreement Among Underwriters (Aim Select Real Estate Income Fund)
Terms of AAU; Certain Definitions; Construction. Each AAU will relate to an Offering, and will identify: (i) the securities to be offered in the Offering (the “Securities”), their principal terms, the issuer or issuers (each, an “Issuer”) and any guarantor (each, a “Guarantor”) thereof, and, if different from the Issuer, the seller or sellers (each, a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities Shares (as defined below), or (y) an offering in multiple jurisdictions or markets involving two or more syndicates (an “International Offering”), each of which will offer and sell Securities subject to such restrictions as may be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, or other similar fees, discounts, or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (B) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, or otherwise, (C) any co-managers for such Offering (the “Co-Managers”), (D) your proposed participation in the Offering, and (E) any trustee, fiscal agent, or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, or similar agreement (the “Indenture”) under which such Securities will be issued.
Appears in 1 contract
Samples: Master Agreement Among Underwriters (Eagle Growth & Income Opportunities Fund)
Terms of AAU; Certain Definitions; Construction. Each AAU will relate to an Offering, and will identify: (i) the securities to be offered in the Offering (the “Securities”), their principal terms, the issuer or issuers (each, an “Issuer”) and any guarantor (each, a “Guarantor”) thereof, and, if different from the Issuer, the seller or sellers (each, a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below)over-allotments, or (y) an offering in multiple jurisdictions or markets involving two or more syndicates (an “International Offering”), each of which will offer and sell Securities subject to such restrictions as may be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, or other similar fees, discounts, or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (B) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, or otherwise, (C) any co-managers for such Offering (the “Co-Managers”), (D) your proposed participation in the Offering, and (E) any trustee, fiscal agent, or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, or similar agreement (the “Indenture”) under which such Securities will be issued.and
Appears in 1 contract
Samples: Master Agreement Among Underwriters
Terms of AAU; Certain Definitions; Construction. Each AAU will shall relate to an Offering, Offering and will identify: shall identify (i) the securities to be offered in the Offering (the “Securities”"), their principal terms, the issuer or issuers (each, each an “Issuer”) and any guarantor (each, each a “Guarantor”) thereof, thereof and, if different from the Issuer, the seller or sellers (each, each a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, agreement or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, purchasers or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting AgreementAgreement (including the Manager and the Co-Managers (as defined below), and whether such agreement provides for: the “Underwriters”), (xiii) if applicable, that the Underwriting Agreement includes an option (an “Over-allotment Option”) to purchase Additional Securities (as defined below) to cover sales over-allotments, if any, (iv) if applicable, that the Offering is part of shares in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving that includes concurrent offerings by two or more syndicates (an “International Offering”), each of which will offer and sell Securities subject to such restrictions as may shall be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iiiv) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (ivvi) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, praecipium or other similar fees, discounts, discounts or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (Avii) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (Bviii) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, Agreement or otherwise, (Cix) any co-managers for such Offering (the “Co-Managers”), (Dx) your proposed participation in the Offering, and (Exi) any if applicable, the trustee, fiscal agent, agent or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, agreement or similar agreement (the “Indenture”) under which such Securities will be issuedissued and (xii) any other principal terms of the Offering.
Appears in 1 contract
Samples: Master Agreement Among Underwriters (Madison Strategic Sector Premium Fund)
Terms of AAU; Certain Definitions; Construction. Each AAU will relate to an Offering, and will identify: (i) the securities to be offered in the Offering (the “"Securities”"), their principal terms, the issuer or issuers (each, an “"Issuer”") and any guarantor (each, a “"Guarantor”") thereof, and, if different from the Issuer, the seller or sellers (each, a “"Seller”") of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “"Underwriting Agreement”") providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, or others acting in a similar capacity (the “"Underwriters”") on whose behalf the Manager (as defined below) executes the Underwriting Agreement, and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving two or more syndicates (an “"International Offering”"), each of which will offer and sell Securities subject to such restrictions as may be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “"Purchase Price”"), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “"Offering Price”"), any selling concession to dealers (the “"Selling Concession”"), reallowance (the “"Reallowance”"), management fee, global coordinators’ ' fee, praecipium, or other similar fees, discounts, or commissions (collectively, the “"Fees and Commissions”") with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“"Pricing Date”") and settlement date (the “"Settlement Date”"), (B) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, or otherwise, (C) any co-managers for such Offering (the “"Co-Managers”"), (D) your proposed participation in the Offering, and (E) any trustee, fiscal agent, or similar agent (the “"Trustee”") for the indenture, trust agreement, fiscal agency agreement, or similar agreement (the “"Indenture”") under which such Securities will be issued.
Appears in 1 contract
Samples: Master Agreement Among Underwriters (First Trust MLP & Energy Income Fund)
Terms of AAU; Certain Definitions; Construction. Each AAU will relate to an Offering, and will identify: (i) the securities to be offered in the Offering (the “Securities“ Securities ”), their principal terms, the issuer or issuers (each, an “Issuer“ Issuer ”) and any guarantor (each, a “Guarantor“ Guarantor ”) thereof, and, if different from the Issuer, the seller or sellers (each, a “Seller“ Seller ”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the ““ Underwriting AgreementAgreement ”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, or others acting in a similar capacity (the “Underwriters“ Underwriters ”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below)over-allotments, or (y) an offering in multiple jurisdictions or markets involving two or more syndicates (an ““ International OfferingOffering ”), each of which will offer and sell Securities subject to such restrictions as may be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the ““ Purchase PricePrice ”), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the ““ Offering PricePrice ”), any selling concession to dealers (the ““ Selling ConcessionConcession ”), reallowance (the “Reallowance“ Reallowance ”), management fee, global coordinators’ fee, praecipium, or other similar fees, discounts, or commissions (collectively, the ““ Fees and CommissionsCommissions ”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (““ Pricing DateDate ”) and settlement date (the ““ Settlement DateDate ”), (B) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, or otherwise, (C) any co-managers for such Offering (the ““ Co-ManagersManagers ”), (D) your proposed participation in the Offering, and (E) any trustee, fiscal agent, or similar agent (the “Trustee“ Trustee ”) for the indenture, trust agreement, fiscal agency agreement, or similar agreement (the “Indenture“ Indenture ”) under which such Securities will be issued.
Appears in 1 contract
Samples: Master Agreement Among Underwriters (Guggenheim Equal Weight Enhanced Equity Income Fund)
Terms of AAU; Certain Definitions; Construction. Each AAU will relate to an Offering, and will identify: (i) the securities to be offered in the Offering (the “SecuritiesSecurities ”), their principal terms, the issuer or issuers (each, an “Issuer”) and any guarantor (each, a “Guarantor”) thereof, and, if different from the Issuer, the seller or sellers (each, a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving two or more syndicates (an “International Offering”), each of which will offer and sell Securities subject to such restrictions as may be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, or other similar fees, discounts, or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (B) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, or otherwise, (C) any co-managers for such Offering (the “Co-Managers”), (D) your proposed participation in the Offering, and (E) any trustee, fiscal agent, or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, or similar agreement (the “Indenture”) under which such Securities will be issued.
Appears in 1 contract
Samples: Master Agreement Among Underwriters (MainStay DefinedTerm Municipal Opportunities Fund)
Terms of AAU; Certain Definitions; Construction. Each AAU will shall relate to an Offering, Offering and will identify: shall identify (i) the securities to be offered in the Offering (the “Securities”"SECURITIES"), their principal terms, the issuer or issuers (each, each an “Issuer”"ISSUER") and any guarantor (each, each a “Guarantor”"GUARANTOR") thereof, thereof and, if different from the Issuer, the seller or sellers (each, each a “Seller”"SELLER") of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, agreement or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”"UNDERWRITING AGREEMENT") providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, purchasers or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting AgreementAgreement (including the Manager and the Co-Managers (as defined below), and whether such agreement provides for: the "UNDERWRITERS"), (xiii) if applicable, that the Underwriting Agreement includes an option (an "OVER-ALLOTMENT OPTION") to purchase Additional Securities (as defined below) to cover sales over-allotments, if any, (iv) if applicable, that the Offering is part of shares in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving that includes concurrent offerings by two or more syndicates (an “International Offering”"INTERNATIONAL OFFERING"), each of which will offer and sell Securities subject to such restrictions as may shall be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iiiv) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”"PURCHASE PRICE"), (ivvi) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”"OFFERING PRICE"), any selling concession to dealers (the “"Selling Concession”"), reallowance (the “Reallowance”"REALLOWANCE"), management fee, global coordinators’ ' fee, praecipium, praecipium or other similar fees, discounts, discounts or commissions (collectively, the “Fees and Commissions”"FEES AND COMMISSIONS") with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (Avii) the proposed or actual pricing date (“Pricing Date”"PRICING DATE") and settlement date (the “Settlement Date”"SETTLEMENT DATE"), (Bviii) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, Agreement or otherwise, (Cix) any co-managers for such Offering (the “Co"CO-Managers”MANAGERS"), (Dx) your proposed participation in the Offering, and (Exi) any if applicable, the trustee, fiscal agent, agent or similar agent (the “Trustee”"TRUSTEE") for the indenture, trust agreement, fiscal agency agreement, agreement or similar agreement (the “Indenture”"INDENTURE") under which such Securities will be issuedissued and (xii) any other principal terms of the Offering.
Appears in 1 contract
Samples: Master Agreement Among Underwriters (Cna Income Shares Inc)
Terms of AAU; Certain Definitions; Construction. Each AAU will relate to an Offering, and will identify: (i) the securities to be offered in the Offering (the “Securities”), their principal terms, the issuer or issuers (each, an “Issuer”) and any guarantor (each, a “Guarantor”) thereof, and, if different from the Issuer, the seller or sellers (each, a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving two or more syndicates (an “International Offering”), each of which will offer and sell Securities subject to such restrictions as may be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, or other similar fees, discounts, or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (B) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, or otherwise, (C) any co-managers for such Offering (the “Co-Managers”), (D) your proposed participation in the Offering, and (E) any trustee, fiscal agent, or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, or similar agreement (the “Indenture”) under which such Securities will be issued.,
Appears in 1 contract
Samples: Master Agreement Among Underwriters (Salient Midstream & MLP Fund)
Terms of AAU; Certain Definitions; Construction. Each AAU will relate to an Offering, Offering and will identify: (i) the securities to be offered in the Offering (the “Securities”), their principal terms, the issuer or issuers (each, an “Issuer”) and any guarantor (each, a “Guarantor”) thereof, and, if different from the Issuer, the seller or sellers (each, a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, agreement or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, purchasers or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, Agreement and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below), or (y) an offering in multiple jurisdictions or markets involving two or more syndicates (an “International Offering”), each of which will offer and sell Securities subject to such restrictions as may be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, praecipium or other similar fees, discounts, discounts or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (B) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, Agreement or otherwise, (C) any co-managers for such Offering (the “Co-Managers”), (D) your proposed participation in the Offering, and (E) any trustee, fiscal agent, agent or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, agreement or similar agreement (the “Indenture”) under which such Securities will be issued.
Appears in 1 contract
Terms of AAU; Certain Definitions; Construction. Each AAU will relate to an Offering, Offering and will identify: (i) the securities to be offered in the Offering (the “Securities”), their principal terms, the issuer or issuers (each, an “Issuer”) and any guarantor (each, a “Guarantor”) thereof, and, if different from the Issuer, the seller or sellers (each, a “Seller”) of the Securities, (ii) the underwriting agreement, purchase agreement, standby underwriting agreement, distribution agreement, agreement or similar agreement (as identified in such AAU and as amended or supplemented, including a terms agreement or pricing agreement pursuant to any of the foregoing, collectively, the “Underwriting Agreement”) providing for the purchase, on a several and not joint basis, of the Securities by the several underwriters, initial purchasers, purchasers or others acting in a similar capacity (the “Underwriters”) on whose behalf the Manager (as defined below) executes the Underwriting Agreement, Agreement and whether such agreement provides for: (x) an option to purchase Additional Securities (as defined below) to cover sales of shares in excess of the number of Firm Securities (as defined below)over-allotments, or (y) an offering in multiple jurisdictions or markets involving two or more syndicates (an “International Offering”), each of which will offer and sell Securities subject to such restrictions as may be specified in any Intersyndicate Agreement (as defined below) referred to in such AAU, (iii) the price at which the Securities are to be purchased by the several Underwriters from any Issuer or Seller thereof (the “Purchase Price”), (iv) the offering terms, including, if applicable, the price or prices at which the Securities initially will be offered by the Underwriters (the “Offering Price”), any selling concession to dealers (the “Selling Concession”), reallowance (the “Reallowance”), management fee, global coordinators’ fee, praecipium, praecipium or other similar fees, discounts, discounts or commissions (collectively, the “Fees and Commissions”) with respect to the Securities, and (v) other principal terms of the Offering, which may include, without limitation: (A) the proposed or actual pricing date (“Pricing Date”) and settlement date (the “Settlement Date”), (B) any contractual restrictions on the offer and sale of the Securities pursuant to the Underwriting Agreement, Intersyndicate Agreement, Agreement or otherwise, (C) any co-managers for such Offering (the “Co-Managers”), (D) your proposed participation in the Offering, and (E) any trustee, fiscal agent, agent or similar agent (the “Trustee”) for the indenture, trust agreement, fiscal agency agreement, agreement or similar agreement (the “Indenture”) under which such Securities will be issued.
Appears in 1 contract
Samples: Master Agreement Among Underwriters (StoneCastle Financial Corp.)