XXXX XXXXXXX INCOME SECURITIES TRUST. XXXX XXXXXXX BANK AND THRIFT OPPORTUNITY FUND By: /s/ Xxxxx X. Xxxxxx Name: Xxxxx X. Xxxxxx Title: Senior Vice President and Corporate Secretary MELLON INVESTOR SERVICES LLC By: /s/ Xxxxxxx X Xxxxxxx Name: Xxxxxxx X. Xxxxxxx Title: Vice President Exhibit A STOCK SUBJECT TO THE AGREEMENT Client Name Common Shares Number of Authorized & issued Shares XXXX XXXXXXX PATRIOT PREMIUM DIVIDEND FUND I 14,979,601 XXXX XXXXXXX PATRIOT PREMIUM DIVIDEND FUND II 15,002,724 XXXX XXXXXXX PATRIOT PREFERRED DIVIDEND FUND 7,257,200 XXXX XXXXXXX PATRIOT GLOBAL DIVIDEND FUND 8,334,700 XXXX XXXXXXX PATRIOT SELECT DIVIDEND TRUST 9,885,027 XXXX XXXXXXX INVESTORS TRUST 7,978,242 XXXX XXXXXXX INCOME SECURITIES TRUST 10,898,374 XXXX XXXXXXX BANK AND THRIFT OPPORTUNITY FUND 84,400,000 A-1 Exhibit B SERVICES TO BE PROVIDED Account Maintenance Functions • Opening new accounts • Posting debits and credits • Maintaining certificate history • Placing and releasing stop transfer notations • Consolidating accounts • Coding accounts requiring special handling (e.g. “bad address,” “do not mail,” “VIP,” etc.) • Processing address changes • Responding to shareholder correspondence • Providing a dedicated toll-free phone number for shareholder inquiries • Obtaining and posting Taxpayer Identification Number certifications pursuant to IDTCA regulations • Maintaining inactive accounts for the purpose of research and tax reporting • Closing (purging) inactive accounts that meet selective criteria • Providing Client and its shareholders with on-line access to shareholder records • Training on all aspects of Mellon’s stock transfer system • Create and generate management reports which Client and Mellon agree upon. • Handle buck-slip inserts into statements or privacy statement and or special mailings. Security Issuance Functions • Qualifying under the rules of the NYSE and NASDAQ/AMEX to act in the dual capacity as transfer agent and registrar • Maintaining mail and window facilities for the receipt of transfer requests • Maintaining and securing unissued certificate inventory and supporting documents • Examining issuance or transfer requests to ensure that proper authority is being exercised • Verifying (to the extent possible) that surrendered certificates are genuine and have not been altered • Verifying that original issuances are properly authorized and have necessary regulatory approval • In connection with requests for transfer, verifying that Shares issued equal the amount surrendered • Place...
XXXX XXXXXXX INCOME SECURITIES TRUST. XXXX XXXXXXX BANK AND THRIFT OPPORTUNITY FUND THIS TRANSFER AGENT AGREEMENT (this “Agreement”) between Xxxx Xxxxxxx Patriot Premium Dividend Fund I, Xxxx Xxxxxxx Patriot Premium Dividend Fund II, Xxxx Xxxxxxx Patriot Preferred Dividend Xxxx, Xxxx Xxxxxxx Patriot Global Dividend Xxxx, Xxxx Xxxxxxx Patriot Select Dividend Trust, Xxxx Xxxxxxx Investors Trust, Xxxx Xxxxxxx Income Securities Trust, Xxxx Xxxxxxx Bank And Thrift Opportunity Fund, each a Massachusetts Business Trust, a Maryland corporation (each a “Client” and collectively the “Clients”) and Mellon Investor Services LLC, a New Jersey limited liability company (“Mellon”), is dated as of June 1, 2002.
XXXX XXXXXXX INCOME SECURITIES TRUST. BROKER-DEALER AGREEMENT dated as of November 4, 2003, between DEUTSCHE BANK TRUST COMPANY AMERICAS, a New York banking corporation (the "Auction Agent") (not in its individual capacity, but solely as agent of Xxxx Xxxxxxx Income Securities Trust, a Massachusetts business trust (the "Trust"), pursuant to authority granted to it in the Auction Agency Agreement dated as of November 4, 2003, between the Trust and the Auction Agent (the "Auction Agency Agreement")) and UBS Securities LLC (together with its successors and assigns, "BD"). The Trust proposes to issue 1,780 preferred shares of beneficial interest, no par value, liquidation preference $25,000 per share, designated Series A Auction Preferred Shares and 1,780 preferred shares of beneficial interest, no par value, liquidation preference $25,000 per share, designated Series B Auction Preferred Shares (collectively, the "Auction Preferred Shares" or the "APS"), pursuant to the Trust's Amended By-laws (as defined below). The Trust's Amended By-laws provide that the dividend rate on each series of APS for each Dividend Period therefore after the Initial Dividend Period shall be the Applicable Rate therefore, which in each case, in general shall be the rate per annum that a commercial bank, trust company or other financial institution appointed by the Company advises results from implementation of the Auction Procedures (as defined below). The Board of Trustees of the Trust has adopted a resolution appointing Deutsche Bank Trust Company Americas as Auction Agent for purposes of the Auction Procedures, and pursuant to the Auction Agency Agreement, the Trust has requested and directed the Auction Agent to execute and deliver this Agreement. The Auction Procedures require the participation of one or more Broker-Dealers.
XXXX XXXXXXX INCOME SECURITIES TRUST. By_________________________________________ Chairman of the Board and President The foregoing Agreement is hereby accepted as of the date thereof. XXXX XXXXXXX ADVISERS, INC. By__________________________________________ Vice Chairman of the Board and President The name Xxxx Xxxxxxx Income Securities Trust is the designation of the Trustees under the Declaration of Trust, dated October 5, 1984, as amended from time to time. The obligations of the Trust are not personally binding upon, nor shall resort be had to the private property of, any of the Trustees, shareholders, officers, employees or agents of the Trust but only the Trust's property shall be bound.
