June 18, 1998 Chartwell Dividend and Income Fund, Inc. c/o PFPC Inc. 400 Bellevue Parkway Wilmington, DE 19809 Re: Subscription Agreement Ladies/Gentlemen: The undersigned (the "Purchaser") hereby subscribes for 6,667 shares of Common Stock (the...Subscription Agreement • June 23rd, 1998 • Chartwell Dividend & Income Fund Inc
1 Exhibit 2(g) INVESTMENT MANAGEMENT AGREEMENT AGREEMENT made as of ____________________, 1998 between CHARTWELL DIVIDEND AND INCOME FUND, INC., a Maryland corporation (the "Fund"), and CHARTWELL INVESTMENT PARTNERS, L.P., a Pennsylvania limited...Investment Management Agreement • June 23rd, 1998 • Chartwell Dividend & Income Fund Inc • Maryland
2 3 Term Sheet and all references in this Agreement to the date of the Prospectus shall mean the date of the Term Sheet. For purposes of this Agreement, all references to the Registration Statement, any preliminary prospectus, the Prospectus or any...Purchase Agreement • June 23rd, 1998 • Chartwell Dividend & Income Fund Inc • New York
1 EXHIBIT 2(j) CUSTODIAN SERVICES AGREEMENT THIS AGREEMENT is made as of June , 1998 by and between PNC BANK, NATIONAL ASSOCIATION, a national banking association ("PNC Bank"), and CHARTWELL DIVIDEND AND INCOME FUND, INC., a Maryland corporation (the...Custodian Services Agreement • June 23rd, 1998 • Chartwell Dividend & Income Fund Inc
2 3 (d) A copy of the Fund's underwriting agreement;Transfer Agency Services Agreement • June 23rd, 1998 • Chartwell Dividend & Income Fund Inc
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST of Dividend and Income Fund (a Delaware Statutory Trust) As of April 30, 2020Agreement and Declaration of Trust • March 2nd, 2021 • Dividend & Income Fund
AGREEMENT AND DECLARATION OF TRUST initially made as of May 8, 2012, by the Trustees hereunder, and amended and/or restated from time to time, most recently as of April 30, 2020.
LOGO] MERRILL LYNCH & CO. MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED MERRILL LYNCH WORLD HEADQUARTERS NORTH TOWER WORLD FINANCIAL CENTER NEW YORK, N.Y. 10281-1305Standard Dealer Agreement • May 26th, 1998 • Chartwell Dividend & Income Fund Inc • New York
1 EXHIBIT 2(h)(2) MASTER AGREEMENT AMONG UNDERWRITERSMaster Agreement • May 26th, 1998 • Chartwell Dividend & Income Fund Inc • New York
CUSTODY AGREEMENTCustody Agreement • August 28th, 2018 • Dividend & Income Fund • New York
THIS CUSTODY AGREEMENT ("Agreement"), dated as of June 1, 2018, is entered into by and between THE HUNTINGTON NATIONAL BANK, a national bank organized under the laws of the United States (the "Custodian" or "Bank"), and severally and not jointly each Company listed on Appendix B to this Agreement, acting solely with respect to each of its series listed on such Appendix B (each such series a "Fund"), or, if no such series is listed, acting on its own behalf.
SPECIAL CUSTODY and PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • July 3rd, 2013 • Dividend & Income Fund • New York
AGREEMENT (hereinafter "Agreement"), dated as of March 29, 2012, among State Street Bank and Trust Company, a Massachusetts trust company, in its capacity as custodian hereunder ("Custodian"), Dividend and Income Fund, Inc. (the "Fund"), and BNP Paribas Prime Brokerage, Inc. (the "Counterparty").
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • July 3rd, 2013 • Dividend & Income Fund • Delaware
AGREEMENT made as of September 19, 2012, by and between Dividend and Income Fund, a Delaware statutory trust (the “Fund”), and Bexil Advisers LLC, a Maryland limited liability corporation (the “Investment Manager”).
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUSTAgreement and Declaration of Trust • August 25th, 2016 • Dividend & Income Fund
REVOLVING CREDIT AGREEMENT between DIVIDEND AND INCOME FUND,Revolving Credit Agreement • August 28th, 2018 • Dividend & Income Fund • Ohio
This REVOLVING CREDIT AGREEMENT ("Agreement") is entered into as of the June 18, 2018, by and between DIVIDEND AND INCOME FUND, a Delaware statutory trust (the "Borrower"), executing this Agreement on behalf of itself, and, if applicable, on behalf and for the benefit of those investment series set forth on Exhibit 1.1, and THE HUNTINGTON NATIONAL BANK, a national banking association (the "Bank").
Exhibit (k)(iv). Committed Facility AgreementCommitted Facility Agreement • July 3rd, 2013 • Dividend & Income Fund • New York
BNP PARIBAS PRIME BROKERAGE, INC. (“BNPP PB, Inc.”) and the counterparty specified on the signature page (“Customer”), hereby enter into this Committed Facility Agreement (this “Agreement”), dated as of the date specified on the signature page.
Execution Copyu.s. Pb Agreement • July 3rd, 2013 • Dividend & Income Fund • New York
This U.S. PB Agreement (including all terms, schedules, supplements and exhibits attached hereto, this “Agreement”) is entered into between the customer specified below (“Customer”) and BNP Paribas Prime Brokerage, Inc. (“BNPP PB, Inc.”) on behalf of itself and as agent for the BNPP Entities (as defined in the Account Agreement attached as Exhibit A hereto). The Agreement sets forth the terms and conditions on which BNPP PB, Inc. will transact business with Customer. Customer and BNPP PB, Inc., on behalf of itself and as agent for the BNPP Entities, have also entered into the Account Agreement.
Incorporating Master Service Agreement (MSA) No. (Midas Management Corporation- MSA.10/22/2003) between Subscriber Institutional Shareholder Services Inc.Addendum • February 26th, 2016 • Dividend & Income Fund
*Subscriber may elect to have invoices sent to a third party (see contact info for billing inquiries). If third party declines to pay for service, then Subscriber will be liable for entire payment.
AMENDMENT AGREEMENTu.s. Pb Agreement • July 3rd, 2013 • Dividend & Income Fund • New York
AMENDMENT AGREEMENT (“Amendment”) dated as of December 10, 2012 to the U.S. PB Agreement dated March 29, 2012 between BNP Paribas Prime Brokerage, Inc. (“BNPP PB, Inc.”) and Dividend and Income Fund, Inc. (“Customer”), (the “Agreement”).
AMENDMENT AGREEMENTCommitted Facility Agreement • August 31st, 2015 • Dividend & Income Fund • New York
AMENDMENT AGREEMENT ("Amendment") dated as of July 15, 2015 to the Committed Facility Agreement dated March 29, 2012 between BNP Paribas Prime Brokerage, Inc. ("BNPP PB, Inc.") and Dividend and Income Fund, Inc. ("Customer"), as previously amended (the "CFA" or the "Agreement").
SERVICES AGREEMENT Fund Accounting Services Tax Services between DIVIDEND AND INCOME FUND, INC. and HUNTINGTON ASSETS SERVICES, INC. as of March 1, 2012Services Agreement • August 29th, 2012 • Dividend & Income Fund • Indiana
AGREEMENT (this “Agreement”), dated as of March 1, 2012, between Dividend and Income Fund, a Maryland Corporation (the “Fund”), and Huntington Asset Services, Inc., a Delaware corporation (“HASI”).
LIQUIDITY AGREEMENTLiquidity Agreement • August 25th, 2016 • Dividend & Income Fund
THIS LIQUIDITY AGREEMENT, dated as of July 28, 2016 (this "Agreement"), is by and between each FUND LISTED ON SCHEDULE A OF THIS AGREEMENT, acting solely with respect to each of its series listed on such Schedule A, or, if no such series is listed, acting on its own behalf, severally and not jointly (each such series and each registered investment company for which no series is listed, a "Fund"), and STATE STREET BANK AND TRUST COMPANY( "State Street").
CONTROL AGREEMENTControl Agreement • August 28th, 2018 • Dividend & Income Fund • Ohio
This Control Agreement (this "Agreement"), dated June 18, 2018, is by and among Dividend and Income Fund, a Delaware statutory trust (the "Trust") executing this Agreement on behalf of itself and on behalf and for the benefit of those investment series set forth in Exhibit A (the "Funds" and each, a "Fund"), THE HUNTINGTON NATIONAL BANK, a national bank ("Bank"), and THE HUNTINGTON NATIONAL BANK, a national bank (the "Custodian").
PLEDGE AND SECURITY AGREEMENTPledge and Security Agreement • August 28th, 2018 • Dividend & Income Fund • Ohio
THIS PLEDGE AND SECURITY AGREEMENT ("Agreement"), dated as of June 18, 2018, between Dividend and Income Fund, a Delaware statutory trust (the "Trust"), executing this Agreement on behalf of itself and on behalf and for the benefit of those investment series set forth on Exhibit 1.1 (the "Fund(s)" and each, a "Fund"), and THE HUNTINGTON NATIONAL BANK, a national banking association ("Bank"). In the event of conflict between the Revolving Credit Agreement and this Agreement, this Agreement shall control.
CUSTODIAN AGREEMENTCustodian Agreement • July 15th, 2011 • Dividend & Income Fund, Inc. • Massachusetts
This Agreement is made effective the 8th day of April, 2002, by and between EACH REGISTERED INVESTMENT COMPANY LISTED ON EXHIBIT A HERETO (each a "Fund"), and STATE STREET BANK and TRUST COMPANY, a Massachusetts trust company ("State Street").
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUSTTrust Agreement • February 27th, 2024 • Bexil Investment Trust
AGREEMENT AND DECLARATION OF TRUST initially made as of May 8, 2012, by the Trustees hereunder, and amended and/or restated from time to time, most recently as of January 2, 2024.
1 EXHIBIT 2(k)(1) ADMINISTRATION AGREEMENT AGREEMENT made this ____ day of June 1998, by and between Chartwell Dividend and Income Fund, Inc., a Maryland corporation (hereinafter called the "Fund"), and Princeton Administrators, L.P., a Delaware...Administration Agreement • June 23rd, 1998 • Chartwell Dividend & Income Fund Inc • New York
Exhibit (k)(iii)(a) - Committed Secured Leveraging Facility AgreementCommitted Secured Leveraging Facility Agreement • July 15th, 2011 • Dividend & Income Fund, Inc. • Massachusetts
RIGHTS OFFERING SUPPORT SERVICE AGREEMENTSubscription and Information Agent Agreement • July 3rd, 2013 • Dividend & Income Fund • Massachusetts
Agreement made as of the 21st day of June, 2013 between Dividend and Income Fund, with principal offices at 11 Hanover Square, New York, NY 10005 (“DNI”), and The Colbent Corporation with principal offices at 161 Bay State Drive Braintree, Massachusetts 02184 (“Colbent”).
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • August 29th, 2012 • Dividend & Income Fund • Delaware
AGREEMENT made as of May 15, 2012, by and between Dividend and Income Fund, a Delaware statutory trust (the “Fund”), and Bexil Advisers LLC, a Maryland limited liability corporation (the “Investment Manager”).
AMENDMENT TO CUSTODIAN AGREEMENTCustodian Agreement • July 3rd, 2013 • Dividend & Income Fund
THIS AMENDMENT TO CUSTODIAN AGREEMENT (the “Amendment”) is made and entered into as of October 12, 2012 by and among EACH REGISTERED INVESTMENT COMPANY LISTED ON EXHIBIT A (each a “Client”), and STATE STREET BANK AND TRUST COMPANY, a Massachusetts trust company (“State Street”).
August 21, 2015 Dividend and Income Fund C/o Bexil Advisors LLC New York, NY 10005 Attn: Mr. Thomas B. Winmill RE: Dividend and Income Fund – Rights Offer Dear Thomas:Information Agent Agreement • September 28th, 2015 • Dividend & Income Fund • New York
This will serve as the Agreement between AST Fund Solutions, LLC ("AST Fund Solutions") and Dividend and Income Fund (the "Client"), pursuant to which AST Fund Solutions will serve the Client as Information Agent for a Rights Offer (the "Offer") for the Client.
STATE STREET BANK AND TRUST COMPANYFee Schedule • December 26th, 2017 • Dividend & Income Fund
Reference is hereby made to (a) the Custodian Agreement (the “Custody Agreement”) dated as of April 8, 2002 by and between State Street Bank and Trust Company (“State Street”) and each Fund listed on Exhibit A thereto (each, individually, a “Fund” and, collectively, the “Funds”), as such Custody Agreement may be amended, supplemented, restated or otherwise modified from time to time. The parties have entered into this fee schedule (“Fee Schedule”) dated December 14, 2017 and effective as of August 1, 2016 (the “Effective Date”) in order to memorialize their agreement on the compensation to be paid by the Funds to State Street for the performance of the services specified in the Custody Agreement (the “Services”). This Fee Schedule shall be subject to the terms and conditions of the Custody Agreement as if it were a part thereof. Unless otherwise agreed by the parties, this Fee Schedule shall apply to the provision of the Services to each Fund which is a party or is otherwise subject to
SUBSCRIPTION AGENT AGREEMENTSubscription Agent Agreement • September 28th, 2015 • Dividend & Income Fund • New York
This SUBSCRIPTION AGENT AGREEMENT (this "Agreement") is entered into as of September 16, 2015, by and between American Stock Transfer & Trust Company, LLC (the "Subscription Agent") and Dividend and Income Fund (the "Company").
December 14, 2017 Russell Kamerman Chief Compliance Officer and General Counsel Dividend and Income Fund New York, NY 10005 RE: Dividend and Income Fund – Rights Offer Dear Russell:Information Agent Agreement • December 26th, 2017 • Dividend & Income Fund • New York
This will serve as the Agreement between AST Fund Solutions, LLC (“AST Fund Solutions”) and Dividend and Income Fund (the “Client”), pursuant to which AST Fund Solutions will serve the Client as Information Agent for a Rights Offer (the “Offer”) for the Client.
Fee Waiver Letter BEXIL ADVISERS LLCFee Waiver Letter • July 15th, 2011 • Dividend & Income Fund, Inc.
Chartwell Dividend and Income Fund, Inc. (the “Fund”) has entered into an InvestmentManagement Agreement with Bexil Advisers LLC (the “Investment Manager”) with the same effective date as this letter agreement whereby the Investment Manager furnishes certain investment advisory and portfolio management services to the Fund.
Subscription Agent AgreementSubscription Agent Agreement • November 10th, 2011 • Dividend & Income Fund, Inc. • New York
This Subscription Agent Agreement (the "Agreement") is made as of October 27, 2011 between Dividend and Income Fund, Inc. (the "Fund") and Illinois Stock Transfer Company as subscription agent (the "Agent"). All terms not defined herein, capitalized or otherwise, shall have the meaning given in the prospectus (the "Prospectus") and Statement of Additional Information included in the Registration Statement on Form N-2 (File No. 811-8747) filed by the Fund with the Securities and Exchange Commission on July 15, 2011, as amended by any amendment filed with respect thereto (the "Registration Statement").
