BetweenManagement Agreement • November 1st, 1999 • Nuveen Senior Income Fund
EXHIBIT K.6 CREDIT AGREEMENT Dated as of December 14, 1999Credit Agreement • May 19th, 2000 • Nuveen Senior Income Fund • New York
Shares* NUVEEN SENIOR INCOME FUND Common Shares of Beneficial Interest Par Value $.01 Per Share UNDERWRITING AGREEMENT ---------------------- PAINEWEBBER INCORPORATED JOHN NUVEEN & CO. INCORPORATED as Representatives of the Several Underwriters named...Underwriting Agreement • September 24th, 1999 • Nuveen Senior Income Fund • New York
Relating toBroker-Dealer Agreement • May 19th, 2000 • Nuveen Senior Income Fund • New York
1 EXHIBIT K.7 CREDIT AGREEMENT Dated as of ________ __, 2000Credit Agreement • May 19th, 2000 • Nuveen Senior Income Fund • New York
1 EXHIBIT h NUVEEN SENIOR INCOME FUND 1,840 TAXABLE AUCTIONED PREFERRED SHARES UNDERWRITING AGREEMENTUnderwriting Agreement • May 19th, 2000 • Nuveen Senior Income Fund • New York
betweenAuction Agency Agreement • May 19th, 2000 • Nuveen Senior Income Fund • New York
AMENDED AND RESTATED MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • September 28th, 2010 • Nuveen Senior Income Fund • Massachusetts
This Agreement between those NUVEEN INVESTMENT COMPANIES (each such investment company and each investment company made subject to this Agreement in accordance with Section 19 herein, be referred to as a “Fund” and collectively as the “Funds”) listed on Appendix A hereto (hereinafter “Appendix A” as it may be amended from time to time), which may be Massachusetts business trusts or have such other form of organization as may be indicated, and STATE STREET BANK and TRUST COMPANY, a Massachusetts trust company (the “Custodian”).
W I T N E S S E T H - - - - - - - - - -Expense Reimbursement Agreement • September 24th, 1999 • Nuveen Senior Income Fund
DEALER AGREEMENT Nuveen Securities, LLCDealer Agreement • March 11th, 2013 • Nuveen Senior Income Fund • New York
From time to time Nuveen Securities, LLC (the “Manager”, “we” or “us”) will act as manager of registered at-the-market offerings by Nuveen Senior Income Fund, a Massachusetts business trust (the “Fund”), of the Fund’s common stock, par value $0.01 per share (the “Common Stock”). In the case of such offerings, the Fund has agreed with the Manager to issue and sell through or to the Manager, as sales agent and/or principal, a certain number of shares of the Fund’s Common Stock.
Transfer Agency and Service Agreement Among Each of the Nuveen Closed End Investment Companies Listed on Exhibit A Hereto and State Street Bank and Trust CompanyTransfer Agency and Service Agreement • November 30th, 2012 • Nuveen Senior Income Fund • Massachusetts
AGREEMENT made as of the 7th day of October, 2002, by and among each of the Nuveen closed-end investment companies listed on Exhibit A hereto, which may be amended from time to time, each being either a Minnesota corporation or a Massachusetts business trust as indicated on Exhibit A (each a “Fund” or the “Fund”), and State Street Bank and Trust Company, a Massachusetts trust company, having a principal office and place of business at 225 Franklin Street, Boston, Massachusetts 02110 (the “Transfer Agent”).
NUVEEN SENIOR INCOME FUND Chicago, Illinois 60606Distribution Agreement • March 11th, 2013 • Nuveen Senior Income Fund
Nuveen Senior Income Fund is a Massachusetts business trust operating as a closed-end management investment company (hereinafter referred to as the “Fund”). The Fund has filed a registration statement on Form N-2 (File Nos. 333-187030 and 811-09571) (the “Registration Statement”) pursuant to the Investment Company Act of 1940, as amended, and the Securities Act of 1933, as amended, to register additional common shares of the Fund, which may be issued and sold from time to time through various specified transactions, including at-the-market (“ATM”) offerings.
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • June 4th, 2010 • Nuveen Senior Income Fund • Illinois
AGREEMENT MADE THIS 13th day of November, 2007 by and between Nuveen Asset Management a Delaware corporation and a federally registered investment adviser (“Manager”), and Symphony Asset Management LLC, a California limited liability company and a federally registered investment adviser (“Sub-Adviser”).
1 Exhibit k.8 LIQUIDITY AGREEMENT Dated as of _________ __, 2000Liquidity Agreement • May 19th, 2000 • Nuveen Senior Income Fund • New York
NUVEEN EXCHANGE-TRADED FUNDS MASTER SELECTED DEALER AGREEMENT --------------------------------Master Selected Dealer Agreement • September 24th, 1999 • Nuveen Senior Income Fund • New York
] Shares NUVEEN SENIOR INCOME FUND TERM PREFERRED SHARES UNDERWRITING AGREEMENTUnderwriting Agreement • November 1st, 2016 • Nuveen Senior Income Fund • New York
change in the condition, financial or otherwise, earnings, business affairs or business prospects of the Sub-Adviser, materially and adversely affect the properties or assets of the Sub-Adviser or materially impair or adversely affect the ability of the Sub-Adviser to function as an investment adviser or perform its obligations under the Sub-Advisory Agreement, or which is required to be disclosed in the Registration Statement, the Time of Sale Prospectus and the Prospectus, which is not described as required.
NUVEEN SENIOR INCOME FUND Common Stock ($0.01 par value) EQUITY DISTRIBUTION AGREEMENTEquity Distribution Agreement • September 28th, 2010 • Nuveen Senior Income Fund • New York
Nuveen Investments, LLC, a Delaware limited liability company (the “Manager”), confirms its agreement, subject to the terms and conditions stated herein, to retain Stifel, Nicolaus & Company, Incorporated (the “Agent”) as the Manager’s exclusive sub-placement agent with respect to registered at-the-market offerings of 2,900,000 shares (the “Shares”) of the common stock, $0.01 par value per share (the “Common Stock”), of Nuveen Senior Income Fund, a Massachusetts business trust (the “Fund”), on the terms set forth in Section 2 of this Equity Distribution Agreement (the “Agreement”). The Fund’s investment adviser is Nuveen Asset Management, a Delaware corporation, and the Fund’s investment subadviser is Symphony Asset Management, LLC, a California limited liability company (collectively, the “Adviser”).
FORClosed-End Mutual Funds Service Agreement • November 1st, 1999 • Nuveen Senior Income Fund • New York
LOGO OF CHASE] CUSTODY AND FUND ACCOUNTING SERVICES AGREEMENTCustody and Fund Accounting Services Agreement • November 1st, 1999 • Nuveen Senior Income Fund • New York
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • November 1st, 2016 • Nuveen Senior Income Fund • New York
This agreement (this “Agreement”) is among Nuveen Fund Advisors, LLC (the “Adviser”), Nuveen Senior Income Fund (the “Fund”) and Morgan Stanley & Co. LLC (“Morgan Stanley”) with respect to the Fund’s Offering of Term Preferred Shares (each as defined below).
NUVEEN SENIOR INCOME FUND VARIABLE RATE TERM PREFERRED SHARES ANNEX 1 TO THE PURCHASE AGREEMENT AS AMENDED AND EFFECTIVE NOVEMBER 30, 2015Purchase Agreement • August 12th, 2016 • Nuveen Senior Income Fund
Explanatory Note: The following As-Amended Annex 1 to the Purchase Agreement, effective as of November 30, 2015 (the “As-Amended Annex 1”), replaces in its entirety the Annex 1 to the Purchase Agreement attached to the Statement Establishing and Fixing the Rights and Preferences of Variable Rate Term Preferred Shares (the “Statement”), which was dated and originally filed with the Secretary of the Commonwealth of Massachusetts on December 27, 2013. Effective November 30, 2015, all references to “Annex 1” in the Statement and any Appendix thereto shall be deemed to refer to the As-Amended Annex 1. The parties to the Purchase Agreement have agreed among themselves that the Fund will pay the Increased Rate on the VRTP Shares, and redeem all or a portion of the VRTP Shares at the Mandatory Redemption Price, if the terms and conditions of the As-Amended Annex 1 so provide. The As-Amended Annex 1 is not a part of the Statement or any Appendix thereto and is being filed solely for information
AGREEMENT OF AMENDMENT NO. 8Revolving Credit and Security Agreement • August 12th, 2016 • Nuveen Senior Income Fund
Reference is made to that certain Revolving Credit and Security Agreement dated as of May 16, 2008 (as from time to time amended, the “Credit Agreement”) among Nuveen Senior Income Fund (the “Borrower”), CHARTA, LLC (“CHARTA”), CAFCO, LLC (“CAFCO”), CRC Funding, LLC (“CRC Funding”), and CIESCO, LLC (together with CHARTA, CAFCO, and CRC Funding, the “Conduit Lenders”), Citibank, N.A., as secondary lender (the “Secondary Lender”) and Citibank, N.A., as agent (as successor by assignment to Citicorp North America, Inc., the “Agent”). Capitalized terms used and not defined herein shall have the meanings assigned to them in the Credit Agreement.
26,000,000 Shares* NUVEEN SENIOR INCOME FUND Common Shares of Beneficial Interest Par Value $.01 Per Share UNDERWRITING AGREEMENT ---------------------- October 26, 1999 PAINEWEBBER INCORPORATED JOHN NUVEEN & CO. INCORPORATED DEUTSCHE BANK SECURITIES...Underwriting Agreement • November 1st, 1999 • Nuveen Senior Income Fund • New York
AMENDED AND RESTATED MASTER AGREEMENT AMONG UNDERWRITERSMaster Agreement • September 24th, 1999 • Nuveen Senior Income Fund • New York
NUVEEN SENIOR INCOME FUND FIRST AMENDMENT TO DISTRIBUTION AGREEMENTDistribution Agreement • August 17th, 2012 • Nuveen Senior Income Fund
THIS AMENDMENT (this “Amendment”) to the Distribution Agreement (defined below) is entered into on and as of August 17, 2012, by and between Nuveen Senior Income Fund, a Massachusetts business trust (the “Fund”) and the Fund’s distributor, Nuveen Securities, LLC (formerly known as Nuveen Investments, LLC), a Delaware limited liability company (the “Distributor”) (together with the Fund, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Distribution Agreement.
WITNESSETH:Subscription Agreement • October 18th, 1999 • Nuveen Senior Income Fund
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • June 4th, 2010 • Nuveen Senior Income Fund
AGREEMENT made this 13th day of November 2007, by and between Nuveen Senior Income Fund, a Massachusetts business trust (the “Fund”), and NUVEEN ASSET MANAGEMENT, a Delaware corporation (the “Manager”).
AMENDED AND RESTATED MASTER SELECTED DEALER AGREEMENTMaster Selected Dealer Agreement • September 24th, 1999 • Nuveen Senior Income Fund • New York
NUVEEN SENIOR INCOME FUND Common Stock ($0.01 par value) FIRST AMENDMENT TO EQUITY DISTRIBUTION AGREEMENTEquity Distribution Agreement • August 17th, 2012 • Nuveen Senior Income Fund
THIS AMENDMENT (this “Amendment”) to the Equity Distribution Agreement (defined below) is entered into on and as of August 17, 2012, by and among Nuveen Senior Income Fund, a Massachusetts business trust (the “Fund”), the Fund’s manager, Nuveen Securities, LLC (formerly known as Nuveen Investments, LLC), a Delaware limited liability company (the “Manager”), the Fund’s investment adviser, Nuveen Fund Advisors, Inc. (formerly known as Nuveen Asset Management), a Delaware corporation, the Fund’s investment sub-adviser, Symphony Asset Management, LLC, a California limited liability company (together with Nuveen Fund Advisors, Inc., the “Adviser”) and Stifel, Nicolaus & Company, Incorporated (the “Agent”, and together with the Fund, Manager and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Equity Distribution Agreement.
WITNESSETH:Subscription Agreement • September 24th, 1999 • Nuveen Senior Income Fund
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • August 12th, 2016 • Nuveen Senior Income Fund
AGREEMENT made this 1st day of October 2014, by and between NUVEEN SENIOR INCOME FUND, a Massachusetts business trust (the “Fund”), and NUVEEN FUND ADVISORS, LLC, a Delaware limited liability company (the “Manager”).
