Exhibit A ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND AGREEMENT AND DECLARATION OF TRUST Dated as of February 18, 2003 TABLE OF CONTENTSAdvent Claymore Convertible Securities & Income Fund • April 3rd, 2003 • Delaware
EXHIBIT 99.(h)(1) Advent Claymore Convertible Securities and Income Fund (a Delaware statutory trust) [ ] Common Shares of Beneficial Interest (Par Value $.001 Per Share) FORM OF PURCHASE AGREEMENTAdvent Claymore Convertible Securities & Income Fund • April 28th, 2003 • New York
EXHIBIT 99.(k)(6) FUND ACCOUNTING AGREEMENT AGREEMENT made as of this day of May, 2003 by and between Advent Claymore Convertible Securities and Income Fund, a Delaware statutory trust having its principal place of business at 1065 Avenue of the...Fund Accounting Agreement • April 28th, 2003 • Advent Claymore Convertible Securities & Income Fund • New York
AMONGBroker-Dealer Agreement • July 21st, 2003 • Advent Claymore Convertible Securities & Income Fund • New York
ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUNDAuction Agency Agreement • July 21st, 2003 • Advent Claymore Convertible Securities & Income Fund • New York
EXHIBIT 99.(k)(4) ADMINISTRATION AGREEMENT AGREEMENT made as of , 2003, by and between each entity listed on Exhibit A hereto (each, a "Fund"; collectively, the "Funds"), and The Bank of New York, a New York banking organization (the "Administrator")....Administration Agreement • April 28th, 2003 • Advent Claymore Convertible Securities & Income Fund • New York
CUSTODY AGREEMENTCustody Agreement • April 12th, 2018 • Advent Claymore Convertible Securities & Income Fund • New York
AGREEMENT, dated as of May 2, 2003 between Advent Claymore Convertible Securities and Income Fund, a statutory, a business trust organized and existing under the laws of the State of Delaware having its principal office and place of business at 1065 Avenue of the Americas, 31st Floor, New York, New York 10018 (the “Fund”) and The Bank of New York, a New York corporation authorized to do a banking business having its principal office and place of business at One Wall Street, New York, New York 10286 (“Custodian”).
SUBSCRIPTION AGREEMENT THIS SUBSCRIPTION AGREEMENT is entered into as of the 23rd day of April, 2003, between Advent Claymore Convertible Securities and Income Fund, a statutory trust organized and existing under the laws of Delaware (the "Trust"),...Subscription Agreement • April 28th, 2003 • Advent Claymore Convertible Securities & Income Fund
ARTICLE I. DEFINITIONSStock Transfer Agency Agreement • April 28th, 2003 • Advent Claymore Convertible Securities & Income Fund • New York
ADVENT CAPITAL MANAGEMENT, LLC WAIVER RELIANCE LETTERAdvent Claymore Convertible Securities & Income Fund • April 28th, 2003
Advent Capital Management, LLC (the "Advisor") and Advent Claymore Convertible Securities and Income Fund (the "Trust"), a closed-end management investment company registered under the Investment Company Act of 1940, as amended, have entered into an Investment Management Agreement, dated April 23, 2003 (the "Advisory Agreement"), pursuant to which the Advisor has agreed to furnish investment advisory services to the Trust on the terms and subject to the conditions of the Advisory Agreement.
SERVICING AGREEMENT Agreement made as of April 23, 2003, between Advent Claymore Convertible Securities and Income Fund, a Delaware Business Trust (the "Fund") and Claymore Securities, Inc., a Kansas corporation ("Claymore"). WHEREAS, the Fund intends...Servicing Agreement • April 28th, 2003 • Advent Claymore Convertible Securities & Income Fund • Delaware
FOREIGN CUSTODY MANAGER AGREEMENTForeign Custody Manager Agreement • April 12th, 2018 • Advent Claymore Convertible Securities & Income Fund • New York
AGREEMENT made as of May 2, 2003 between Advent Claymore Convertible Securities and Income Fund (the “Fund”) and The Bank of New York (“BNY”).
FUND ADMINISTRATION AGREEMENTFund Administration Agreement • April 12th, 2018 • Advent Claymore Convertible Securities & Income Fund • Delaware
AGREEMENT made as of this 20th day of June, 2013, by and between each closed-end registered investment company listed on Schedule A hereto (as amended from time to time), (each individually referred to below as a “Trust”) and Rydex Fund Services, LLC (“RFS” or the “Administrator”), a Maryland limited liability company having its principal place of business at 805 King Farm Boulevard, Rockville, MD 20850.
UNDERWRITER PARTICIPATION AGREEMENT This Agreement, dated as of April [ ], 2003, is entered into among Advent Capital Management, LLC (the "Investment Manager"), Advent Claymore Convertible Securities and Income Fund (the "Fund") and Claymore...Underwriter Participation Agreement • April 28th, 2003 • Advent Claymore Convertible Securities & Income Fund • New York
ADDITIONAL COMPENSATION AGREEMENT ADDITIONAL COMPENSATION AGREEMENT (the "Agreement"), dated as of [ ], 2003, between Merrill Lynch & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") and Advent Capital Management, LLC ("Advent...Additional Compensation Agreement • April 28th, 2003 • Advent Claymore Convertible Securities & Income Fund • New York
ACCOUNT CONTROL AGREEMENTAccount Control Agreement • November 9th, 2012 • Advent Claymore Convertible Securities & Income Fund • New York
Account Control Agreement (the “Agreement”) dated as of November 9, 2012 by and among Merrill Lynch Professional Clearing Corp., as agent for the BofAML Entities (as defined in the Customer Account Agreement referenced below) (in such capacity, “Secured Party”), Advent Claymore Convertible Securities and Income Fund (“Pledgor”), and The Bank of New York Mellon (the “Custodian”).
Exhibit 99.(h) Advent Claymore Convertible Securities and Income Fund (a Delaware statutory trust) Auction Market Preferred Shares ("AMPS") 1,200 Shares [ ]% AMPS, Series F7 1,200 Shares [ ]% AMPS, Series W28 Liquidation Preference $25,000 per share...Auction Agency Agreement • March 10th, 2004 • Advent Claymore Convertible Securities & Income Fund • New York
MARGIN LOAN AGREEMENT dated as of November 9, 2012 by and between ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND, as Borrower, and MERRILL LYNCH PROFESSIONAL CLEARING CORP., as LenderMargin Loan Agreement • November 9th, 2012 • Advent Claymore Convertible Securities & Income Fund • New York
Customer Account AgreementCustomer Account Agreement • November 9th, 2012 • Advent Claymore Convertible Securities & Income Fund • New York
AMENDMENT TO FUND ADMINISTRATION AGREEMENTFund Administration Agreement • April 12th, 2018 • Advent Claymore Convertible Securities & Income Fund
This AMENDMENT (this “Amendment”) is made and entered into, as of this 28th day of September, 2016, by and between Rydex Fund Services, LLC (“RFS”) and each closed-end registered investment company listed on Schedule A hereto (as amended from time to time) (each a “Trust” and collectively, the “Trusts”).
CLAYMORE SECURITIES, INC. WAIVER RELIANCE LETTERAdvent Claymore Convertible Securities & Income Fund • April 28th, 2003
Claymore Securities, Inc. (the "Servicing Agent") and Advent Claymore Convertible Securities and Income Fund (the "Trust"), a closed-end management investment company registered under the Investment Company Act of 1940, as amended, have entered into a Servicing Agreement, dated as of April 23, 2003 (the "Servicing Agreement"), pursuant to which the Servicing Agent has agreed to furnish investment advisory services to the Trust on the terms and subject to the conditions of the Servicing Agreement.
AMENDMENT NO. 1 TO SECURITY AGREEMENTTo Security Agreement • August 27th, 2018 • Advent Claymore Convertible Securities & Income Fund • New York
This AMENDMENT NO. 1 TO SECURITY AGREEMENT (this “Amendment”) is made as of August 22, 2018 among Advent Claymore Convertible Securities and Income Fund, as pledgor (the “Pledgor”), and Société Générale, as agent under the Credit Agreement (in such capacity, the “Agent”).
COMPLIANCE SUPPORT SERVICES ADDENDUM TO FUND ACCOUNTING AGREEMENTFund Accounting Agreement • April 12th, 2018 • Advent Claymore Convertible Securities & Income Fund
This Compliance Support Services Addendum by and between each fund listed on Exhibit 2 attached hereto (the “Fund”) and THE BANK OF NEW YORK MELLON (“BNY Mellon”), effective as of the date of the relevant Fund Accounting Agreement entered into by and between the same parties.
FIRST AMENDMENT TO THE TRANSFER AGENCY AND SERVICE AGREEMENTThe Transfer Agency and Service Agreement • April 12th, 2018 • Advent Claymore Convertible Securities & Income Fund
This First Amendment (“Amendment”), effective as of March 20, 2017 (“Effective Date”) is to the Transfer Agency and Service Agreement (the “Agreement”) made as of December 1, 2015 by and between each of the Guggenheim closed-end investment companies listed on Schedule 1 attached hereto, as may be amended from time to time (each a "Fund" and collectively the "Funds”), and Computershare Inc. (“Computershare”) and Computershare Trust Company N.A., (“Trust Company”, and together with Computershare, “Agent”). Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to such terms in the Agreement.
ADVENT CONVERTIBLE AND INCOME FUND 11,533,627 Shares of Beneficial Interest Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENTAdvent Convertible and Income Fund • September 23rd, 2024 • Advent Convertible & Income Fund • New York
terms of the Subscription Certificate, registered in the share record books of the Trust and delivered upon payment in full of the consideration payable therefor by the holders of Rights pursuant to the Subscription Certificate, will be validly issued and fully paid and nonassessable, except as provided in Section 3.8 of the Declaration of Trust, and free and clear of any preemptive rights or any similar rights arising under the DSTA, the Organizational Documents or any Scheduled Contract.
FUND ACCOUNTING AGREEMENTFund Accounting Agreement • April 12th, 2018 • Advent Claymore Convertible Securities & Income Fund • New York
AGREEMENT made as of this 2nd day of May, 2003 by and between Advent Claymore Convertible Securities and Income Fund, a Delaware statutory trust having its principal place of business at 1065 Avenue of the Americas, 3151 Floor, New York, New York 10018 (hereinafter called the “Fund”) and The Bank of New York, a New York corporation authorized to do a banking business, having its principal place of business at One Wall Street, New York, New York 10286 (hereinafter called the “Bank”).
Advent Claymore Convertible Securities and Income Fund c/o Advent Capital Management, LLCAdvent Claymore Convertible Securities & Income Fund • August 29th, 2011 • Delaware
This letter constitutes the agreement (the "Agreement") between Advent Claymore Convertible Securities and Income Fund (the "Fund"), the Advent/Claymore Global Securities & Income Fund (the "Global Fund") and the Advent/Claymore Enhanced Growth and Income Fund (collectively, with the Fund and the Global Fund, the "Advent Funds"), Advent Capital Management, LLC ("ACM") and Karpus Management, Inc. d/b/a Karpus Investment Management and its affiliates ("Karpus").
INVESTMENT MANAGEMENT AGREEMENT AGREEMENT, dated April 23, 2003, between Advent Claymore Convertible Securities and Income Fund, a Delaware statutory trust (the "Trust"), and Advent Capital Management, LLC, a Delaware limited liability company (the...Investment Management Agreement • April 28th, 2003 • Advent Claymore Convertible Securities & Income Fund • New York
ARTICLE I DEFINITIONSCustody Agreement • April 28th, 2003 • Advent Claymore Convertible Securities & Income Fund • New York
Transfer Agency and Service Agreement Between Each of the Guggenheim Closed-End Investment Companies Listed on Schedule 1 Attached Hereto and Computershare Inc. and Computershare Trust Company, N.A.Transfer Agency and Service Agreement • April 12th, 2018 • Advent Claymore Convertible Securities & Income Fund • New York
THIS TRANSFER AGENCY AND SERVICE AGREEMENT, effective as of December 1, 2015 ("Effective Date"), is by and among each of the Guggenheim closed-end investment companies listed on Schedule 1 attached hereto, as may be amended from time to time (each a "Fund" and collectively the "Funds") and each having its principal office and place of business at 227 West Monroe Street, Chicago, IL 60606, and Computershare Inc., a Delaware corporation ("Computershare"), and its fully owned subsidiary Computershare Trust Company, N.A., a federally chartered trust company ("Trust Company", and together with Computershare, "Agent"), each having a principal office and place of business at 250 Royall Street, Canton, Massachusetts 02021.
SERVICING AGREEMENTServicing Agreement • April 12th, 2018 • Advent Claymore Convertible Securities & Income Fund • Delaware
This Servicing Agreement (this “Agreement”) is entered into as of March 14, 2018, between Advent Claymore Convertible Securities and Income Fund, a Delaware statutory trust (the “Fund”), and Guggenheim Funds Distributors, LLC, a Delaware limited liability company (“Guggenheim”). The Fund and Guggenheim will each be individually referred to hereunder as a “Party” and collectively, as the “Parties”.
AMENDMENT NO. 1 TO CREDIT AGREEMENTCredit Agreement • August 27th, 2018 • Advent Claymore Convertible Securities & Income Fund • New York
This AMENDMENT NO. 1 TO CREDIT AGREEMENT (this “Amendment”) is made as of August 22, 2018 among Advent Claymore Convertible Securities and Income Fund, as borrower (the “Borrower” or “AVK”), Société Générale, New York Branch, as lender (the “Lender”), and Société Générale, as agent (in such capacity, the “Agent”).
September 10, 2024 Advent Convertible and Income Fund 31st Floor New York, NY 10106 Attn: Tony Huang RE: Advent Convertible and Income Fund (AVK) – Rights Offer Dear Mr. Huang:Advent Convertible & Income Fund • September 23rd, 2024 • New York
This will serve as the Agreement between EQ Fund Solutions, LLC (“EQ Fund Solutions”) and Advent Convertible and Income Fund (the “Client”), pursuant to which EQ Fund Solutions will serve the Client as Information Agent for a Rights Offer (the “Offer”) for the Client.
AMENDMENT NO. 1 TO COLLATERAL ACCOUNT CONTROL AGREEMENTCollateral Account Control Agreement • August 27th, 2018 • Advent Claymore Convertible Securities & Income Fund • New York
This AMENDMENT NO. 1 TO COLLATERAL ACCOUNT CONTROL AGREEMENT (this “Amendment”) is made as of August 22, 2018 among Advent Claymore Convertible Securities and Income Fund, as pledgor (the “Pledgor”), Société Générale, as collateral agent under the Security Agreement (in such capacity, the “Secured Party”), and The Bank of New York Mellon, as securities intermediary (the “Securities Intermediary”).
SUBSCRIPTION AGENT AGREEMENTSubscription Agent Agreement • September 23rd, 2024 • Advent Convertible & Income Fund
This SUBSCRIPTION AGENT AGREEMENT (this “Agreement”) is entered into as of September 10, 2024, by and between Equiniti Trust Company, LLC (the “Subscription Agent”) and Advent Convertible and Income Fund (the “Company”).
