AmongTransfer Agency and Service Agreement • March 24th, 2004 • Nuveen Floating Rate Income Fund • Massachusetts
EXHIBIT h.1 NUVEEN FLOATING RATE INCOME FUND FUNDPREFERRED SHARES 4,000 Shares, Series M 4,000 Shares, Series T 4,000 Shares, Series W 4,000 Shares, Series F Liquidation Preference $25,000 Per Share UNDERWRITING AGREEMENTUnderwriting Agreement • May 13th, 2004 • Nuveen Floating Rate Income Fund • New York
INVESTMENT MANAGEMENT AGREEMENT AGREEMENT made this 24th day of February, 2004, by and between NUVEEN FLOATING RATE INCOME FUND, a Massachusetts business trust (the "Fund"), and NUVEEN INSTITUTIONAL ADVISORY CORP., a Delaware corporation (the...Investment Management Agreement • March 24th, 2004 • Nuveen Floating Rate Income Fund • Illinois
EXECUTION VERSION NUVEEN FLOATING RATE INCOME FUND 41,800,000 Common Shares ($.01 par value) AMENDED AND RESTATED UNDERWRITING AGREEMENTUnderwriting Agreement • March 29th, 2004 • Nuveen Floating Rate Income Fund • New York
Witnesseth:Master Custodian Agreement • March 24th, 2004 • Nuveen Floating Rate Income Fund • Massachusetts
Exhibit k.3 NUVEEN AUCTION AGENCY AGREEMENT Basic Terms for Acting as Auction AgentAuction Agency Agreement • May 17th, 2004 • Nuveen Floating Rate Income Fund • New York
W I T N E S S E T HExpense Reimbursement Agreement • March 24th, 2004 • Nuveen Floating Rate Income Fund • Illinois
DEALER AGREEMENT Nuveen Securities, LLCDealer Agreement • March 11th, 2013 • Nuveen Floating Rate 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 Floating Rate 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.
NUVEEN FLOATING RATE INCOME FUND Chicago, Illinois 60606Distribution Agreement • March 11th, 2013 • Nuveen Floating Rate Income Fund
Nuveen Floating Rate 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. 333-187031 and 811-21494) (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.
WITNESSETH:Subscription Agreement • March 24th, 2004 • Nuveen Floating Rate Income Fund
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • June 2nd, 2010 • Nuveen Floating Rate Income Fund • Illinois
AGREEMENT made this 13th day of November 2007, by and between NUVEEN FLOATING RATE INCOME FUND, a Massachusetts business trust (the “Fund”), and NUVEEN ASSET MANAGEMENT, a Delaware corporation (the “Adviser”).
AMENDED AND RESTATED INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • January 31st, 2023 • Nuveen Floating Rate Income Fund • Illinois
AGREEMENT effective as of this 31st day of December 2020 by and between Nuveen Fund Advisors, LLC, a Delaware limited liability company and a registered investment adviser (“Manager”), and Nuveen Asset Management, LLC, a Delaware limited liability company and a federally registered investment adviser (“NAM” or “Sub-Adviser”).
Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Schedule A Attached Hereto and Computershare Inc. and Computershare Trust Company, N.A.Transfer Agency and Service Agreement • November 30th, 2017 • Nuveen Floating Rate Income Fund • New York
THIS TRANSFER AGENCY AND SERVICE AGREEMENT, effective as of June 15, 2017 (“Effective Date”), is by and between each of the Nuveen closed-end investment companies listed on Schedule A attached hereto, as may be amended from time to time (“Schedule A”) (each such investment company, a “Fund”), 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, “Transfer Agent”), each having a principal office and place of business at 250 Royall Street, Canton, Massachusetts 02021.
FIRST AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • November 30th, 2017 • Nuveen Floating Rate Income Fund
This First Amendment (“Amendment”) is entered into and effective as of this the 7th day of September, 2017, and hereby amends that certain Transfer Agency and Service Agreement by and among each Nuveen closed-end investment companies listed on Schedule A attached hereto, as may be amended from time to time (“Schedule A”) (each such investment company, a “Fund”), and Computershare Inc., (“Computershare”) and its fully owned subsidiary Computershare Trust Company, N.A., (“Trust Company”, and together with Computershare, “Transfer Agent”) dated June 15, 2017 (the “Agreement”). Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to such terms in the Agreement.
] Shares NUVEEN FLOATING RATE INCOME FUND TERM PREFERRED SHARES UNDERWRITING AGREEMENTUnderwriting Agreement • November 30th, 2016 • Nuveen Floating Rate 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 FLOATING RATE INCOME FUND Common Stock ($0.01 par value) EQUITY DISTRIBUTION AGREEMENTEquity Distribution Agreement • September 28th, 2010 • Nuveen Floating Rate 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 4,700,000 shares (the “Shares”) of the common stock, $0.01 par value per share (the “Common Stock”), of Nuveen Floating Rate 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”).
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • October 11th, 2016 • Nuveen Floating Rate Income Fund • Illinois
AGREEMENT made this 1st day of October 2014, by and between NUVEEN FLOATING RATE INCOME FUND, a Massachusetts business trust (the “Fund”), and NUVEEN FUND ADVISORS, LLC, a Delaware limited liability company (the “Adviser”).
NUVEEN CLOSED-END FUNDS RENEWAL OF INVESTMENT MANAGEMENT AGREEMENTSInvestment Management Agreement • November 30th, 2017 • Nuveen Floating Rate Income Fund
This Agreement made this 24th day of July 2017 by and between the funds listed on Schedule A (the “Nuveen Closed-End Funds”), and Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”);
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • November 30th, 2017 • Nuveen Floating Rate Income Fund • Illinois
AGREEMENT made this 1st day of October 2014, by and between NUVEEN FLOATING RATE INCOME FUND, a Massachusetts business trust (the “Fund”), and NUVEEN FUND ADVISORS, LLC, a Delaware limited liability company (the “Adviser”).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • November 30th, 2016 • Nuveen Floating Rate Income Fund • New York
This agreement (this “Agreement”) is among Nuveen Fund Advisors, LLC (the “Adviser”), Nuveen Floating Rate 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 FLOATING RATE INCOME FUND VARIABLE RATE TERM PREFERRED SHARES ANNEX 1 TO THE PURCHASE AGREEMENT AS AMENDED AND EFFECTIVE NOVEMBER 30, 2015Purchase Agreement • October 11th, 2016 • Nuveen Floating Rate 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
INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this 24th day of February, 2004, by and between Nuveen Institutional Advisory Corp., a Delaware corporation and a registered investment adviser ("Manager"), and Symphony Asset Management LLC, a...Investment Sub-Advisory Agreement • March 24th, 2004 • Nuveen Floating Rate Income Fund • Illinois
AGREEMENT OF AMENDMENT NO. 8Revolving Credit and Security Agreement • November 2nd, 2016 • Nuveen Floating Rate 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 Floating Rate 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.
NUVEEN CLOSED-END FUNDS RENEWAL OF INVESTMENT MANAGEMENT AGREEMENTSInvestment Management Agreement • February 23rd, 2017 • Nuveen Floating Rate Income Fund
This Agreement made this 27th day of July 2016 by and between the funds listed on Schedule A (the “Nuveen Closed-End Funds”), and Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”);
AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Schedule A to the Agreement And State Street Bank and Trust CompanyTransfer Agency and Service Agreement • November 2nd, 2016 • Nuveen Floating Rate Income Fund
This Amendment is made as of this 1st day of August, 2016, to the Transfer Agency and Service Agreement dated October 7, 2002, as amended (the “Agreement”) between each of the Nuveen Closed-End Investment Companies Listed on Schedule A to the Agreement (collectively, the “Funds”) and State Street Bank and Trust Company (the “Transfer Agent”). In accordance with Section 17.1 (Amendment) of the Agreement, the parties desire to amend the Agreement as set forth herein.
