CC US LLP DRAFT 2/18/04 TS&W/Claymore Tax-Advantaged Balanced Fund (a Delaware statutory trust) Common Shares of Beneficial Interest (Par Value $.01 per share) PURCHASE AGREEMENTPurchase Agreement • March 26th, 2004 • Ts&w / Claymore Tax-Advantaged Balanced Fund • New York
Exhibit 99.(g)(i) INVESTMENT ADVISORY AGREEMENT THIS INVESTMENT ADVISORY AGREEMENT (the "Agreement"), dated as of [ ], 2004, between TS&W / Claymore Tax-Advantaged Balanced Fund, a Delaware statutory trust (the "Trust"), and Claymore Advisors, LLC, a...Investment Advisory Agreement • March 26th, 2004 • Ts&w / Claymore Tax-Advantaged Balanced Fund • Delaware
Exhibit 99.(a) TS&W / CLAYMORE TAX-ADVANTAGED BALANCED FUND AGREEMENT AND DECLARATION OF TRUST DATED AS OF FEBRUARY 12, 2004 TABLE OF CONTENTSAgreement and Declaration of Trust • March 26th, 2004 • Ts&w / Claymore Tax-Advantaged Balanced Fund
BETWEENBroker-Dealer Agreement • June 23rd, 2004 • Ts&w / Claymore Tax-Advantaged Balanced Fund • New York
Exhibit (j)(ii) TS&W / CLAYMORE TAX-ADVANTAGED BALANCED FUND AUCTION AGENCY AGREEMENT dated as of _______, 2004Auction Agency Agreement • June 23rd, 2004 • Ts&w / Claymore Tax-Advantaged Balanced Fund • New York
Exhibit (k)(iii) ADMINISTRATION AGREEMENT AGREEMENT made as of _______________, 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...Administration Agreement • March 26th, 2004 • Ts&w / Claymore Tax-Advantaged Balanced Fund • New York
Exhibit 99.(p) SUBSCRIPTION AGREEMENT THIS SUBSCRIPTION AGREEMENT is entered into as of the [ ] day of March, 2004, between TS&W / Claymore Tax-Advantaged Balanced Fund, a statutory trust organized and existing under the laws of Delaware (the...Subscription Agreement • March 26th, 2004 • Ts&w / Claymore Tax-Advantaged Balanced Fund
Exhibit 99.(h)(ii) ADDITIONAL COMPENSATION AGREEMENT ADDITIONAL COMPENSATION AGREEMENT (the "Agreement"), dated as of [ ], 2004, between Merrill Lynch & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") and Claymore Advisors,...Additional Compensation Agreement • March 26th, 2004 • Ts&w / Claymore Tax-Advantaged Balanced Fund • New York
REVISED JULY 16, 2001 [LOGO] MERRILL LYNCH & CO. MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED MERRILL LYNCH WORLD HEADQUARTERS 4 WORLD FINANCIAL CENTER NEW YORK, N.Y. 10800 STANDARD DEALER AGREEMENT Dear Sirs: In connection with public offerings...Standard Dealer Agreement • April 27th, 2004 • Ts&w / Claymore Tax-Advantaged Balanced Fund
MASTER AGREEMENT AMONG UNDERWRITERS MERRILL LYNCH & CO. MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Merrill Lynch World Headquarters North Tower World Financial Center New York, NY 10281-1305 Dear Sirs: We understand that from time to time you...Master Agreement • April 27th, 2004 • Ts&w / Claymore Tax-Advantaged Balanced Fund • New York
TRANSFER AGENCY AGREEMENTTransfer Agency Agreement • September 15th, 2011 • Security Income Fund /Ks/ • Kansas
AGREEMENT made as of this 21st day of February, 2011, between Security Income Fund (the “Company”), a Kansas corporation having its principal place of business at One Security Benefit Place, Topeka, Kansas 66636, and Rydex Fund Services, LLC, (“RFS”), a Kansas limited liability company, having its principal place of business at 805 King Farm Blvd., Suite 600, Rockville, Maryland 20850.
INVESTMENT SUB-ADVISORY AGREEMENT Between SECURITY INVESTORS, LLC and GUGGENHEIM PARTNERS ASSET MANAGEMENT, LLCInvestment Sub-Advisory Agreement • September 15th, 2011 • Security Income Fund /Ks/ • New York
INVESTMENT SUB-ADVISORY AGREEMENT, made as of the __ day of October, 2011, between Security Investors, LLC (“Adviser”), a limited liability company organized and existing under the laws of the State of Kansas, and Guggenheim Partners Asset Management, LLC (“Sub-Adviser”), a limited liability company organized and existing under the laws of the State of Delaware.
INVESTMENT ADVISORY CONTRACTInvestment Advisory Contract • September 15th, 2011 • Security Income Fund /Ks/
THIS AGREEMENT, made and entered into this 1st day of August 2010, between SECURITY INCOME FUND, a Kansas corporation (hereinafter referred to as the “Fund”), and SECURITY INVESTORS, LLC, a Kansas limited liability company (hereinafter referred to as the “Management Company”).
FUND ACCOUNTING AND ADMINISTRATION AGREEMENTFund Accounting and Administration Agreement • September 15th, 2011 • Security Income Fund /Ks/ • Kansas
AGREEMENT made as of this 31st day of March, 2004, between Security Income Fund (the “Company”), a Kansas corporation having its principal place of business at One Security Benefit Place, Topeka, Kansas 66636, and Security Management Company, LLC ("SMC"), a Kansas limited liability company having its principal place of business at One Security Benefit Place, Topeka, Kansas 66636.
DISTRIBUTION AGREEMENTDistribution Agreement • September 15th, 2011 • Security Income Fund /Ks/
THIS AGREEMENT, dated as of August 1, 2010, by and between SECURITY INCOME FUND, a Kansas corporation (hereinafter referred to as the “Fund”), and RYDEX DISTRIBUTORS, LLC, a Kansas limited liability company (hereinafter referred to as the “Distributor”).
DEFINITIONSStock Transfer Agency Agreement • March 26th, 2004 • Ts&w / Claymore Tax-Advantaged Balanced Fund • New York
EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • October 24th, 2011 • Security Income Fund /Ks/
THIS AGREEMENT, dated as of October 20, 2011, is made and entered into by and between Security Investors, LLC (the “Adviser”) and each of the registered investment companies set forth on Schedule A (each such company being referred to herein as a “Company”). This Agreement shall apply to each investment portfolio of a Company as set forth in Schedule A (each a “Fund” and collectively the “Funds”).
Exhibit 99.(g)(ii) INVESTMENT SUB-ADVISORY AGREEMENT THIS INVESTMENT SUB- ADVISORY AGREEMENT (the "Agreement") dated as of April __, 2004, among TS&W/Claymore Tax-Advantaged Balanced Fund, a Delaware statutory trust (the "Trust"), Claymore Advisors,...Investment Sub-Advisory Agreement • March 26th, 2004 • Ts&w / Claymore Tax-Advantaged Balanced Fund • Delaware
EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • September 15th, 2011 • Security Income Fund /Ks/
THIS AGREEMENT, dated as of April 1, 2008, amended and restated effective as of August 10, 2011, is made and entered into by and between Security Investors, LLC (the “Adviser”) and each of the registered investment companies set forth on Schedule A (each such company being referred to herein as a “Company”). This Agreement shall apply to each investment portfolio of a Company as set forth in Schedule A (each a “Fund” and collectively the “Funds”).
Exhibit 99.(j) CUSTODY AGREEMENT AGREEMENT, dated as of _______________, between TS&W/Claymore Tax Advantaged Balanced Fund, a business trust organized and existing under the laws of the State of ** having its principal office and place of business at...Custody Agreement • March 26th, 2004 • Ts&w / Claymore Tax-Advantaged Balanced Fund • New York
Attachment 77H. Changes in control of Registrant On July 17, 2009, Claymore Group Inc., the parent of Claymore, entered into an Agreement and Plan of Merger between and among Claymore Group Inc., Claymore Holdings, LLC and GuggClay Acquisition, Inc.,...Agreement and Plan of Merger • February 24th, 2010 • Ts&w / Claymore Tax-Advantaged Balanced Fund
On July 17, 2009, Claymore Group Inc., the parent of Claymore, entered into an Agreement and Plan of Merger between and among Claymore Group Inc., Claymore Holdings, LLC and GuggClay Acquisition, Inc., (with the latter two entities being wholly-owned, indirect subsidiaries of Guggenheim Partners, LLC ("Guggenheim")) whereby GuggClay Acquisition, Inc. will merge into Claymore Group Inc. which will be the surviving entity. The transaction closed on October 14, 2009. The completed merger resulted in a change of control whereby Claymore Group Inc. and its subsidiaries, including Claymore Advisors, LLC, became indirect, wholly-owned subsidiaries of Guggenheim. The transaction is not expected to affect the services provided by Claymore Advisors, LLC to the Fund.
TS&W / Claymore Tax Advantaged Balanced FundOffer to Purchase • April 15th, 2011 • Ts&w / Claymore Tax-Advantaged Balanced Fund
Western Investment LLC, a Delaware limited liability company, Western Investment Hedged Partners L.P., a Delaware limited partnership, Western Investment Total Return Partners L.P., a Delaware limited partnership, Western Investment Activism Partners LLC, a Delaware limited liability company and Western Investment Total Return Fund Ltd., a Cayman Islands corporation (collectively, “Western”) offered to purchase up to 1,000,000 of the outstanding common shares of beneficial interest, par value $0.01 per share (the “Shares”), of TS&W / Claymore Tax-Advantaged Balanced Fund (the “Fund”) at a price per Share equal to 94.5% of the net asset value per Share determined as of the close of the regular trading session of the New York Stock Exchange (“NYSE”) on the expiration date of the offer (the “Western Offer”) pursuant to an offer to purchase filed with the SEC on April 4, 2011 and amended on April 14, 2011.
Exhibit 99.(k)(ii) FUND ACCOUNTING AGREEMENT AGREEMENT made as of this ____ day of __________, 2004 by and between TS&W/Claymore Tax Advantage Balanced Fund, a Delaware statutory trust having its principal place of business at...Fund Accounting Agreement • March 26th, 2004 • Ts&w / Claymore Tax-Advantaged Balanced Fund • New York
AGREEMENT made as of this ____ day of __________, 2004 by and between TS&W/Claymore Tax Advantage Balanced Fund, a Delaware statutory trust having its principal place of business at _______________________________________________ (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").
CUSTODY AGREEMENT Dated January 1, 1995 As amended September 24, 1998 Between UMB BANK, N.A. and THE SECURITY FUNDSCustody Agreement • September 15th, 2011 • Security Income Fund /Ks/
This agreement made as of this 1st day of January, 1995, as amended September 24, 1998, between UMB Bank, n.a., a national banking association with its principal place of business located in Kansas City, Missouri (hereinafter “Custodian”), and each of the Funds which have executed the signature page hereof together with such additional Funds which shall be made parties to this Agreement by the execution of a separate signature page hereto (individually, a “Fund” and collectively, the “Funds”).
