RULE 12d1-4 INVESTMENT AGREEMENT12d1-4 Investment Agreement • December 29th, 2023 • Nuveen Investment Trust V • Illinois
THIS RULE 12d1-4 INVESTMENT AGREEMENT (the “Agreement”), dated as of May 26, 2023 (the “Effective Date”), is made by and between each registered investment company (each, a “Registrant”), on behalf of each series of each such Registrant listed on Schedule A or Schedule B hereto, or if the relevant Registrant has no series, then the relevant Registrant (as applicable, each an “Acquiring Fund” or “Acquired Fund” pursuant to the applicable schedule), each severally and not jointly.
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • July 30th, 2012 • Nuveen Investment Trust V • Massachusetts
THIS AGREEMENT made as of the 11th day of May 2012, by and between each of the Nuveen open-end investment companies (the “Funds”), as listed on Schedule A, each having its principal office and place of business at 333 W. Wacker Drive, Suite 3300, Chicago, Illinois 60606 and Boston Financial Data Services, Inc., having its principal office and place of business at 2000 Crown Colony Drive, Quincy, Massachusetts 02169 (the “Transfer Agent”).
AMENDED AND RESTATED INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • January 28th, 2022 • Nuveen Investment Trust V • Illinois
AGREEMENT effective as of this 31st day of December 2021 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 registered investment adviser (“NAM” or “Sub-Adviser”).
AMENDED AND RESTATED MASTER CUSTODIAN AGREEMENT July 15, 2015 (Updated as of September 26, 2018)Master Custodian Agreement • November 28th, 2018 • Nuveen Investment Trust V
AMENDED AND RESTATED MASTER CUSTODIAN AGREEMENTCustodian Agreement • February 2nd, 2007 • Nuveen Investment Trust V • 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”).
INVESTMENT SUB-ADVISORY AGREEMENTSub-Advisory Agreement • January 28th, 2015 • Nuveen Investment Trust V • Illinois
AGREEMENT MADE THIS 1st day of October, 2014, by and between Nuveen Fund Advisors, LLC, a Delaware limited liability company and a registered investment adviser (“Manager”), and NWQ Investment Management Company LLC, a Delaware limited liability company and a registered investment adviser (“Sub-Adviser”).
AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Open-End Investment Companies As Listed on Schedule A to the Agreement And DST Asset Manager Solutions, Inc.Transfer Agency and Service Agreement • January 28th, 2021 • Nuveen Investment Trust V
This amendment, effective as of May 10, 2020 (the “Effective Date”), is made by the parties to the Transfer Agency and Service Agreement entered into on May 11th, 2012, as amended (the “Agreement”), between each of the Nuveen open-end investment companies listed on Schedule A to the Agreement (collectively, the “Funds” and individually, the “Fund”) and DST Asset Manager Solutions, Inc. (formerly known as Boston Financial Data Services, Inc.) (the “Transfer Agent” or “DST”). Capitalized terms used in this amendment without definition shall have the respective meanings given to such terms in the Agreement.
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • January 18th, 2011 • Nuveen Investment Trust V • Illinois
AGREEMENT MADE THIS 1st day of January, 2011, by and between Nuveen Fund Advisors, Inc., a Delaware corporation and a registered investment adviser (“Manager”), and Nuveen Asset Management, LLC, a Delaware limited liability company and a registered investment adviser (“Sub-Adviser”).
CONTINUANCE OF MANAGEMENT AGREEMENTSManagement Agreements • December 29th, 2022 • Nuveen Investment Trust V
Agreement made as of this 29th day of July 2022, by and between the entities listed on Appendix A (the “Funds”), and Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”), to be effective August 1, 2022.
MANAGEMENT AGREEMENT BETWEEN NUVEEN INVESTMENT TRUST V AND NUVEEN FUND ADVISORS, LLCManagement Agreement • January 28th, 2015 • Nuveen Investment Trust V
NUVEEN INVESTMENT TRUST V, a Massachusetts business trust registered under the Investment Company Act of 1940 (“1940 Act”) as an open-end diversified management series investment company (“Trust”), hereby appoints NUVEEN FUND ADVISORS, LLC, a Delaware limited liability company registered under the Investment Advisers Act of 1940 as an investment adviser, of Chicago, Illinois (“Manager”), to furnish investment advisory and management services and certain administrative services with respect to the portion of its assets represented by the shares of beneficial interest issued in the series listed in Schedule A hereto, as such schedule may be amended from time to time (each such series hereinafter referred to as “Fund”). Trust and Manager hereby agree that:
APPENDIX A TO CUSTODIAN AGREEMENT Dated as of December 10, 2012 NUVEEN CLOSED- END MANAGEMENT INVESTMENT COMPANIESCustodian Agreement • January 28th, 2013 • Nuveen Investment Trust V
Nuveen Massachusetts AMT-Free Municipal Income Fund (f/k/a Nuveen Insured Massachusetts Tax-Free Advantage Municipal Fund)
RENEWAL OF DISTRIBUTION AGREEMENTSRenewal of Distribution Agreements • December 29th, 2022 • Nuveen Investment Trust V
Agreement made this 15th day of August, 2022 by and between the entities listed on Appendix A (each a “Fund”), and NUVEEN SECURITIES, LLC, a Delaware limited liability company (the “Underwriter”);
AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Open-End Investment Companies Listed on Exhibit A to the Agreement And Boston Financial Data Services, Inc.Transfer Agency and Service Agreement • July 30th, 2012 • Nuveen Investment Trust V
This Amendment is made as of this 25thday of July, 2012, between each of the Nuveen Open-End Investment Companies Listed on Exhibit A to the Agreement (collectively, the “Fund”) andBoston Financial Data Services, Inc. (the “Transfer Agent”). In accordance with Section17 (Additional Portfolios/Funds) and Section 16.1 (Amendment) of the Transfer Agency and Service Agreement dated May 11, 2012, (the “Agreement”), the parties desire to amend the Agreement as set forth herein.
AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Open-End Investment Companies as Listed on Schedule A to the Agreement And Boston Financial Data Services, Inc.Transfer Agency and Service Agreement • January 28th, 2016 • Nuveen Investment Trust V
This Amendment is made as of this 25th day of September, 2015, between each of the Nuveen Open-End Investment Companies, as listed on Schedule A to the Agreement (collectively, the “Fund”) and Boston Financial Data Services, Inc. (the “Transfer Agent”). In accordance with Section 17 (Additional Portfolios/Funds) and Section 16.1 (Amendment) of the Transfer Agency and Service Agreement dated May 11, 2012, (the “Agreement”), the parties desire to amend the Agreement as set forth herein.
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • September 26th, 2016 • Nuveen Investment Trust V • Illinois
AGREEMENT MADE THIS 22nd day of September 2016, by and between Nuveen Fund Advisors, LLC, a Delaware limited liability company and a registered investment adviser (“Manager”), and Nuveen Investments Advisers, LLC, a Delaware limited liability company and a registered investment adviser (“Sub-Adviser”).
APPENDIX A TO AMENDED AND RESTATED MASTER CUSTODIAN AGREEMENT July 15, 2015 (Updated as of August 03, 2016) NUVEEN CLOSED-END MANAGEMENT INVESTMENT COMPANIESMaster Custodian Agreement • September 26th, 2016 • Nuveen Investment Trust V
APPENDIX A TO CUSTODIAN AGREEMENT Dated as of July 26, 2012 NUVEEN CLOSED-END MANAGEMENT INVESTMENT COMPANIESCustodian Agreement • July 30th, 2012 • Nuveen Investment Trust V
Nuveen Massachusetts AMT-Free Municipal Income Fund (f/k/a Nuveen Insured Massachusetts Tax-Free Advantage Municipal Fund)
NUVEEN OPEN-END FUNDS LISTED ON APPENDIX A RENEWAL OF MANAGEMENT AGREEMENTSManagement Agreements • October 1st, 2018 • Nuveen Investment Trust V
Agreement made as of this 24th day of July 2018, by and between the entities listed on Appendix A (the “Funds”), and Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”), to be effective August 1, 2018.
AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Open-End Investment Companies Listed on Schedule A to the Agreement And Boston Financial Data Services, Inc.Transfer Agency and Service Agreement • January 28th, 2015 • Nuveen Investment Trust V
This Amendment is made as of this 11th day of December, 2014, between each of the Nuveen Open-End Investment Companies Listed on Schedule A to the Agreement (collectively, the “Fund”) and Boston Financial Data Services, Inc. (the “Transfer Agent”). In accordance with Section 17 (Additional Portfolios/Funds) and Section 16.1 (Amendment) of the Transfer Agency and Service Agreement dated May 11, 2012, (the “Agreement”), the parties desire to amend the Agreement as set forth herein.
Transfer Agency and Service Agreement Among Each of the Nuveen Open-End Investment Companies Listed on Exhibit A Hereto and State Street Bank and Trust CompanyService Agreement • February 2nd, 2007 • Nuveen Investment Trust V • Massachusetts
AGREEMENT made as of the 7th day of October, 2002, by and among each of the Nuveen open-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”).
AMENDMENT NUMBER 1 TO RULE 12d1-4 FUNDS OF FUNDS INVESTMENT AGREEMENT FOR TIAA- CREF FUNDS OF FUNDS AS ACQUIRING FUNDS AND NUVEEN FUNDS/ETFS AS ACQUIRED FUNDSNuveen Investment Trust V • April 28th, 2023
THIS AMENDMENT number 1 (the “Amendment”) to the Rule 12d1-4 Funds of Funds Investment Agreement for TIAA-CREF Funds of Funds as Acquiring Funds and Nuveen Funds/ETFs as Acquired Funds (the “Agreement”) dated January 19, 2022, among the Acquiring Trust, on behalf of itself and each Acquiring Fund, and the Acquired Trusts, each on behalf of itself and its Acquired Funds, is entered into as of January 19, 2023.
AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Open-End Investment Companies Listed on Schedule A to the Agreement And Boston Financial Data Services, Inc.Transfer Agency and Service Agreement • January 27th, 2017 • Nuveen Investment Trust V
This Amendment is made as of this 11th day of October, 2016, between each of the Nuveen Open-End Investment Companies Listed on Schedule A to the Agreement (collectively, the “Fund”) and Boston Financial Data Services, Inc. (the “Transfer Agent”). In accordance with Section 16.1 (Amendment) and Section 17 (Additional Portfolios/Funds) and Section 16.1 (Amendment) of the Transfer Agency and Service Agreement dated May 11, 2012, as amended (the “Agreement”), the parties desire to amend the Agreement as set forth herein.
AMENDED AND RESTATED INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • January 27th, 2017 • Nuveen Investment Trust V • New York
AGREEMENT MADE THIS 23rd day of February 2016 by and between Nuveen Fund Advisors, LLC, a Delaware limited liability company and a registered investment adviser (“Manager”), Gresham Investment Management LLC, a Delaware limited liability company and a registered investment adviser (“Sub-Adviser”), and each registered investment company listed on Schedule A hereto (each a “Fund” and collectively the “Funds”).
DISTRIBUTION AGREEMENTDistribution Agreement • February 2nd, 2007 • Nuveen Investment Trust V
AGREEMENT made as of this 15th of December, 2006 between NUVEEN INVESTMENT TRUST V, a business trust organized under the laws of the Commonwealth of Massachusetts (the “Fund”), and NUVEEN INVESTMENTS, LLC, a Delaware limited liability company (the “Underwriter”).
NUVEEN OPEN-END FUNDS RENEWAL OF INVESTMENT MANAGEMENT AGREEMENTSInvestment Management Agreements • January 27th, 2012 • Nuveen Investment Trust V
This Agreement made this 25th day of May 2011 by and between the trusts listed on Schedule A (the “Nuveen Open-End Trusts”), and Nuveen Fund Advisors, Inc. f/k/a Nuveen Asset Management, a Delaware corporation (the “Adviser”);
NUVEEN FUNDS CONTINUANCE OF MANAGEMENT AGREEMENTSNuveen Funds • December 29th, 2023 • Nuveen Investment Trust V
Agreement made as of this 31st day of July 2023, by and between the entities listed on Appendix A (the “Funds”), and Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”), to be effective August 1, 2023.
RENEWAL OF DISTRIBUTION AGREEMENTSRenewal of Distribution Agreements • December 29th, 2023 • Nuveen Investment Trust V
Agreement made this 15th day of August, 2023 by and between the entities listed on Appendix A (each a “Fund”), and NUVEEN SECURITIES, LLC, a Delaware limited liability company (the “Underwriter”);
Renewal of Distribution AgreementRenewal of Distribution Agreement • January 28th, 2016 • Nuveen Investment Trust V
Agreement made this 4th day of August, 2015 by and between Nuveen Investment Trust V, a Massachusetts business trust (the “Fund”), and NUVEEN SECURITIES, LLC (formerly, Nuveen Investments, LLC), a Delaware limited liability company (the “Underwriter”);
Nuveen Funds Rule 22c-2 Agreement2 Agreement • April 30th, 2009 • Nuveen Investment Trust V
AGREEMENT effective as of October 16, 2006 or the compliance date of SEC Rule 22c-2 under the Investment Company Act of 1940, whichever is later, by and between Nuveen Investments, LLC (“Fund Agent”), on behalf of the Nuveen Funds (each a “Fund” and collectively the “Funds”) and the undersigned firm (“Intermediary”).
NUVEEN OPEN-END FUNDS RENEWAL OF INVESTMENT MANAGEMENT AGREEMENTSInvestment Management Agreements • December 2nd, 2013 • Nuveen Investment Trust V
This Agreement made this 29th day of July 2013 by and between the entities listed on Schedule A (the “Nuveen Open-End Funds”), and Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”);
MANAGEMENT AGREEMENT BETWEEN NUVEEN INVESTMENT TRUST V AND NUVEEN ASSET MANAGEMENTManagement Agreement • April 29th, 2008 • Nuveen Investment Trust V
NUVEEN INVESTMENT TRUST V, a Massachusetts business trust registered under the Investment Company Act of 1940 (“1940 Act”) as an open-end diversified management series investment company (“Trust”), hereby appoints NUVEEN ASSET MANAGEMENT, a Delaware corporation registered under the Investment Advisers Act of 1940 as an investment adviser, of Chicago, Illinois (“Manager”), to furnish investment advisory and management services and certain administrative services with respect to the portion of its assets represented by the shares of beneficial interest issued in the series listed in Schedule A hereto, as such schedule may be amended from time to time (each such series hereinafter referred to as “Fund”). Trust and Manager hereby agree that:
RULE 12d1-4 FUNDS OF FUNDS INVESTMENT AGREEMENT FOR TIAA-CREF FUNDS OF FUNDS AS ACQUIRING FUNDS AND NUVEEN FUNDS/ETFS AS ACQUIRED FUNDSAgreement • January 28th, 2022 • Nuveen Investment Trust V
THIS AGREEMENT is entered into as of January 19, 2022, among TIAA-CREF Funds (the “Acquiring Trust”), on behalf of itself and its separate series listed on Schedule A, as amended from time to time, severally and not jointly (each an “Acquiring Fund” and collectively, the “Acquiring Funds”), and Nuveen Multistate Trust I, Nuveen Multistate Trust II, Nuveen Multistate Trust III, Nuveen Multistate Trust IV, Nuveen Municipal Trust, Nuveen Investment Funds, Inc., Nuveen Investment Trust, Nuveen Investment Trust II, Nuveen Investment Trust III, Nuveen Investment Trust V, Nuveen Managed Accounts Portfolios Trust, Nuveen Strategy Funds, Inc., NuShares ETF Trust (each an “Acquired Trust” and collectively, the “Acquired Trusts”), each on behalf of its itself and its separate series listed on Schedule B, as amended from time to time or as such additional series are deemed to be added in the future, severally and not jointly (each, an “Acquired Fund” and collectively, the “Acquired Funds”).
AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Open-End Investment Companies Listed on Schedule A to the Agreement And Boston Financial Data Services, Inc.Transfer Agency and Service Agreement • January 26th, 2018 • Nuveen Investment Trust V
This Amendment is made as of this 21st day of December, 2017, between each of the Nuveen Open-End Investment Companies Listed on Schedule A to the Agreement (collectively, the “Funds”) and Boston Financial Data Services, Inc. (the “Transfer Agent”). In accordance with Section 16.1 (Amendment) and Section 17 (Additional Portfolios/Funds) of the Transfer Agency and Service Agreement dated May 11, 2012, as amended (the “Agreement”), the parties desire to amend the Agreement as set forth herein.
Renewal of Distribution AgreementRenewal of Distribution Agreement • October 1st, 2018 • Nuveen Investment Trust V
Agreement made this 7th day of August, 2018 by and between Nuveen Investment Trust V, a Massachusetts business trust (the “Fund”), and NUVEEN SECURITIES, LLC (formerly, Nuveen Investments, LLC), a Delaware limited liability company (the “Underwriter”);
Renewal of Distribution AgreementRenewal of Distribution Agreement • January 28th, 2015 • Nuveen Investment Trust V
Agreement made this 6th day of August, 2014 by and between Nuveen Investment Trust V, a Massachusetts business trust (the “Fund”), and NUVEEN SECURITIES, LLC (formerly, Nuveen Investments, LLC), a Delaware limited liability company (the “Underwriter”);
