Guggenheim Strategic Opportunities Fund Sample Contracts

CUSTODY AGREEMENT
Custody Agreement • August 28th, 2013 • Guggenheim Strategic Opportunities Fund • New York

AGREEMENT, dated as of July 26, 2007, between Claymore/Guggenheim Strategic Opportunities Fund, a statutory trust organized and existing under the laws of the State of Delaware having its principal office and place of business at 2455 Corporate West Drive, Lisle, Illinois 60532 (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").

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Guggenheim Strategic Opportunities Fund Third Amended and Restated Agreement and Declaration of Trust Dated as of August 27, 2020
Agreement and Declaration of Trust • August 9th, 2021 • Guggenheim Strategic Opportunities Fund • Delaware

THIRD AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST made as of the 27th day of August, 2020, by the Trustees hereunder, and by the holders of shares of beneficial interest issued hereunder as hereinafter provided.

STOCK TRANSFER AGENCY AGREEMENT
Stock Transfer Agency Agreement • August 28th, 2013 • Guggenheim Strategic Opportunities Fund • New York

AGREEMENT, made as of July 26, 2007, by and between Claymore/Guggenheim Strategic Opportunities Fund, a statutory trust organized and existing under the laws of the State of Delaware (hereinafter referred to as the "Customer"), and The Bank of New York, a New York trust company (hereinafter referred to as the "Bank").

UNDERWRITING AGREEMENT
Underwriting Agreement • July 26th, 2007 • Claymore/Guggenheim Strategic Opportunities Fund • New York

Claymore/Guggenheim Strategic Opportunities Fund, a Delaware statutory trust (the “Fund”), Claymore Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Guggenheim Partners Asset Management, Inc., a Delaware corporation (the “Sub-Adviser” and together with the Adviser, the “Advisers”) confirm their respective agreements with Wachovia Capital Markets, LLC (“Wachovia”) and each of the other Underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Wachovia and Raymond James & Associates, Inc. are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Fund of a total of common shares of beneficial interest, par value $.01 per share (the “Initial Securities”), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Securities set forth

FOREIGN CUSTODY MANAGER AGREEMENT
Foreign Custody Manager Agreement • June 26th, 2007 • Claymore/Guggenheim Strategic Opportunities Fund • New York

AGREEMENT made as of July [ ], 2007 between Claymore/Guggenheim Strategic Opportunities Fund (the “Fund”) and The Bank of New York (“BNY”).

Amended & Restated U.S. PB Agreement
Account Agreement • March 22nd, 2019 • Guggenheim Strategic Opportunities Fund • New York

This Amended & Restated U.S. PB Agreement (including all terms, schedules, supplements and exhibits attached hereto, this “Agreement”) is entered into between the customer specified below (“Customer”) and BNP Paribas Securities Corp. (“BNPP PB”) on behalf of itself and as agent for the BNPP Entities (as defined in the Account Agreement attached as Exhibit A hereto). Customer and BNPP PB previously entered into a U.S. PB Agreement dated as of November 20, 2008 (the “Prior PBA”). Customer and BNPP PB desire to amend and restate the Prior PBA. The Agreement sets forth the terms and conditions on which BNPP PB will transact business with Customer. Customer and BNPP PB, on behalf of itself and as agent for the BNPP Entities, have also entered into the Account Agreement.

Controlled Equity OfferingSM Sales Agreement
Sales Agreement • July 1st, 2019 • Guggenheim Strategic Opportunities Fund • New York

Guggenheim Strategic Opportunities Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), and Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”), confirm their agreement (this “Agreement”) with Cantor Fitzgerald & Co. (“CF&Co”), as follows:

INVESTMENT ADVISORY AGREEMENT
Investment Advisory Agreement • July 9th, 2010 • Claymore/Guggenheim Strategic Opportunities Fund • Delaware

THIS INVESTMENT ADVISORY AGREEMENT (the “Agreement”), dated as of February 3, 2010, between Claymore/Guggenheim Strategic Opportunities Fund, a Delaware statutory trust (the “Trust”), and Claymore Advisors, LLC, a Delaware limited liability company (the “Adviser”).

FUND ADMINISTRATION AGREEMENT
Fund Administration Agreement • August 28th, 2013 • Guggenheim Strategic Opportunities Fund • Delaware

AGREEMENT made as of this 13th day of May, 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.

Guggenheim Strategic Opportunities Fund Second Amended and Restated Agreement and Declaration of Trust Dated as of March 7, 2011
Agreement and Declaration • March 16th, 2011 • Claymore/Guggenheim Strategic Opportunities Fund • Delaware

SECOND AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST made as of the 7th day of March, 2011, by the Trustees hereunder, and by the holders of shares of beneficial interest issued hereunder as hereinafter provided.

FUND ACCOUNTING AGREEMENT
Fund Accounting Agreement • August 28th, 2013 • Guggenheim Strategic Opportunities Fund • Delaware

This AGREEMENT is made as of this 1st day of June, 2013, between Guggenheim Strategic Opportunities Fund (the “Trust”), a Delaware statutory trust having its principal place of business at 2455 Corporate West Drive, Lisle, Illinois 60532, and Rydex Fund Services, LLC ("RFS"), a Maryland limited liability company having its principal place of business at 805 King Farm Boulevard, Rockville, MD 20850.

INVESTMENT SUB-ADVISORY AGREEMENT
Investment Sub-Advisory Agreement • July 9th, 2010 • Claymore/Guggenheim Strategic Opportunities Fund • Delaware

THIS INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”), dated as of February 3, 2010, among Claymore/Guggenheim Strategic Opportunities Fund, a Delaware statutory trust (the “Trust”), Claymore Advisors, LLC, a Delaware limited liability company (the “Investment Adviser”), and Guggenheim Partners Asset Management, Inc., a Delaware corporation (the “Investment Sub-Adviser”).

Amended and Restated Agreement and Declaration of Trust Dated as of December 15, 2006
Agreement and Declaration of Trust • June 26th, 2007 • Claymore/Guggenheim Strategic Opportunities Fund • Delaware
AMENDMENT TO FUND ADMINISTRATION AGREEMENT
Fund Administration Agreement • October 14th, 2016 • Guggenheim Strategic Opportunities Fund

This AMENDMENT (this “Amendment”) is made and entered into, as of this 20th day of July, 2016, by and between Rydex Fund Services, LLC (“RFS”) and each of Fiduciary/Claymore MLP Opportunity Fund (FMO); Guggenheim Build America Bonds Managed Duration Trust (GBAB); Guggenheim Energy & Income Fund (GEI); Guggenheim Equal Weight Enhanced Equity Income Fund (GEQ); Guggenheim Enhanced Equity Strategy Fund (GGE); Guggenheim Credit Allocation Fund (GGM); Guggenheim Strategic Opportunities Fund (GOF); and Guggenheim Enhanced Equity Income Fund (GPM) (each a “Trust” and collectively, the “Trusts”).

AMENDMENT TO FUND ACCOUNTING AGREEMENT
Fund Accounting Agreement • October 14th, 2016 • Guggenheim Strategic Opportunities Fund

This AMENDMENT (this “Amendment”) is made and entered into, as of this 20th day of July, 2016, by and between Rydex Fund Services, LLC (“RFS”) and Guggenheim Strategic Opportunities Fund (the “Trust”).

Amended and Restated Committed Facility Agreement
Committed Facility Agreement • March 22nd, 2019 • Guggenheim Strategic Opportunities Fund

BNP PARIBAS PRIME BROKERAGE INTERNATIONAL, LTD. (“BNPP PB”) and GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (“Customer”), hereby enter into this Committed Facility Agreement (this “Agreement”), dated as of the date specified on the signature page.

Guggenheim Strategic Opportunities Fund Fourth Amended and Restated Agreement and Declaration of Trust Dated as of February 29, 2024
Agreement and Declaration of Trust • May 6th, 2024 • Guggenheim Strategic Opportunities Fund

FOURTH AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST made as of the 29th day of February, 2024, by the Trustees hereunder, and by the holders of shares of beneficial interest issued hereunder as hereinafter provided.

AGREEMENT AND PLAN OF MERGER
Agreement and Plan of Merger • October 25th, 2021 • Guggenheim Strategic Opportunities Fund • Delaware

In order to consummate the Merger (as defined in Section 3(a) herein) and in consideration of the promises and the covenants and agreements hereinafter set forth, and intending to be legally bound, Guggenheim Enhanced Equity Income Fund, a Delaware statutory trust and a registered diversified closed-end investment company, File No. 811-21681 (the “Target Fund”) and Guggenheim Strategic Opportunities Fund, a Delaware statutory trust and a registered diversified closed-end investment company, File No. 811-21982 (the “Acquiring Fund” and together with the Target Fund, the “Funds”), each hereby agree as follows.

CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT
Controlled Equity Offeringsm • January 16th, 2018 • Guggenheim Strategic Opportunities Fund • New York

Guggenheim Strategic Opportunities Fund, a statutory trust organized under the laws of the State of Delaware (the "Fund"), and Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the "Adviser"), confirm their agreement (this "Agreement") with Cantor Fitzgerald & Co. ("CF&Co"), as follows:

FOREIGN CUSTODY MANAGER AGREEMENT
Foreign Custody Manager Agreement • August 28th, 2013 • Guggenheim Strategic Opportunities Fund • New York

AGREEMENT made as of July 26, 2007 between Claymore/Guggenheim Strategic Opportunities Fund (the "Fund") and The Bank of New York ("BNY").

SUBSCRIPTION AGREEMENT
Subscription Agreement • June 26th, 2007 • Claymore/Guggenheim Strategic Opportunities Fund

THIS SUBSCRIPTION AGREEMENT is entered into as of the [ ]st day of July [ ], 2007, between Claymore/Guggenheim Strategic Opportunities Fund, a statutory trust organized and existing under the laws of Delaware (the “Trust”), and Claymore Securities, Inc. (the “Purchaser”).

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GUGGENHEIM STRATEGIC OPPORTUNITIES FUND COMMON SHARES (PAR VALUE $0.01 PER SHARE) FIRST AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT February 1, 2021
Sales Agreement • February 2nd, 2021 • Guggenheim Strategic Opportunities Fund

THIS FIRST AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of February 1, 2021, by and among Guggenheim Strategic Opportunities Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (“CF&Co”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.

AMENDMENT AGREEMENT
Amendment Agreement • July 9th, 2010 • Claymore/Guggenheim Strategic Opportunities Fund • New York

AMENDMENT AGREEMENT (“Amendment”) dated as of August 5, 2009 to the Committed Facility Agreement dated November 20, 2008 between BNP Paribas Prime Brokerage, Inc. (“BNPP PB, Inc.”) and Claymore/Guggenheim Strategic Opportunities Fund (the “Customer”).

Committed Facility Agreement
Committed Facility Agreement • July 9th, 2010 • Claymore/Guggenheim Strategic Opportunities Fund

BNP PARIBAS PRIME BROKERAGE, INC. (“BNPP PB, Inc.”) and the counterparty specified on the signature page (“Customer”), hereby enter into this Committed Facility Agreement (this “Agreement”), dated as of the date specified on the signature page. Whereas BNPP PB, Inc. and Customer have entered into the U.S. PB Agreement, dated as of the date hereof (the “U.S. PB Agreement”) (the U.S. PB Agreement and this Agreement, collectively, the “40 Act Financing Agreements”). Whereas this Agreement supplements and forms part of the other 40 Act Financing Agreements and sets out the terms of the commitment of BNPP PB, Inc. to provide financing to Customer under the 40 Act Financing Agreements. Now, therefore, in consideration of the foregoing promises and for other good and valuable consideration, the receipt and adequacy of which is hereby acknowledged, the parties agree as follows: 1. Definitions - (a) Capitalized terms not defined in this Agreement have the respective meaning assigned to them in

Contract
Account Agreement • July 9th, 2010 • Claymore/Guggenheim Strategic Opportunities Fund

This U.S. PB Agreement (including all terms, schedules, supplements and exhibits attached hereto, this “Agreement”) is entered into between the customer specified below (“Customer”) and BNP Paribas Prime Brokerage, Inc. (“BNPP PB, Inc.”). The Agreement sets forth the terms and conditions on which BNPP PB, Inc. will transact business with Customer. Customer and BNPP PB, Inc., on behalf of itself and as agent for the BNPP Entities, have also entered into the Account Agreement.

AMENDMENT TO FUND ACCOUNTING AGREEMENTS
Fund Accounting Agreements • October 1st, 2020 • Guggenheim Strategic Opportunities Fund

This AMENDMENT (this “Amendment”) is made and entered into, as of this 27th day of August, 2020, by and between MUFG Investor Services (US), LLC (“MUIS”) and each of Fiduciary/Claymore Energy Infrastructure Fund (formerly, Fiduciary/Claymore MLP Opportunity Fund) (“FMO”); Guggenheim Taxable Municipal Managed Duration Trust (formerly, Guggenheim Build America Bonds Managed Duration Trust) (“GBAB”); Guggenheim Energy & Income Fund (“XGEIX”); Guggenheim Credit Allocation Fund (“GGM”); Guggenheim Strategic Opportunities Fund (“GOF”); and Guggenheim Enhanced Equity Income Fund (“GPM”) (each a “Trust” and collectively, the “Trusts”).

AMENDMENT AGREEMENT
Amendment Agreement • September 2nd, 2016 • Guggenheim Strategic Opportunities Fund • New York

AMENDMENT AGREEMENT (the “Amendment”), dated as of December 31, 2014 to the Committed Facility Agreement, dated as of November 20, 2008 (the “Agreement”) between BNP Paribas Prime Brokerage, Inc. (“BNPP PB, Inc.”) and Guggenheim Strategic Opportunities Fund (formerly known as Claymore/Guggenheim Strategic Opportunities Fund) (the “Customer”).

GUGGENHEIM STRATEGIC OPPORTUNITIES FUND COMMON SHARES (PAR VALUE $0.01 PER SHARE) SECOND AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT September 16, 2021
Sales Agreement • May 6th, 2024 • Guggenheim Strategic Opportunities Fund

THIS SECOND AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of September 16, 2021, by and among Guggenheim Strategic Opportunities Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (“CF&Co”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.

AMENDMENT No. 4 TO COMMITTED FACILITY AGREEMENT
Committed Facility Agreement • August 28th, 2013 • Guggenheim Strategic Opportunities Fund • New York

AMENDMENT AGREEMENT (the “Amendment”), dated as of January 25, 2013 to the Committed Facility Agreement, dated as of November 20, 2008, as amended from time to time (the “Agreement”) between BNP Paribas Prime Brokerage, Inc. (“BNPP PB, Inc.”) and Guggenheim Strategic Opportunities Fund (the “Customer”).

AMENDMENT No. 1 TO
S. Pb Agreement • September 30th, 2015 • Guggenheim Strategic Opportunities Fund • New York

AMENDMENT AGREEMENT (the “Amendment”), dated as of March 13, 2015 to the U.S. PB Agreement, dated as of November 20, 2008, as may be amended from time to time (the “Agreement”) between BNP Paribas Prime Brokerage, Inc. (“BNPP PB, Inc.”) and Guggenheim Strategic Opportunities Fund (formerly Claymore/Guggenheim Strategic Opportunities Fund) (the “Customer”).

AMENDMENT No. 5 TO COMMITTED FACILITY AGREEMENT
Committed Facility Agreement • August 28th, 2013 • Guggenheim Strategic Opportunities Fund • New York

AMENDMENT AGREEMENT (the “Amendment”), dated as of August 26, 2013 to the Committed Facility Agreement, dated as of November 20, 2008, as amended from time to time (the “Agreement”) between BNP Paribas Prime Brokerage, Inc. (“BNPP PB, Inc.”) and Guggenheim Strategic Opportunities Fund (the “Customer”).

AMENDMENT No. 3 TO COMMITTED FACILITY AGREEMENT
Committed Facility Agreement • August 31st, 2012 • Guggenheim Strategic Opportunities Fund • New York

AMENDMENT AGREEMENT (the “Amendment”), dated as of August 27, 2012 to the Committed Facility Agreement, dated as of November 20, 2008, as amended from time to time (the “Agreement”) between BNP Paribas Prime Brokerage, Inc. (“BNPP PB, Inc.”) and Guggenheim Strategic Opportunities Fund (the “Customer”).

GUGGENHEIM STRATEGIC OPPORTUNITIES FUND COMMON SHARES (PAR VALUE $0.01 PER SHARE) FORM OF SECOND AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT September 16, 2021
Sales Agreement • September 17th, 2021 • Guggenheim Strategic Opportunities Fund

THIS SECOND AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of September 16, 2021, by and among Guggenheim Strategic Opportunities Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (“CF&Co”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.

AMENDMENT No. 8 TO COMMITTED FACILITY AGREEMENT
Committed Facility Agreement • September 2nd, 2016 • Guggenheim Strategic Opportunities Fund • New York

AMENDMENT AGREEMENT (the “Amendment”), dated as of April 1, 2016 to the Committed Facility Agreement, dated as of November 20, 2008 (as amended from time to time, the “Agreement”) between BNP Paribas Prime Brokerage, Inc. (“BNPP PB, Inc.”) and Guggenheim Strategic Opportunities Fund (formerly known as Claymore/Guggenheim Strategic Opportunities Fund) (the “Customer”).

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