AMENDMENT NO. 1 TO PURCHASE AND SETTLEMENT AGREEMENTPurchase and Settlement Agreement • March 3rd, 2016 • Rivernorth Capital Management, LLC • Delaware
This Amendment No. 1 (this “Amendment”) to the Purchase and Settlement Agreement, dated as of February 18, 2016 (the “Original Agreement”), by and among (i) Fifth Street Finance Corp., a Delaware corporation (the “Company”), (ii) Fifth Street Holdings L.P., a Delaware limited partnership (“Holdings”) and Leonard M. Tannenbaum (“LT” and, together with Holdings, the “Buyers”), (iii) Fifth Street Asset Management Inc., a Delaware corporation (“FSAM”), and (iv) Sellers (as defined below) (collectively, the “Parties” and each, a “Party”), is made and entered into on this 23rd day of February, 2016, by and among the Parties. As used herein: (a) “Sellers” (and each, a “Seller”) means RiverNorth, Randy I. Rochman, Fred G. Steingraber and Murray R. Wise, collectively and (b) “RiverNorth” means RiverNorth Capital Management, LLC (“RiverNorth Capital”), RiverNorth Capital Partners, L.P., RiverNorth Institutional Partners, L.P., RiverNorth Core Opportunity Fund and RiverNorth/DoubleLine Strategic
JOINT FILING AGREEMENTJoint Filing Agreement • September 23rd, 2015 • Rivernorth Capital Management, LLC
In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned does hereby consent and agree to the joint filing on behalf of each of them of a Statement on Schedule 13D and all amendments thereto with respect to the Auction Rate Preferred Shares of Alliance California Municipal Income Fund beneficially owned by each of them, and to the inclusion of this Joint Filing Agreement as an exhibit thereto.
JOINT FILING AGREEMENTJoint Filing Agreement • August 22nd, 2016 • Rivernorth Capital Management, LLC
In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned does hereby consent and agree to the joint filing on behalf of each of them of a Statement on Schedule 13D and all amendments thereto with respect to the Auction Rate Preferred Shares of Franklin Limited Duration Income Trust beneficially owned by each of them, and to the inclusion of this Joint Filing Agreement as an exhibit thereto.
JOINT FILING AGREEMENTJoint Filing Agreement • November 17th, 2014 • Rivernorth Capital Management, LLC
In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned does hereby consent and agree to the joint filing on behalf of each of them of a Statement on Schedule 13D and all amendments thereto with respect to the Common Stock of General Dynamics Corporation beneficially owned by each of them, and to the inclusion of this Joint Filing Agreement as an exhibit thereto.
JOINT FILING AGREEMENTJoint Filing Agreement • February 20th, 2015 • Rivernorth Capital Management, LLC
In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned does hereby consent and agree to the joint filing on behalf of each of them of a Statement on Schedule 13D and all amendments thereto with respect to the Auction Rate Cumulative Preferred Stock of Pacholder High Yield Fund, Inc. beneficially owned by each of them, and to the inclusion of this Joint Filing Agreement as an exhibit thereto.
JOINT FILING AND SOLICITATION AGREEMENTJoint Filing and Solicitation Agreement • November 16th, 2015 • Rivernorth Capital Management, LLC
This Agreement (this “Agreement”) is made and entered into as of November 16, 2015, by and among (1) RiverNorth Capital Management, LLC, a Delaware limited liability company (“RiverNorth”), RiverNorth Capital Partners, L.P., a Delaware limited partnership (“RNCP”), RiverNorth Institutional Partners, L.P., a Delaware limited partnership (“RNIP”), RiverNorth Core Opportunity Fund, a an Ohio business trust (“RNCO”), RiverNorth/DoubleLine Strategic Income Fund, a an Ohio business trust (“RNDL” and, collectively with RiverNorth, RNCP, RNIP, and RNCO, the “RiverNorth Parties”), and (2) Randy I. Rochman, Fred G. Steingraber, and Murray R. Wise (Messrs. Rochman, Steingraber and Wise, collectively the “Nominees” and, such Nominees together with the RiverNorth Parties, the “Parties” or, the “Group” and each, a “Party”).
JOINT FILING AGREEMENTJoint Filing Agreement • February 22nd, 2016 • Rivernorth Capital Management, LLC
In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including amendments thereto) with respect to the shares of Common Stock, par value $0.01 per share, of Fifth Street Finance Corp. This Joint Filing Agreement shall be filed as an Exhibit to such Statement.
JOINT FILING AGREEMENTJoint Filing Agreement • December 24th, 2015 • Rivernorth Capital Management, LLC
In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the shares of Common Stock, $0.01 par value, of Fifth Street Senior Floating Rate Corp., a Delaware corporation. This Joint Filing Agreement shall be filed as an Exhibit to such Statement.
