SUBADVISORY AGREEMENTSubadvisory Agreement • May 29th, 2009 • Western Asset Investment Grade Defined Opportunity Trust Inc. • New York
This SUBADVISORY AGREEMENT (“Agreement”) is made this day of May, 2009, by and between Legg Mason Partners Fund Advisor, LLC, a Delaware limited liability company (the “Manager”), and Western Asset Management Company, a California corporation (the “Subadviser”).
MANAGEMENT AGREEMENT Legg Mason Partners Fund Advisor, LLCManagement Agreement • May 29th, 2009 • Western Asset Investment Grade Defined Opportunity Trust Inc. • New York
This MANAGEMENT AGREEMENT (“Agreement”) is made this day of May, 2009, by and between Western Asset Investment Grade Defined Opportunity Trust Inc. (the “Fund”) and Legg Mason Partners Fund Advisor, LLC, a Delaware limited liability company (the “Manager”).
CUSTODIAN SERVICES AGREEMENTCustodian Services Agreement • May 29th, 2009 • Western Asset Investment Grade Defined Opportunity Trust Inc.
THIS AGREEMENT is made as of [ ], 2009 by and among each management investment company registered under the 1940 Act (as defined below) identified on Exhibit A hereto (each a “Fund” and collectively the “Funds”) on behalf of each of its series or portfolios identified on Exhibit A (each a “Portfolio” and collectively the “Portfolios”) (together with each other Fund and Portfolio thereof made subject to this Agreement in accordance with Section 13(c) below, and State Street Bank and Trust Company, a Massachusetts trust company (the “Custodian”).
TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • May 29th, 2009 • Western Asset Investment Grade Defined Opportunity Trust Inc. • New York
AGREEMENT, dated as of March 20, 2006 by and between each of the investment companies listed on Schedule A hereto, as amended from time to time (each a “Fund” and collectively the “Funds”) and each having its principal place of business at 125 Broad Street, New York, New York 10004 and American Stock Transfer, Inc. (“Transfer Agent”), a New York corporation with principal offices at 59 Maiden Lane, New York, New York 10038.
FORM OF STANDARD DEALER AGREEMENTStandard Dealer Agreement • May 29th, 2009 • Western Asset Investment Grade Defined Opportunity Trust Inc. • New York
In connection with public offerings of securities underwritten by us, or by a group of underwriters (the “Underwriters”) represented by us, you may be offered the opportunity to purchase a portion of such securities, as principal, at a discount from the offering price representing a selling concession or reallowance granted as consideration for services rendered by you in the sale of such securities. We request that you agree to the following terms and provisions, and make the following representations, which, together with any additional terms and provisions set forth in any wire or letter sent to you in connection with a particular offering, will govern all such purchases of securities and the reoffering thereof by you.
FORM OF MASTER AGREEMENT AMONG UNDERWRITERSMaster Agreement • May 29th, 2009 • Western Asset Investment Grade Defined Opportunity Trust Inc. • New York
This Agreement, as amended or supplemented by the Invitation, shall become effective with respect to our participation in an offering of securities if you receive our oral or written acceptance and you do not receive a written communication revoking our acceptance prior to the time and date specified in the Invitation (our unrevoked acceptance after expiration of such time and date being hereinafter referred to as our “Acceptance”). Our Acceptance will constitute our confirmation that, except as otherwise stated in such Acceptance, each statement included in the Master Underwriters’ Questionnaire set forth as Exhibit A hereto (or otherwise furnished to us) is correct. The issuer of the securities in any offering of securities made pursuant to this Agreement is hereinafter referred to as the “Issuer.” If the Purchase Agreement does not provide for an over-allotment option, the securities to be purchased are hereinafter referred to as the “Securities”; if the Purchase Agreement provides
ContractSubadvisory Agreement • May 29th, 2009 • Western Asset Investment Grade Defined Opportunity Trust Inc. • New York
This SUBADVISORY AGREEMENT (“Agreement”) is made this day of May, 2009, by and between Western Asset Management Company, a corporation organized under the laws of California (the “Subadviser”) and Western Asset Management Company Pte. Ltd, a corporation organized under the laws of SINGAPORE (“WESTERN SINGAPORE”).
ContractSubadvisory Agreement • May 29th, 2009 • Western Asset Investment Grade Defined Opportunity Trust Inc. • New York
This SUBADVISORY AGREEMENT (“Agreement”) is made this day of May, 2009, by and between Western Asset Management Company, a corporation organized under the laws of California (the “Subadviser”) and Western Asset Management Company Limited, a corporation organized under the laws of England and Wales (“WESTERN LONDON”).
ContractSubadvisory Agreement • May 29th, 2009 • Western Asset Investment Grade Defined Opportunity Trust Inc. • New York
This SUBADVISORY AGREEMENT (“Agreement”) is made this day of May, 2009, by and between Western Asset Management Company, a corporation organized under the laws of California (the “Subadviser”) and Western Asset Management Company Ltd, a corporation organized under the laws of Japan (“WESTERN JAPAN”).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • May 29th, 2009 • Western Asset Investment Grade Defined Opportunity Trust Inc. • New York
Reference is made to the Underwriting Agreement dated June [ ], 2009 (the “Underwriting Agreement”), by and among Western Asset Investment Grade Defined Opportunity Trust Inc. (the “Fund”), Legg Mason Partners Fund Advisor, LLC (the “Manager”), Western Asset Management Company (the “Subadviser”) and each of the Underwriters named in Exhibit A therein, severally, with respect to the issue and sale of the Fund’s Securities (the “Offering”), as described therein. Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
INCENTIVE FEE AGREEMENTIncentive Fee Agreement • June 24th, 2009 • Western Asset Investment Grade Defined Opportunity Trust Inc. • New York
INCENTIVE FEE AGREEMENT (the “Agreement”), dated as of , 2009, between (“Qualifying Underwriter”) and Legg Mason Partners Fund Advisor, LLC (“Legg Mason”).
SUBSCRIPTION AGREEMENTSubscription Agreement • May 29th, 2009 • Western Asset Investment Grade Defined Opportunity Trust Inc.
Subscription Agreement, dated as of May 11,2009, between Western Asset Investment Grade Defined Opportunity Trust Inc., a corporation organized under the laws of Maryland (the “Fund”) and Legg Mason Inc. (the “Purchaser”).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • May 29th, 2009 • Western Asset Investment Grade Defined Opportunity Trust Inc. • New York
Reference is made to the Underwriting Agreement dated June [ ], 2009 (the “Underwriting Agreement”), by and among Western Asset Investment Grade Defined Opportunity Trust Inc. (the “Fund”), Legg Mason Partners Fund Advisor, LLC (the “Manager”), Western Asset Management Company and each of the Underwriters named in Exhibit A therein, severally, with respect to the issue and sale of the Fund’s Securities (the “Offering”), as described therein. Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
WESTERN ASSET INVESTMENT GRADE DEFINED OPPORTUNITY TRUST INC. Sub-Item 77q1 Registrant incorporates by reference Registrant's MANAGEMENT AGREEMENT and SUBADVISORY AGREEMENTS filed as exhibits to Amendment No.1 to pre-effective Form N-2 filed on May...Management Agreement • January 29th, 2010 • Western Asset Investment Grade Defined Opportunity Trust Inc.
Registrant incorporates by reference Registrant's MANAGEMENT AGREEMENT and SUBADVISORY AGREEMENTS filed as exhibits to Amendment No.1 to pre-effective Form N-2 filed on May 29, 2009. (Accession No. 0001104659-09-035873)
ADDITIONAL COMPENSATION AGREEMENTAdditional Compensation Agreement • May 29th, 2009 • Western Asset Investment Grade Defined Opportunity Trust Inc. • New York
ADDITIONAL COMPENSATION AGREEMENT (the “Agreement”), dated as of June [·], 2009, between Merrill Lynch & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”) and Legg Mason Partners Fund Advisor, LLC (“Legg Mason”).
