SUB-PLACEMENT AGENT AGREEMENTSub-Placement Agent Agreement • February 22nd, 2024 • Neuberger Berman High Yield Strategies Fund Inc.
From time to time Neuberger Berman BD LLC (the “Distributor,” “we” or “us”) will act as manager of registered at-the-market offerings by Neuberger Berman High Yield Strategies Fund Inc., a Maryland corporation (the “Fund”), of up to $109,000,000 of shares (the “Shares”) of common stock, par value $0.0001 per share, of the Fund (the “Common Shares”). In the case of such offerings, the Fund has agreed with the Distributor to issue and sell through or to the Distributor, as sales agent and/or principal, the Shares (the “Distribution Agreement”).
SUB-PLACEMENT AGENT AGREEMENTAgent Agreement • May 8th, 2023 • Neuberger Berman High Yield Strategies Fund Inc.
From time to time Neuberger Berman BD LLC (the “Distributor,” “we” or “us”) will act as manager of registered at-the-market offerings by Neuberger Berman High Yield Strategies Fund Inc., a Maryland corporation (the “Fund”), of up to $109,000,000 of shares (the “Shares”) of common stock, par value $0.0001 per share, of the Fund (the “Common Shares”). In the case of such offerings, the Fund has agreed with the Distributor to issue and sell through or to the Distributor, as sales agent and/or principal, the Shares (the “Distribution Agreement”).
DISTRIBUTION AGREEMENTDistribution Agreement • February 22nd, 2024 • Neuberger Berman High Yield Strategies Fund Inc. • New York
This DISTRIBUTION AGREEMENT (the “Agreement”) is made as of May 8, 2023 by and between Neuberger Berman High Yield Strategies Fund Inc., a Maryland corporation (the “Fund”), and Neuberger Berman BD LLC, a Delaware limited liability company (the “Distributor”).
Subscription Agent Agreement Between Neuberger Berman High Yield Strategies Fund Inc. And Computershare Trust Company, N.A. And Computershare Inc.Subscription Agent Agreement • April 19th, 2022 • Neuberger Berman High Yield Strategies Fund Inc. • New York
This SUBSCRIPTION AGENT AGREEMENT (this “Agreement”), dated as of April [ ], 2022 (the “Effective Date”), is by and between Neuberger Berman High Yield Strategies Fund Inc., a Maryland corporation ("Company"), and Computershare Trust Company, N.A., a federally chartered trust company (“Trust Company”), and Computershare Inc., a Delaware corporation (“Computershare”, and together with Trust Company, “Agent”).
DEALER MANAGER AGREEMENTDealer Manager Agreement • May 24th, 2023 • Neuberger Berman High Yield Strategies Fund Inc. • New York
Each of Neuberger Berman High Yield Strategies Fund Inc., a Maryland corporation (the “Fund”), and Neuberger Berman Investment Advisers LLC, a Delaware limited liability company (the “Adviser”), hereby confirms the agreement with and appointment of UBS Securities LLC to act as dealer manager (the “Dealer Manager”) in connection with the issuance by the Fund to the holders of record (the “Record Date Shareholders”) at the close of business on the record date set forth in the Prospectus (as defined herein) (the “Record Date”) transferable rights entitling such Record Date Shareholders to subscribe for up to 6,482,227 shares (each a “Share” and, collectively, the “Shares”) of common stock, par value $0.0001 per share (the “Common Shares”), of the Fund (the “Offer”). Pursuant to the terms of the Offer, the Fund is issuing each Record Date Shareholder one transferable right (each a “Right” and, collectively, the “Rights”) for each Common Share held by such Record Date Shareholder on the Rec
ADMINISTRATION AGREEMENT NEUBERGER BERMAN HIGH YIELD STRATEGIES FUND INC.Administration Agreement • April 5th, 2022 • Neuberger Berman High Yield Strategies Fund Inc. • New York
This Agreement is made as of August 6, 2010, between Neuberger Berman High Yield Strategies Fund Inc., a Maryland corporation (“Fund”), and Neuberger Berman Management LLC, a Delaware limited liability company (“Administrator”).
FORM OF MANAGEMENT AGREEMENT NEUBERGER BERMAN HIGH YIELD STRATEGIES FUND INC.Management Agreement • May 7th, 2010 • Neuberger Berman High Yield Strategies Fund Inc. • New York
This Agreement is made as of ______, 2010, between Neuberger Berman High Yield Strategies Fund Inc., a Maryland corporation (“Fund”), and Neuberger Berman Management LLC, a Delaware limited liability company (“Manager”).
NOVATION OF MANAGEMENT AGREEMENT NEUBERGER BERMAN HIGH YIELD STRATEGIES FUND INC. This Novation of Management Agreement ("Novation") is entered into as of the 1st day of January, 2016 by and among Neuberger Berman Management LLC, a Delaware limited...Management Agreement • June 29th, 2016 • Neuberger Berman High Yield Strategies Fund Inc.
NEUBERGER BERMAN HIGH YIELD STRATEGIES FUND INC. 4,889,520 Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENTAgreement • April 19th, 2022 • Neuberger Berman High Yield Strategies Fund Inc. • New York
Custodian AgreementCustodian Agreement • May 7th, 2010 • Neuberger Berman High Yield Strategies Fund Inc. • Massachusetts
This Agreement is made as of March 22, 2007 between Lehman Brothers First Trust Income Opportunity Fund, a statutory trust organized and existing under the laws of Delaware and registered with the Securities and Exchange Commission as a diversified, closed-end management investment company (the “Fund”), and State Street Bank and Trust Company, a Massachusetts trust company (the “Custodian”).
ContractMargin Loan and Security Agreement • February 22nd, 2024 • Neuberger Berman High Yield Strategies Fund Inc. • New York
April 7, 2022Letter of Agreement • April 19th, 2022 • Neuberger Berman High Yield Strategies Fund Inc. • New York
This Letter of Agreement, including the Appendix attached hereto (collectively, this “Agreement”), sets forth the terms and conditions of the engagement of Georgeson LLC (“Georgeson”) by Neuberger Berman High Yield Strategies Fund Inc. (the “Fund”) to act as Information Agent in connection with the Fund’s proposed transferable rights offering currently scheduled to launch in April 2022 (the “Offering”). The term of this Agreement shall be the term of the Offering, including any extensions thereof.
ASSIGNMENT, AMENDMENT AND ASSUMPTION AGREEMENTAssignment, Amendment and Assumption Agreement • April 5th, 2022 • Neuberger Berman High Yield Strategies Fund Inc. • Massachusetts
This ASSIGNMENT, AMENDMENT AND ASSUMPTION AGREEMENT (the “Assignment Agreement”) is entered into as of August 6, 2010, among Neuberger Berman High Yield Strategies Fund (formerly Lehman Brothers First Trust Income Opportunity Fund), a statutory trust organized and existing under the laws of Delaware (“Assignor”) and Neuberger Berman High Yield Strategies Fund Inc., a corporation organized and existing under the laws of Maryland (“Assignee”), and State Street Bank and Trust Company, a Massachusetts trust company (the “State Street”).
STOCK TRANSFER AGENCY AGREEMENTStock Transfer Agency Agreement • May 7th, 2010 • Neuberger Berman High Yield Strategies Fund Inc. • New York
AGREEMENT, made as of April 9, 2007, by and between LEHMAN BROTHERS FIRST TRUST INCOME OPPORTUNITY FUND INC., a statutory trust formed 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”). Schedule A is deemed a part of this Agreement and all functions and activities contained in Schedule A are subject to the provisions of this Agreement.
TRANSFER AGENCY AND REGISTRAR SERVICES AGREEMENTTransfer Agency and Registrar Services Agreement • April 5th, 2022 • Neuberger Berman High Yield Strategies Fund Inc. • New York
THIS TRANSFER AGENCY AND REGISTRAR SERVICES AGREEMENT (this “Agreement”), dated as of June 13, 2017 is between the investment companies listed in Exhibit A (as amended from time to time), each, a Maryland corporation (each, a “Company” and collective, the “Companies”) and AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, a New York limited liability trust company (“AST” or the “Agent”).
NOVATION OF ADMINISTRATION AGREEMENT NEUBERGER BERMAN HIGH YIELD STRATEGIES FUND INC.Administration Agreement • April 5th, 2022 • Neuberger Berman High Yield Strategies Fund Inc.
This Novation of Administration Agreement (“Novation”) is entered into as of the 1st day of January, 2016 by and among Neuberger Berman Management LLC, a Delaware limited liability company (“NB Management”), Neuberger Berman Investment Advisers LLC, a Delaware limited liability company (“NBIA”), and Neuberger Berman High Yield Strategies Fund Inc., a Maryland corporation (the “Fund”).
FIRST AMENDMENT TO MARGIN LOAN AND SECURITY AGREEMENTMargin Loan and Security Agreement • February 22nd, 2024 • Neuberger Berman High Yield Strategies Fund Inc.
This First Amendment to Margin Loan and Security Agreement (this “Amendment”) is executed effective as of September 18, 2023, by and between Neuberger Berman High Yield Strategies Fund Inc., a Maryland corporation registered as a diversified, closed-end management investment company (“Borrower”), and Bank of America, N.A. (“Lender”).
May 17, 2023Neuberger Berman High Yield Strategies Fund Inc. • May 24th, 2023 • New York
This letter will serve as the agreement (the “Agreement”) between AST Fund Solutions, LLC (“AST Fund Solutions”) and Neuberger Berman High Yield Strategies Fund Inc. (the “Client”), pursuant to which AST Fund Solutions will provide the services set forth below and serve the Client as Information Agent in connection with the Client’s proposed transferable rights offering (the “Offer”). The Offer is currently scheduled to commence on May 23, 2023.
FORM OF SUB-ADVISORY AGREEMENT NEUBERGER BERMAN HIGH YIELD STRATEGIES FUND INC.Sub-Advisory Agreement • May 7th, 2010 • Neuberger Berman High Yield Strategies Fund Inc. • New York
This Sub-Advisory Agreement (“Agreement”) is made as of ________, 2010, between Neuberger Berman Management LLC, a Delaware limited liability company (“Manager”) and Neuberger Berman Fixed Income LLC, a Delaware limited liability company (“Adviser”).
FORM OF ASSIGNMENT, AMENDMENT AND ASSUMPTION AGREEMENTAssignment, Amendment and Assumption Agreement • May 7th, 2010 • Neuberger Berman High Yield Strategies Fund Inc. • Massachusetts
This ASSIGNMENT, AMENDMENT AND ASSUMPTION AGREEMENT (the “Assignment Agreement”) is entered into as of __________, 2010, among Neuberger Berman High Yield Strategies Fund (formerly Lehman Brothers First Trust Income Opportunity Fund), a statutory trust organized and existing under the laws of Delaware (“Assignor”) and Neuberger Berman High Yield Strategies Fund Inc., a corporation organized and existing under the laws of Maryland (“Assignee”), and State Street Bank and Trust Company, a Massachusetts trust company (the “State Street”).
FORM OF AMENDMENT, ASSIGNMENT AND ASSUMPTION AGREEMENTAssignment and Assumption Agreement • May 7th, 2010 • Neuberger Berman High Yield Strategies Fund Inc. • New York
THIS AMENDMENT, ASSIGNMENT AND ASSUMPTION AGREEMENT (this “Agreement”), dated as of ________, 2010, is entered into between Neuberger Berman High Yield Strategies Fund, a Delaware statutory trust (“NHS”), Neuberger Berman High Yield Strategies Fund Inc., a Maryland corporation (“New NHS”), and The Bank of New York Mellon, a New York trust company (“Bank”). Capitalized terms used herein, but not otherwise defined herein, shall have the meanings set forth in the Transfer Agent Agreement (as defined below).
SUBSCRIPTION AGENT AGREEMENTSubscription Agent Agreement • May 24th, 2023 • Neuberger Berman High Yield Strategies Fund Inc.
This SUBSCRIPTION AGENT AGREEMENT (this “Agreement”) is entered into as of May 23, 2023, by and between American Stock Transfer & Trust Company, LLC (the “Subscription Agent”) and Neuberger Berman High Yield Strategies Fund Inc. (the “Company”).
MANAGEMENT AGREEMENTManagement Agreement • April 5th, 2022 • Neuberger Berman High Yield Strategies Fund Inc. • New York
This Agreement is made as of August 6, 2010, between Neuberger Berman High Yield Strategies Fund Inc., a Maryland corporation (“Fund”), and Neuberger Berman Management LLC, a Delaware limited liability company (“Manager”).
