UBS SECURITIES LLC MASTER AGREEMENT AMONG UNDERWRITERS REGISTERED SEC OFFERINGS (INCLUDING MULTIPLE SYNDICATE OFFERINGS) AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Agreement Among Underwriters • March 25th, 2014 • Nuveen All Cap Energy MLP Opportunities Fund • New York
This Master Agreement Among Underwriters (this “Master AAU”), dated as of August 2, 2012, is by and between UBS Securities LLC (“UBS,” or “we”) and the party named on the signature page hereto (an “Underwriter,” as defined in Section 1.1 hereof, or “you”). From time to time we or one or more of our affiliates may invite you (and others) to participate on the terms set forth herein as an underwriter or an initial purchaser, or in a similar capacity, in connection with certain offerings of securities that are managed solely by us or with one or more other co-managers. If we invite you to participate in a specific offering and sale of securities (an “Offering”) to which this Master AAU will apply, we will send the information set forth in Section 1.1 hereof to you by one or more wires, telexes, telecopy or electronic data transmissions, or other written communications (each, a “Wire,” and collectively, an “AAU”), unless you are otherwise deemed to have accepted an AAU with respect to such
AMENDED AND RESTATED MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • February 19th, 2014 • Nuveen All Cap Energy MLP Opportunities Fund • 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”).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • March 25th, 2014 • Nuveen All Cap Energy MLP Opportunities Fund • New York
Reference is made to the Underwriting Agreement dated [ ], 2014 (the “Underwriting Agreement”), by and among Nuveen All Cap Energy MLP Opportunities Fund (the “Fund”), Nuveen Fund Advisors, LLC (the “Company”), Advisory Research, Inc. and each of the Underwriters named in Schedule A thereto, with respect to the issue and sale of the Fund’s Common Shares (the “Offering”), as described therein. Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
DEALER AGREEMENT Nuveen Securities, LLCDealer Agreement • June 30th, 2017 • Nuveen All Cap Energy MLP Opportunities Fund • New York
From time to time Nuveen Securities, LLC (the “Manager”, “we” or “us”) will act as manager of registered at-the-market offerings by Nuveen All Cap Energy MLP Opportunities Fund, a Massachusetts business trust (the “Fund”), of the Fund’s common stock, par value $0.01 per share (the “Common Stock”). In the case of such offerings, the Fund has agreed with the Manager to issue and sell through or to the Manager, as sales agent and/or principal, a certain number of shares of the Fund’s Common Stock.
UBS Securities LLC MASTER SELECTED DEALERS AGREEMENT REGISTERED SEC OFFERINGS AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Selected Dealers Agreement • March 25th, 2014 • Nuveen All Cap Energy MLP Opportunities Fund • New York
This Master Selected Dealers Agreement (this “Master SDA”), dated as of May 23, 2012, is by and between UBS Securities LLC (including its successors and assigns) (“we,” “our,” “us” or the “Manager”) and the party named on the signature page hereof (a “Dealer,” “you” or “your”). From time to time, in connection with an offering and sale (an “Offering”) of securities (the “Securities”), managed solely by us or with one or more other managers or co-managers, we or one or more of our affiliates may offer you (and others) the opportunity to purchase as principal a portion of such securities on the terms set forth herein as a Selected Dealer (as defined below).
Transfer Agency and Service Agreement Among Each of the Nuveen Closed End Investment Companies Listed on Exhibit A Hereto and State Street Bank and Trust CompanyTransfer Agency and Service Agreement • February 19th, 2014 • Nuveen All Cap Energy MLP Opportunities Fund • Massachusetts
AGREEMENT made as of the 7th day of October, 2002, by and among each of the Nuveen closed-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”).
NUVEEN ALL CAP ENERGY MLP OPPORTUNITIES FUND Chicago, Illinois 60606Distribution Agreement • June 30th, 2017 • Nuveen All Cap Energy MLP Opportunities Fund
Nuveen All Cap Energy MLP Opportunities Fund is a Massachusetts business trust operating as a closed-end management investment company (hereinafter referred to as the “Fund”). The Fund has filed a registration statement on Form N-2 (File Nos. 333-212322 and 811-22877) (the “Registration Statement”) pursuant to the Investment Company Act of 1940, as amended, and the Securities Act of 1933, as amended, to register additional common shares of the Fund, which may be issued and sold from time to time through various specified transactions, including at-the-market (“ATM”) offerings.
NUVEEN EXCHANGE-TRADED FUNDS MASTER SELECTED DEALER AGREEMENT [DATED]Master Selected Dealer Agreement • March 25th, 2014 • Nuveen All Cap Energy MLP Opportunities Fund • New York
In connection with public offerings of securities (“Securities”) of registered investment companies sponsored by Nuveen Investments (“Nuveen”) which are underwritten by a group of underwriters (“Underwriters”) which are represented by Nuveen alone or in conjunction with other firms (the “Representatives”), you (a “Dealer”) may be offered from time to time the opportunity to purchase a portion of such securities, as a principal, at a discount from the public offering price representing a selling concession or reallowance granted as consideration for services rendered in the distribution of such securities, subject to the terms and conditions of this Agreement.
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • February 19th, 2014 • Nuveen All Cap Energy MLP Opportunities Fund • Illinois
AGREEMENT made this 22nd day of January, 2014, by and between NUVEEN ALL CAP ENERGY MLP OPPORTUNITIES FUND, a Massachusetts business trust (the “Fund”), and NUVEEN FUND ADVISORS, LLC, a Delaware limited liability company (the “Adviser”).
Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Schedule A Attached Hereto and Computershare Inc. and Computershare Trust Company, N.A.Transfer Agency and Service Agreement • April 12th, 2018 • Nuveen All Cap Energy MLP Opportunities Fund • New York
THIS TRANSFER AGENCY AND SERVICE AGREEMENT, effective as of June 15, 2017 (“Effective Date”), is by and between each of the Nuveen closed-end investment companies listed on Schedule A attached hereto, as may be amended from time to time (“Schedule A”) (each such investment company, a “Fund”), and Computershare Inc., a Delaware corporation (“Computershare”), and its fully owned subsidiary Computershare Trust Company, N.A., a federally chartered trust company (“Trust Company”, and together with Computershare, “Transfer Agent”), each having a principal office and place of business at 250 Royall Street, Canton, Massachusetts 02021.
Nuveen All Cap Energy MLP Opportunities Fund [—] Common Shares of Beneficial Interest Par Value $0.01 Per Share UNDERWRITING AGREEMENTUnderwriting Agreement • March 25th, 2014 • Nuveen All Cap Energy MLP Opportunities Fund • New York
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • February 11th, 2020 • Nuveen All Cap Energy MLP Opportunities Fund • Illinois
AGREEMENT made as of this 21st day of November, 2019, by and between Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”), and Tortoise Capital Advisors, L.L.C., a Delaware limited liability company and a federally registered investment adviser (“Tortoise” or the “Sub-Adviser”).
FIRST AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • April 12th, 2018 • Nuveen All Cap Energy MLP Opportunities Fund
This First Amendment (“Amendment”) is entered into and effective as of this the 7th day of September, 2017, and hereby amends that certain Transfer Agency and Service Agreement by and among each Nuveen closed-end investment companies listed on Schedule A attached hereto, as may be amended from time to time (“Schedule A”) (each such investment company, a “Fund”), and Computershare Inc., (“Computershare”) and its fully owned subsidiary Computershare Trust Company, N.A., (“Trust Company”, and together with Computershare, “Transfer Agent”) dated June 15, 2017 (the “Agreement”). Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to such terms in the Agreement.
AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Exhibit A to the Agreement And State Street Bank and Trust CompanyTransfer Agency and Service Agreement • June 30th, 2016 • Nuveen All Cap Energy MLP Opportunities Fund
This Amendment is made as of this 15th day of July 2015 to the Transfer Agency and Service Agreement dated October 7, 2002, as amended (the “Agreement”) between each of the Nuveen Closed-End Investment Companies Listed on Exhibit A to the Agreement (collectively, the “Funds”) and State Street Bank and Trust Company (the “Transfer Agent”). In accordance with Section 16.1 (Amendment) of the Agreement, the parties desire to amend the Agreement as set forth herein.
To Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Exhibit A to the Agreement And State Street Bank and Trust CompanyTransfer Agency and Service Agreement • March 25th, 2014 • Nuveen All Cap Energy MLP Opportunities Fund
This Amendment is made as of this 20th day of March, 2014, to the Transfer Agency and Service Agreement dated October 7, 2002, as amended (the “Agreement”) between each of the Nuveen Closed-End Investment Companies Listed on Exhibit A to the Agreement (collectively, the “Funds”) and State Street Bank and Trust Company (the “Transfer Agent”). In accordance with Section 17.1 (Amendment) of 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 Closed-End Investment Companies Listed on Exhibit A to the Agreement And State Street Bank and Trust CompanyTransfer Agency and Service Agreement • February 19th, 2014 • Nuveen All Cap Energy MLP Opportunities Fund
This Amendment is made as of this 1st day of July 2011 to the Transfer Agency and Service Agreement dated October 7, 2002, as amended (the “Agreement”) between each of the Nuveen Closed-End Investment Companies Listed on Exhibit A to the Agreement (collectively, the “Funds”) and State Street Bank and Trust Company (the “Transfer Agent”). In accordance with Section 16.1 (Amendment) of the Agreement, the parties desire to amend the Agreement as set forth herein.
NUVEEN OPEN-END AND CLOSED-END FUNDS DEFERRED COMPENSATION PLAN FOR INDEPENDENT DIRECTORS AND TRUSTEES (As Amended and Restated Effective January 1, 2013) December 2008Deferred Compensation Plan • February 19th, 2014 • Nuveen All Cap Energy MLP Opportunities Fund • Illinois
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • March 25th, 2014 • Nuveen All Cap Energy MLP Opportunities Fund • New York
This agreement is between Nuveen Fund Advisors, LLC (the “Company”) and UBS Securities LLC (“UBS”) with respect to Nuveen All Cap Energy MLP Opportunities Fund (the “Fund”).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • March 25th, 2014 • Nuveen All Cap Energy MLP Opportunities Fund • New York
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • March 25th, 2014 • Nuveen All Cap Energy MLP Opportunities Fund • New York
Reference is made to the Underwriting Agreement dated [—], 2014 (the “Underwriting Agreement”), by and among Nuveen All Cap Energy MLP Opportunities Fund (the “Fund”), Nuveen Fund Advisors, LLC (the “Adviser”), Advisory Research, Inc. and each of the Underwriters named in Schedule 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.
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • June 30th, 2016 • Nuveen All Cap Energy MLP Opportunities Fund • Illinois
AGREEMENT made this 7th day of November, 2014, by and between NUVEEN ALL CAP ENERGY MLP OPPORTUNITIES FUND, a Massachusetts business trust (the “Fund”), and NUVEEN FUND ADVISORS, LLC, a Delaware limited liability company (the “Adviser”).
FEE AGREEMENTFee Agreement • March 25th, 2014 • Nuveen All Cap Energy MLP Opportunities Fund • New York
Reference is made to the Underwriting Agreement dated [ ], 2014 (the “Underwriting Agreement”), by and among Nuveen All Cap MLP Opportunities Fund (the “Fund”), Nuveen Fund Advisors, LLC (the “Adviser”), Advisory Research, Inc. and each of the Underwriters named in Schedule I thereto, severally, with respect to the issue and sale of the Fund’s Common Shares (the “Offering”), as described therein. Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
NUVEEN ALL CAP ENERGY MLP OPPORTUNITIES FUND Subscription AgreementSubscription Agreement • February 19th, 2014 • Nuveen All Cap Energy MLP Opportunities Fund
This Agreement made this November 5, 2013 by and between Nuveen All Cap Energy MLP Opportunities Fund, a Massachusetts business trust (the “Fund”), and Nuveen Fund Advisors, LLC (the “Subscriber”);
