THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST (a Delaware Statutory Trust) 1,200,000 Shares of 5.450% Series A Cumulative Preferred Shares UNDERWRITING AGREEMENTUnderwriting Agreement • May 9th, 2016 • Gabelli Global Small & Mid Cap Value Trust • New York
The Gabelli Global Small and Mid Cap Value Trust, a Delaware statutory trust (the “Fund”), and the Fund’s investment adviser, Gabelli Funds, LLC, a New York limited liability company (the “Adviser”), each confirms its agreement with Merrill Lynch, Pierce, Fenner & Smith Incorporated (“MLPF&S”) and each of the other Underwriters named in Schedule A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom MLPF&S is acting as representative (in such capacity, the “Representative”), with respect to the issue and sale by the Fund and the purchase by the Underwriters, acting severally and not jointly, of the respective number of shares set forth in said Schedule A hereto of an aggregate of 1,200,000 shares of the Fund’s 5.450% Series A Cumulative Preferred Shares (the “Shares”). The Shares will be authorized by, and subject to the terms and conditions of, the Fund’s Agreement and Declaration of
Fourth Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • September 11th, 2013 • Gabelli Global Small & Mid Cap Value Trust • Massachusetts
This Fourth Amendment (“Amendment”), effective as of , 2013 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company”).
Third Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • September 11th, 2013 • Gabelli Global Small & Mid Cap Value Trust • Massachusetts
This Third Amendment (“Amendment”), effective as of June 19, 2013 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company”).
The Gabelli Global Small and Mid Cap Value Trust Common Shares of Beneficial Interest Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • October 23rd, 2017 • Gabelli Global Small & Mid Cap Value Trust • New York
Subscription Agent Agreement Between The Gabelli Global Small and Mid Cap Value Trust and Computershare Trust Company, N.A. and Computershare Inc.Subscription Agent Agreement • October 23rd, 2017 • Gabelli Global Small & Mid Cap Value Trust • New York
THIS SUBSCRIPTION AGENT AGREEMENT (the “Agreement”) is entered into as of this _____ day of October 2017 (the “Effective Date”) by and among The Gabelli Global Small and Mid Cap Value Trust, a company organized and existing under the laws of the State of Delaware (the “Company”), and Computershare Trust Company, N.A., a national banking association (“Trust Company”), and Computershare Inc., a Delaware corporation (“Computershare” and, collectively with Trust Company, the “Agent”).
Nineteenth Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • August 16th, 2024 • Gabelli Global Small & Mid Cap Value Trust • Massachusetts
This Nineteenth Amendment (“Amendment’’), effective as of October 04, 2021 (’‘Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company’’).
Twenty-fourth Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • August 16th, 2024 • Gabelli Global Small & Mid Cap Value Trust • Massachusetts
This Twenty-fourth Amendment (“Amendment’’), effective as of January 18, 2023 (‘‘Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and its affiliate Computershare Trust Company, N.A. (collectively, “Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company’’).
Twenty-third Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • August 16th, 2024 • Gabelli Global Small & Mid Cap Value Trust • Massachusetts
This Twenty-third Amendment (“Amendment’’), effective as of December 27, 2022 (’‘Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company’’).
Twenty-fifth Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • August 16th, 2024 • Gabelli Global Small & Mid Cap Value Trust • Massachusetts
This Twenty-fifth Amendment (“Amendment’’), effective as of December 28, 2023 (’‘Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and its affiliate Computershare Trust Company, N.A. (collectively, “Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company’’).
Twentieth Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • August 16th, 2024 • Gabelli Global Small & Mid Cap Value Trust • Massachusetts
This Twentieth Amendment (“Amendment’’), effective as of October 15, 2021 (’‘Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company’’).
Eighteenth Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • August 16th, 2024 • Gabelli Global Small & Mid Cap Value Trust • Massachusetts
This Eighteenth Amendment (“Amendment’’), effective as of April 19, 2021 (’‘Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company’’).
Twenty-second Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • August 16th, 2024 • Gabelli Global Small & Mid Cap Value Trust • Massachusetts
This Twenty-second Amendment (“Amendment”), effective as of December 17, 2021 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company”).
Twenty-first Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • August 16th, 2024 • Gabelli Global Small & Mid Cap Value Trust • Massachusetts
This Twenty-first Amendment (“Amendment’’), effective as of November 1, 2021 (’‘Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company’’).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • September 11th, 2013 • Gabelli Global Small & Mid Cap Value Trust
The Gabelli Global Small and Mid Cap Value Trust (the “Fund”), a statutory trust organized under the laws of the state of Delaware, confirms its investment advisory agreement with Gabelli Funds, LLC (the “Adviser”), as follows:
THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST AGREEMENT AND DECLARATION OF TRUSTAgreement and Declaration of Trust • December 10th, 2013 • Gabelli Global Small & Mid Cap Value Trust • Delaware
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST made as of the 21st day of August 2013, by the Trustees hereunder, and by the holders of shares of beneficial interest issued hereunder as hereinafter provided.
Seventh Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • May 9th, 2016 • Gabelli Global Small & Mid Cap Value Trust • Massachusetts
This Seventh Amendment (“Amendment’’), effective as of May 10, 2016 (‘‘Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company’’).
INITIAL PURCHASE AGREEMENTInitial Purchase Agreement • February 7th, 2014 • Gabelli Global Small & Mid Cap Value Trust
The Gabelli Global Small and Mid Cap Value Trust (the “Fund”), a Delaware statutory trust, and The Gabelli Dividend & Income Trust (“Dividend Trust”), a Delaware statutory trust, hereby agree as follows:
MORROW SODALISearch and Distribution Services Agreement • October 23rd, 2017 • Gabelli Global Small & Mid Cap Value Trust
This letter will serve as the agreement under which you will retain Morrow Sodali LLC (“Morrow’ or “us”) to perform search and distribution services in connection with the Rights Offering by The Gabelli Global Small and Mid Cap Value Trust to holders of the Fund’s existing Common Shares (“the Offer”).
