CUSTODY AGREEMENTCustody Agreement • August 12th, 2015 • Guggenheim Energy & Income Fund • New York
AGREEMENT, dated as of _________, 2015 between Guggenheim Energy & Income Fund, a fund organized and existing under the laws of the State of Delaware having its principal office and place of business at 227 West Monroe Street, Chicago, Illinois 60606 (the “Fund”) and The Bank of New York Mellon, a New York corporation authorized to do a banking business having its principal office and place of business at 101 Barclay 11E, New York, New York 10286 (“Custodian”).
Amended and Restated Agreement and Declaration of Trust Dated as of August 27, 2020Agreement and Declaration of Trust • December 14th, 2020 • Guggenheim Energy & Income Fund • Delaware
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST made as of the 27th day of August, 2020, by the Trustees hereunder, and by the holders of shares of beneficial interest issued hereunder as hereinafter provided.
FOREIGN CUSTODY MANAGER AGREEMENTForeign Custody Manager Agreement • August 12th, 2015 • Guggenheim Energy & Income Fund • New York
WHEREAS, BNY desires to serve as a Foreign Custody Manager and perform the duties set forth herein on the terms and conditions contained herein;
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • August 12th, 2015 • Guggenheim Energy & Income Fund • New York
This agreement is between Guggenheim Funds Investment Advisors, LLC (the “Company”) and Morgan Stanley & Co. LLC (“Morgan Stanley”) with respect to Guggenheim Energy & Income Fund (the “Fund”).
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • June 24th, 2015 • Guggenheim Energy & Income Fund • Delaware
THIS INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”), dated as of __________, 2015, among Guggenheim Energy & Income Fund, a Delaware statutory trust (the “Trust”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”), and Guggenheim Partners Investment Management, LLC, a Delaware limited liability company (the “Sub-Adviser”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • June 24th, 2015 • Guggenheim Energy & Income Fund • Delaware
THIS INVESTMENT ADVISORY AGREEMENT (the “Agreement”), dated as of __________, 2015, between Guggenheim Energy & Income Fund, a Delaware statutory trust (the “Trust”), and Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”).
GUGGENHEIM ENERGY & INCOME FUND Chicago, IL 60606Fund Administration Agreement • August 12th, 2015 • Guggenheim Energy & Income Fund • Delaware
Reference is made to the Fund Administration Agreement, dated May 14, 2013 (the “Agreement”), by and between the closed-end registered investment companies listed on Schedule A hereto and Rydex Fund Services, LLC (“RFS” or the “Administrator”). In accordance with Section 8 of the Agreement, Guggenheim Energy & Income Fund (the “Fund”) hereby appoints the Administrator and shall become a Trust (as such term is defined in the Agreement) and be bound by all terms, conditions, and provisions hereof, effective as of the date hereof. Schedule A of the Agreement shall be updated accordingly.
FUND ACCOUNTING AGREEMENTFund Accounting Agreement • August 12th, 2015 • Guggenheim Energy & Income Fund • Delaware
This AGREEMENT is made as of this ____ day of _________, 2015, between Guggenheim Energy & Income Fund (the “Trust”), a Delaware statutory trust having its principal place of business at 227 West Monroe Street, Chicago, IL 60606, and Rydex Fund Services, LLC ("RFS"), a Maryland limited liability company having its principal place of business at 805 King Farm Boulevard, Rockville, MD 20850.
SUBSCRIPTION AGREEMENTSubscription Agreement • June 24th, 2015 • Guggenheim Energy & Income Fund
THIS SUBSCRIPTION AGREEMENT is entered into as of the 19th day of June, 2015, between Guggenheim Energy & Income Fund, a statutory trust organized and existing under the laws of Delaware (the “Trust”), and Guggenheim Funds Distributors, LLC (the “Purchaser”).
SERVICE AGREEMENT FOR TRANSFER AGENT SERVICES TO GUGGENHEIM ENERGY & INCOME FUNDService Agreement • August 12th, 2015 • Guggenheim Energy & Income Fund • New York
THIS SERVICE AGREEMENT FOR TRANSFER AGENT SERVICES (this “Agreement”) between Guggenheim Energy & Income Fund, a Delaware statutory trust (“Client”) and Computershare Shareowner Services LLC, a New Jersey limited liability company (“Agent”), is dated as of _________, 2015.
DISTRIBUTION AGREEMENTDistribution Agreement • August 12th, 2015 • Guggenheim Energy & Income Fund • Delaware
AGREEMENT made this __ day of ______________, 2015, between Guggenheim Energy & Income Fund, a Delaware corporation (the “Fund”), and Guggenheim Funds Distributors, LLC (the “Distributor”).
Selected Dealer Agreement for Morgan Stanley & Co. LLC for Guggenheim Energy & Income FundSelected Dealer Agreement • August 12th, 2015 • Guggenheim Energy & Income Fund
We understand that you are principal underwriter and distributor of the common shares of beneficial interest, par value $0.01 per share (the “Shares”), of Guggenheim Energy & Income Fund (the “Fund”), a non-diversified, non-traded closed-end management investment company registered with the Securities and Exchange Commission under the Investment Company Act of 1940, as amended (“1940 Act”). You desire that Morgan Stanley & Co. LLC (“Morgan Stanley”) acts as a dealer with respect to the sale of Shares to customers. In consideration of the mutual covenants stated below, you and Morgan Stanley agree as follows:
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • August 12th, 2015 • Guggenheim Energy & Income Fund • New York
STRUCTURING FEE AGREEMENT (the "Agreement"), dated as of _________, 2015, between Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") and Guggenheim Funds Investment Advisors, LLC ("Guggenheim").
AMENDED AND RESTATED CLOSED-END FUND ACCOUNTING AND ADMINISTRATION AGREEMENTClosed-End Fund Accounting and Administration Agreement • December 13th, 2022 • Guggenheim Energy & Income Fund • New York
This AMENDED AND RESTATED FUND ACCOUNTING AND ADMINISTRATION AGREEMENT (the “Agreement”) is made as of this 24th day of October, 2022 by and between MUFG Investor Services (US), LLC (“MUIS”) and each closed-end registered investment company listed on Schedule A hereto (as amended from time to time), (each individually referred to below as a “Trust”) (each a “Trust” and collectively, the “Trusts”).
Selected Dealer Agreement for Merrill Lynch, Pierce, Fenner & Smith Incorporated for Guggenheim Energy & Income FundSelected Dealer Agreement • August 12th, 2015 • Guggenheim Energy & Income Fund
We understand that you are principal underwriter and distributor of the common shares of beneficial interest, par value $.01 per share (the "Common Shares"), of Guggenheim Energy & Income Fund (the "Fund"), a non-diversified, non-traded, closed-end management investment company registered with the Securities and Exchange Commission (the "SEC") under the Investment Company Act of 1940, as amended ("1940 Act"). You desire that Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") acts as a dealer with respect to the sale of Common Shares to customers. In consideration of the mutual covenants stated below, you and Merrill Lynch agree as follows:
GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLCInvestment Advisory Agreement • June 24th, 2015 • Guggenheim Energy & Income Fund
With reference to the Investment Advisory Agreement entered into by Guggenheim Funds Investment Advisors, LLC (the “Adviser”) and Guggenheim Energy & Income Fund (the “Trust”), pursuant to which the Adviser serves as investment adviser to the Trust, we hereby notify you that in connection with the organization of the Trust and initial offering of the common shares of beneficial interest, par value $0.01 per share (“Common Shares”), of the Trust, the Adviser hereby agrees to pay (i) the offering costs of the Fund (other than sales load but inclusive of the $_____ per Common Share partial reimbursement of expenses of the distributor and dealers) that exceed $2.00 per common share sold in the offering, and (ii) all of the Trust’s organizational costs.
GUGGENHEIM ENERGY & INCOME FUND _________ COMMON SHARES OF BENEFICIAL INTEREST ($.01 PAR VALUE)Distribution Agreement • August 12th, 2015 • Guggenheim Energy & Income Fund • New York
Guggenheim Energy & Income Fund, a Delaware statutory trust (the "Fund"), has entered into a distribution agreement with Guggenheim Funds Distributors, LLC, a Delaware limited liability company (the "Distributor"), dated as of __________, 2015 (the "Distribution Agreement"), whereby the Distributor shall act as the Fund's principal underwriter for the distribution of common shares of beneficial interest, $.01 par value (such common shares of beneficial interest distributed during the Initial Offering Period (as defined below), the "Common Shares" or the "Securities"), of the Fund. The Common Shares shall be offered through a dealer or a group of dealers selected by the Distributor. The Fund, the Distributor, the Fund's investment adviser, Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the "Investment Adviser"), and the Fund's investment sub-adviser, Guggenheim Partners Investment Management, LLC, a Delaware limited liability company (the "Sub-Adviser"
