RiverNorth Capital & Income Fund, Inc. Sample Contracts
SUB-PLACEMENT AGENT AGREEMENT ALPS Distributors, Inc.Sub-Placement Agent Agreement • August 25th, 2023 • RiverNorth Capital & Income Fund, Inc.
From time to time ALPS Distributors, Inc. (the "Distributor", "we" or "us") will act as manager of registered at-the-market offerings by RiverNorth Capital and Income Fund, Inc., a Maryland corporation (the "Fund"), of up to 3,000,000 shares (the "Shares") of common stock, $0.0001 par value, of the Fund (the "Common Shares"). In the case of such offerings, the Fund has agreed with the Distributor to issue and sell through the Distributor, as sales agent, the Shares (the "Distribution Agreement").
Standard Contracts
CUSTODY AGREEMENTCustody Agreement • August 17th, 2016 • RiverNorth Marketplace Lending Corp • Minnesota
THIS AGREEMENT is made and entered into as of the 27th day of June , 2016, by and between RIVERNORTH MARKETPLACE LENDING CORPORATION, a Maryland corporation, (the “Fund”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America with its principal place of business at Minneapolis, Minnesota (the “Custodian”).
DISTRIBUTION AGREEMENTDistribution Agreement • August 25th, 2023 • RiverNorth Capital & Income Fund, Inc. • New York
This DISTRIBUTION AGREEMENT (this "Agreement") made as of August 24, 2023 by and between the RiverNorth Capital and Income Fund, Inc., a Maryland corporation (the "Fund"), and ALPS Distributors, Inc., a Colorado corporation (the "Distributor").
RIVERNORTH MARKETPLACE LENDING CORPORATION [Ÿ] % Series ___ Term Preferred Stock Due 20[Ÿ], $0.0001 par value per Share UNDERWRITING AGREEMENTUnderwriting Agreement • October 2nd, 2017 • RiverNorth Marketplace Lending Corp • New York
AGENCY AGREEMENTAgency Agreement • August 17th, 2016 • RiverNorth Marketplace Lending Corp • Missouri
THIS AGREEMENT made the ___ day of _____, 2016, by and between RIVERNORTH MARKETPLACE LENDING CORPORATION, a corporation existing under the laws of the State of ________, having its principal place of business at ___________________ (the "Fund") and any other investment products set forth on Schedule I, attached hereto, as amended from time to time (each such investment program hereinafter jointly and severally referred to as "Fund"),, and DST SYSTEMS, INC., a corporation existing under the laws of the State of Delaware, having its principal place of business at 333 West 11th Street, 5th Floor, Kansas City, Missouri 64105 ("DST"):
CUSTODY AGREEMENT dated as of by and betweenCustody Agreement • August 17th, 2016 • RiverNorth Marketplace Lending Corp • Illinois
THIS CUSTODY AGREEMENT (this “Agreement”) is dated as of ______________, 2016 by and between _______________________, a _________________ organized under the laws of ______________, having its principal place of business at _____________________________ (the “Fund”), and MILLENNIUM TRUST COMPANY, LLC, a limited liability company organized under the laws of the State of Illinois, having its principal place of business at 2001 Spring Road, Oak Brook, IL 60523 (the “Custodian”).
ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENTAdministration, Bookkeeping and Pricing Services Agreement • October 13th, 2022 • RiverNorth Specialty Finance Corp • Colorado
THIS AGREEMENT is made as of November 2, 2020, between RiverNorth Specialty Finance Corporation, organized as a Maryland corporation (the “Fund”) and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
MANAGEMENT AGREEMENTManagement Agreement • August 17th, 2016 • RiverNorth Marketplace Lending Corp • Maryland
The Company has been organized to engage in the business of an open-end management investment company. The Company currently offers several series of shares to investors.
DISTRIBUTION AGREEMENTDistribution Agreement • August 17th, 2016 • RiverNorth Marketplace Lending Corp • Wisconsin
THIS AGREEMENT is made and entered into as of this ____ day of _________, 2015, by and between RIVERNORTH MARKETPLACE LENDING CORPORATION, a Maryland corporation (the “Fund”) and QUASAR DISTRIBUTORS, LLC, a Delaware limited liability company (the “Distributor”). RIVERNORTH CAPITAL MANAGEMENT, LLC, a Delaware limited liability company and the investment advisor to the Fund (the “Advisor”), is a party hereto with respect to Sections 3 F. and 6 only.
Master Custodian AgreementMaster Custodian Agreement • October 13th, 2022 • RiverNorth Specialty Finance Corp • Massachusetts
This Agreement is made as of March 3, 2014 by and between each management investment company identified on Appendix A hereto (each such investment company and each management investment company made subject to this Agreement in accordance with Section 20.5 below, shall hereinafter be referred to as a “Fund”), and State Street Bank and Trust Company, a Massachusetts trust company (the “Custodian”).
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 25th, 2025 • RiverNorth Capital & Income Fund, Inc. • Delaware
THIS FUND OF FUNDS INVESTMENT AGREEMENT (the “Agreement”), dated as of January 19, 2022 (the “Effective Date”), is made by and between each registered open-end or closed-end investment company, or exchanged traded fund (each, a “Registrant”), on behalf of each portfolio series of each such Registrant listed on Schedule A or Schedule B hereto, or if the relevant Registrant has no portfolio series, then the relevant Registrant (as applicable, each an “Acquiring Fund” or “Acquired Fund” pursuant to the applicable schedule), each severally and not jointly.
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 25th, 2025 • RiverNorth Capital & Income Fund, Inc. • Delaware
This FUND OF FUNDS INVESTMENT AGREEMENT (the “Agreement”), dated as of September 9, 2024, is between each fund listed on Exhibit A (each an “Acquiring Fund”), and each fund listed on Exhibit B (each an “Acquired Fund” and, together with the Acquiring Funds, the “Funds”).
FORM OF RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 25th, 2025 • RiverNorth Capital & Income Fund, Inc.
THIS AGREEMENT, dated as of June 21, 2024, between each fund listed on Schedule A, severally and not jointly (each, an “Acquiring Fund”), and each closed-end investment company, severally and not jointly, listed on Schedule B (each, an “Acquired Fund” and together with the Acquiring Funds, the “Funds”).
BLACKROCK CLOSED-END RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 25th, 2025 • RiverNorth Capital & Income Fund, Inc. • Delaware
THIS FUND OF FUNDS INVESTMENT AGREEMENT (the “Agreement”), dated as of January 19, 2022 (the “Effective Date”), is made by and between each registered investment company listed on Schedule A hereto, on behalf of its portfolio series, as applicable (each, an “Acquiring Fund”) and each BlackRock closed-end registered investment company listed on Schedule B hereto (each, an “Acquired Fund”), each severally and not jointly.
Subscription Agent and Information Agent Agreement Between RiverNorth Capital and Income Fund, Inc. And Computershare Trust Company, N.A., Computershare Inc. And Georgeson LLCSubscription Agent and Information Agent Agreement • April 1st, 2024 • RiverNorth Capital & Income Fund, Inc. • New York
This SUBSCRIPTION AGENT AGREEMENT (the “Agreement”) is entered into as of this 28th day of March 2024 (the “Effective Date”) by and among RiverNorth Capital and Income Fund, Inc., a company organized and existing under the laws of the State of Maryland (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”). solely for purposes of the services provided under Article II hereof, Georgeson LLC, a Delaware limited liability company (”Georgeson”).
Subscription Agent Agreement Between RiverNorth Capital and Income Fund, Inc. And Computershare Trust Company, N.A. And Computershare Inc.Subscription Agent Agreement • January 6th, 2023 • RiverNorth Capital & Income Fund, Inc. • New York
This SUBSCRIPTION AGENT AGREEMENT (the "Agreement") is entered into as of this 5th day of January 2023 (the "Effective Date") by and among RiverNorth Capital and Income Fund, Inc., a company organized and existing under the laws of the State of Maryland (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").
October 14, 2020 State Street Bank and Trust Company 801 Pennsylvania Avenue Kansas City, Missouri 64105 Attention: Vice President - Mutual FundsMaster Custodian Agreement • October 13th, 2022 • RiverNorth Specialty Finance Corp
In accordance with Section 20.5, the Additional Funds and Portfolios provision, of the Master Custodian Agreement dated as of March 3, 2014, as amended, modified, or supplemented from time to time (the "Agreement”), by and among each registered investment company party thereto, and State Street Bank and Trust Company ("State Street"), the undersigned Fund hereby requests that State Street act as Custodian for the Fund(s) under the terms of the Agreement. In connection with such request, the undersigned Fund hereby confirms, as of the date hereof, its representations and warranties set forth in Section 20.6 of the Agreement.
FIRST AMENDMENT TO CREDIT AGREEMENTCredit Agreement • October 11th, 2017 • RiverNorth Marketplace Lending Corp
This First Amendment to Credit Agreement (this “First Amendment”) is entered into and made effective as of the ___ day of September, 2017 between RiverNorth Marketplace Lending Corporation, a Maryland corporation (“Borrower”), and The Huntington National Bank (“Lender”).
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 25th, 2025 • RiverNorth Capital & Income Fund, Inc. • Illinois
This FUND OF FUNDS INVESTMENT AGREEMENT (the “Agreement”), dated as of January 19, 2022, is between each fund listed on Exhibit A (each an “Acquiring Fund”), and each fund listed on Exhibit B (each an “Acquired Fund” and, together with the Acquiring Funds, the “Funds”).
Letter AgreementLetter Agreement • February 25th, 2025 • RiverNorth Capital & Income Fund, Inc.
Letter AgreementManagement Agreement • February 13th, 2024 • RiverNorth Capital & Income Fund, Inc.
Letter AgreementReimbursement Agreement • December 26th, 2023 • RiverNorth Capital & Income Fund, Inc.
January 5, 2023Information Agent Agreement • January 6th, 2023 • RiverNorth Capital & Income 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 RiverNorth Capital and Income Fund, Inc. (the "Company") to act as Information Agent in connection with the Company's upcoming rights offering (the "Offer"). The term of this Agreement shall be the term of the Offer, including any extensions thereof.
SERVICING AGREEMENTServicing Agreement • August 17th, 2016 • RiverNorth Marketplace Lending Corp • New York
THIS AGREEMENT is made and entered into as of this ____ day of September, 2015, by and between RIVERNORTH MARKETPLACE LENDING CORPORATION, a Maryland corporation (the “Fund”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”).
Letter AgreementManagement Agreement • October 3rd, 2023 • RiverNorth Capital & Income Fund, Inc.
RiverNorth Marketplace Lending Corporation Subscription AgreementSubscription Agreement • August 17th, 2016 • RiverNorth Marketplace Lending Corp • Maryland
This Subscription Agreement made as of _____________, by and between RiverNorth Marketplace Lending Corporation, a Maryland corporation (the “Fund”), and RiverNorth Capital Management, LLC (the “Subscriber”).
RULE 12d1-4 INVESTMENT AGREEMENTRule 12d1-4 Investment Agreement • February 25th, 2025 • RiverNorth Capital & Income Fund, Inc. • Illinois
THIS RULE 12d1-4 INVESTMENT AGREEMENT (the “Agreement”), dated as of January 19, 2022 (the “Effective Date”), is made by and between each registered investment company (each, a “Registrant”), on behalf of each series of each such Registrant listed on Schedule A or Schedule B hereto, or if the relevant Registrant has no series, then the relevant Registrant (as applicable, each an “Acquiring Fund” or “Acquired Fund” pursuant to the applicable schedule), each severally and not jointly.
Letter AgreementLetter Agreement • April 1st, 2024 • RiverNorth Capital & Income Fund, Inc.
CREDIT AGREEMENTCredit Agreement • October 2nd, 2017 • RiverNorth Marketplace Lending Corp • Illinois
This Credit Agreement is entered into as of September 5, 2017, between RiverNorth Marketplace Lending Corporation, a Maryland corporation (“Borrower”), and The Huntington National Bank (“Lender”).
Letter AgreementManagement Agreement • August 17th, 2016 • RiverNorth Marketplace Lending Corp
RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 25th, 2025 • RiverNorth Capital & Income Fund, Inc.
THIS AGREEMENT, dated as of January 20, 2022, is among each entity listed on Schedule A (as amended from time to time), severally and not jointly, an “Acquiring Fund”), and each Acquired Fund listed on Schedule A (as amended from time to time), severally and not jointly (each, an “Acquired Fund” and together with the AcquiringFunds, the “Funds”). This Agreement shall be effective as of January 20, 2022.
