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 • February 10th, 2022 • RiverNorth Managed Duration Municipal Income Fund II, Inc. • New York
This Master Agreement Among Underwriters (this “Master AAU”), dated as of December 2, 2020, is by and between UBS Securities LLC (“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 Offerin
SUB-PLACEMENT AGENT AGREEMENT ALPS Distributors, Inc.Sub-Placement Agent Agreement • April 9th, 2024 • RiverNorth Managed Duration Municipal Income Fund II, 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 Managed Duration Municipal Income Fund II, 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").
DISTRIBUTION AGREEMENTDistribution Agreement • April 9th, 2024 • RiverNorth Managed Duration Municipal Income Fund II, Inc. • New York
This DISTRIBUTION AGREEMENT (this "Agreement") made as of April 8, 2024 by and between the RiverNorth Managed Duration Municipal Income Fund II, Inc., a Maryland corporation (the "Fund"), and ALPS Distributors, Inc., a Colorado corporation (the "Distributor").
MANAGEMENT AGREEMENTManagement Agreement • January 24th, 2022 • RiverNorth Managed Duration Municipal Income Fund II, Inc. • Maryland
You have been selected to act as the sole investment manager of the series of the Company set forth on the Exhibit to this Agreement (the “Fund”) and to provide certain other services, as more fully set forth below, and you are willing to act as such investment manager and to perform such services under the terms and conditions hereinafter set forth. Accordingly, the Company agrees with you as follows effective upon the date of the execution of this Agreement.
UBS SECURITIES LLC MASTER SELECTED DEALERS AGREEMENT REGISTERED SEC OFFERINGS AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Selected Dealers Agreement • February 10th, 2022 • RiverNorth Managed Duration Municipal Income Fund II, Inc. • New York
This Master Selected Dealers Agreement (this “Master SDA”), dated as of December 4, 2019, 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).
Master Custodian AgreementMaster Custodian Agreement • January 24th, 2022 • RiverNorth Managed Duration Municipal Income Fund II, Inc. • 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”).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • February 10th, 2022 • RiverNorth Managed Duration Municipal Income Fund II, Inc. • New York
This agreement (the “Agreement”) is between RiverNorth Capital Management, LLC (including any successor or assign by merger or otherwise, the “Company”) and UBS Securities LLC (“UBS”) with respect to the RiverNorth Managed Duration Municipal Income Fund II, Inc. (the “Fund”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement dated [•], 2022, by and among the Fund, the Company and the Underwriters named therein (the “Underwriting Agreement”).
SUBADVISORY AGREEMENTSubadvisory Agreement • January 24th, 2022 • RiverNorth Managed Duration Municipal Income Fund II, Inc. • New York
THIS SUBADVISORY AGREEMENT (this “Agreement”) is made and entered into as of this 10th day of January, 2022 by and between RiverNorth Capital Management, LLC (the “Adviser”), a Delaware limited liability company registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) located at 433 West Van Buren Street, Suite 1150-E, Chicago, Illinois 60607, and MacKay Shields LLC (the “Subadviser”), a Delaware limited liability company registered under the Advisers Act, located at 1345 Avenue of the Americas, 43rd Floor, New York, New York 10105, with respect to the RiverNorth Managed Duration Municipal Income Fund II, Inc., a Maryland corporation (the “ Fund” or “Company”). The effective date of this Agreement (the “Effective Date”) shall be the inception date of the Fund.
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • February 10th, 2022 • RiverNorth Managed Duration Municipal Income Fund II, Inc. • New York
Reference is made to the Underwriting Agreement dated [●], 2022 (the “Underwriting Agreement”), by and among RiverNorth Managed Duration Municipal Income Fund II, Inc. (the “Fund”), RiverNorth Capital Management, LLC (the “Adviser”), MacKay Shields LLC (the “Sub-Adviser) and each of the Underwriters named therein (the “Underwriters”), severally, with respect to the issue and sale of the Fund’s shares of common stock, $0.0001 par value per share (the “Common Shares”), as described therein (the “Offering”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
Nuveen Closed-End Funds RULE 12d1-4 INVESTMENT AGREEMENTInvestment Agreement • September 11th, 2023 • RiverNorth Managed Duration Municipal Income Fund II, 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.
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • February 10th, 2022 • RiverNorth Managed Duration Municipal Income Fund II, Inc. • New York
Reference is made to the Underwriting Agreement dated [•], 2022 (the “Underwriting Agreement”), by and among RiverNorth Managed Duration Municipal Income Fund II, Inc. (the “Fund”), RiverNorth Capital Management, LLC (the “Adviser”), MacKay Shields LLC (the “Sub-Adviser”), Stifel, Nicolaus & Company, Incorporated (“Stifel”) and the several other Underwriters named therein, severally, with respect to the issue and sale of the Fund’s shares of common stock, $0.0001 par value per share (the “Common Shares”), as described therein (the “Offering”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
BLACKROCK CLOSED-END RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFunds Investment Agreement • September 11th, 2023 • RiverNorth Managed Duration Municipal Income Fund II, 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.
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • February 10th, 2022 • RiverNorth Managed Duration Municipal Income Fund II, Inc. • New York
Reference is made to the Underwriting Agreement dated [●], 2022 (the “Underwriting Agreement”), by and among RiverNorth Managed Duration Municipal Income Fund II, Inc. (the “Fund”), RiverNorth Capital Management, LLC (the “Adviser”), MacKay Shields LLC (the “Sub-Adviser”), and each of the Underwriters named therein (the “Underwriters”), severally, with respect to the issue and sale of the Fund’s shares of common stock, $0.0001 par value per share (the “Common Shares”), as described therein (the “Offering”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • September 11th, 2023 • RiverNorth Managed Duration Municipal Income Fund II, Inc.
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”).
ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENTAdministration, Bookkeeping and Pricing Services Agreement • January 24th, 2022 • RiverNorth Managed Duration Municipal Income Fund II, Inc. • Colorado
THIS AGREEMENT is made as of December 27, 2021, between RiverNorth Managed Duration Municipal Income Fund II, Inc., organized as a Maryland corporation (the “Fund”), RiverNorth Capital Management, LLC, a Delaware limited liability company (“RiverNorth”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • February 10th, 2022 • RiverNorth Managed Duration Municipal Income Fund II, Inc. • New York
Reference is made to the Underwriting Agreement dated [●], 2022 (the “Underwriting Agreement”), by and among RiverNorth Managed Duration Municipal Income Fund II, Inc. (the “Fund”), RiverNorth Capital Management, LLC (the “Adviser”), MacKay Shields LLC (the “Sub-Adviser”) and each of the Underwriters named therein (the “Underwriters”), severally, with respect to the issue and sale of the Fund’s shares of common stock, $0.0001 par value per share (the “Common Shares”), as described therein (the “Offering”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • September 11th, 2023 • RiverNorth Managed Duration Municipal Income Fund II, 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 Acquiring Funds, the “Funds”). This Agreement shall be effective as of January 20, 2022.
CLOSED-END FUND DISTRIBUTION SERVICES AGREEMENTClosed-End Fund Distribution Services Agreement • January 24th, 2022 • RiverNorth Managed Duration Municipal Income Fund II, Inc. • New York
THIS CLOSED-END FUND DISTRIBUTION SERVICES AGREEMENT (this “Agreement”) is made, as of December 15, 2021 (the “Effective Date”), by and between NYLIFE Distributors LLC (“Distributors”) and RiverNorth Capital Management, LLC (the “Adviser”), relating to certain services to be provided by Distributors to the Adviser with respect to a proposed closed-end investment company, currently named RiverNorth Managed Duration Municipal Income Fund II, Inc. (the “Fund”).
ADOPTION AGREEMENTAdoption Agreement • January 24th, 2022 • RiverNorth Managed Duration Municipal Income Fund II, Inc.
This Adoption Agreement, dated as of January 5, 2022 (this “Adoption Agreement”), by and among DST SYSTEMS, INC. a Delaware corporation with principal place of business at 1055 Broadway, Kansas City, Missouri 64105 (“DST”) , and RIVERNORTH MANAGED DURATION MUNICIPAL INCOME FUND, INC., a Maryland corporation (“RMI”), RIVERNORTH OPPORTUNISTIC MUNICIPAL INCOME FUND, INC., a Maryland corporation (“RMM”), RIVERNORTH/DOUBLELINE STRATEGIC OPPORTUNITY FUND, INC., a Maryland company (“OPP”), RIVERNORTH FLEXIBLE MUNICIPAL INCOME FUND, INC., a Maryland corporation (“RFM”), RIVERNORTH FLEXIBLE MUNICIPAL INCOME FUND II, INC., a Maryland corporation (“RFMZ”), RIVERNORTH/DOUBLELINE STRATEGIC OPPORTUNITY FUND, INC.’s SERIES A PREFERRED SHARES (“OPP PREFERRED”), and RIVERNORTH/DOUBLELINE STRATEGIC OPPORTUNITY FUND, INC.’s SERIES B PREFERTRTED SHARES (“OPP PREFERRED B”), all with their principal place of business at 433 West Van Buren Street, Suite 1150-E, Chicago, Illinois 60607 (excluding RMI, RMM, OP
RiverNorth Managed Duration Municipal Income Fund II, Inc. Subscription AgreementSubscription Agreement • January 24th, 2022 • RiverNorth Managed Duration Municipal Income Fund II, Inc. • Maryland
This Subscription Agreement made as of January 11, 2022, by and between RiverNorth Managed Duration Municipal Income Fund II, Inc., a Maryland corporation (the “Fund”), and RiverNorth Capital Management, LLC (the “Subscriber”).
