Total Return Securities Fund Sample Contracts
] Shares of Common Stock Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • May 16th, 2007 • Swiss Helvetia Fund, Inc. • New York
Each of The Swiss Helvetia Fund, Inc., a Delaware corporation (the “Fund”), and Hottinger Capital Corp., a Delaware corporation (the “Investment Advisor”), hereby confirms the agreement with and appointment of UBS Securities LLC to act as dealer manager (the “Dealer Manager”) in connection with the issuance by the Fund to the holders of record (the “Record Date Stockholders”) at the close of business on the record date set forth in the Prospectus (as defined herein) (the “Record Date”) of transferable rights entitling such Record Date Stockholders to subscribe for up to [ ] shares (each a “Share” and, collectively, the “Shares”) of common stock, par value $0.001 per share (the “Common Shares”), of the Fund (the “Offer”). Pursuant to the terms of the Offer, the Fund is issuing each Record Date Stockholder one transferable right (each a “Right” and, collectively, the “Rights”) for each Common Share held by such Record Date Stockholder on the Record Date. Such Rights entitle their holders
TRANSFER AGENCY AND SERVICE AGREEMENT BETWEEN THE SWISS HELVETIA FUND, INC. AND AMERICAN STOCK TRANSFER AND TRUST COMPANYTransfer Agency and Service Agreement • March 29th, 2007 • Swiss Helvetia Fund, Inc. • Delaware
INVESTMENT ADVISORY AGREEMENT AGREEMENT, dated as of July 1, 2014 between The Swiss Helvetia Fund, Inc., a Delaware corporation (the "Fund"), and Schroder Investment Management North America Inc., a Delaware corporation ("Schroders"). WHEREAS, the...Investment Advisory Agreement • August 29th, 2014 • Swiss Helvetia Fund, Inc. • New York
May 2, 2007Letter of Agreement • May 16th, 2007 • Swiss Helvetia 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 Inc. (“Georgeson”) by The Swiss Helvetia Fund, Inc. (the “Company”) to act as Information Agent in connection with its Rights Offer (the “Offer”). The term of the Agreement shall be the term of the Offer, including any extensions thereof.
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • March 29th, 2007 • Swiss Helvetia Fund, Inc. • New York
AGREEMENT, dated as of May 26, 2005 between The Swiss Helvetia Fund, Inc., a Delaware corporation ("Fund"), and Hottinger Capital Corp., a Delaware corporation ("HCC").
FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • October 3rd, 2025 • Total Return Securities Fund • New York
This Fund Administration Agreement (this “Agreement”) is made and entered into as of the last day written in the signature block, by and between THE SWISS HELVETIA FUND, INC., a corporation organized under the laws of the State of Delaware (the “Fund”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, (“Fund Services”).
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • October 3rd, 2025 • Total Return Securities Fund • New York
THIS INVESTMENT MANAGEMENT AGREEMENT dated and effective as of March 31, 2025 between Total Return Securities Fund, a Delaware corporation (herein referred to as the “Fund”), and Bulldog Investors, LLP, a Delaware limited liability partnership (herein referred to as the “Investment Manager”).
CUSTODY AGREEMENTCustody Agreement • October 3rd, 2025 • Total Return Securities Fund • New York
THIS AGREEMENT is made and entered into as of the last date on the signature page, by and between THE SWISS HELVETIA FUND, INC., a corporation organized under the laws of the State of Delaware (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”).
INFORMATION AGENT LETTER OF AGREEMENTInformation Agent Agreement • October 23rd, 2025 • Total Return Securities Fund
This Letter of Agreement sets forth the terms and conditions under which Total Return Securities Fund, Inc. (SWZ) agrees to retain InvestorCom LLC ("ICOM") as Information Agent during its Rights Offering (the Offer). The term of the Agreement shall be the term of the Offer, including extensions thereof.
DIRECT CUSTODIAL SERVICES AGREEMENT SWISS HELVETIA FUND INCCustodial Services Agreement • March 29th, 2007 • Swiss Helvetia Fund, Inc. • New York
FORM OF SUBSCRIPTION AGENT AGREEMENTSubscription Agent Agreement • October 23rd, 2025 • Total Return Securities Fund
This SUBSCRIPTION AGENT AGREEMENT (this “Agreement”) is entered into as of [●], by and between Equiniti Trust Company, LLC (the “Subscription Agent”) and Total Return Securities Fund (the “Fund”).
FUND ACCOUNTING SERVICING AGREEMENTFund Accounting Servicing Agreement • October 3rd, 2025 • Total Return Securities Fund • New York
This Fund Accounting Agreement (this “Agreement”) is made and entered into as of the last day written in the signature block, by and between THE SWISS HELVETIA FUND, INC., a corporation organized under the laws of the State of Delaware (the “Fund”), and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, (“Fund Services”).
THE SWISS HELVETIA FUND, INC. AMENDED AND RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • March 29th, 2007 • Swiss Helvetia Fund, Inc. • Delaware
AGREEMENT amended and restated as of the 16th day of September, 2004, by and between The Swiss Helvetia Fund, Inc., a Delaware corporation, with its principal office and place of business at 1270 Avenue of the Americas, Suite 400, New York, New York 10020 (the "Fund"), and Forum Administrative Services, LLC, a Delaware limited liability company with its principal office and place of business at Two Portland Square, Portland, Maine 04101 ("Forum").
REORGANIZATION SUPPORT SERVICE AGREEMENTReorganization Support Service Agreement • May 16th, 2007 • Swiss Helvetia Fund, Inc. • Massachusetts
Agreement made as of the day of May __, 2007 between The Swiss Helvetia Fund, Inc. with principal offices at 1270 Avenue of the Americas Suite 400, New York, New York 10020 (“Swiss Helvetia Fund, Inc.”) and The Colbent Corporation with principal offices at 161 Bay State Drive Braintree, Massachusetts 02184 (“Colbent”).
TRANSFER AGENCY AND SERVICE AGREEMENT BETWEEN THE SWISS HELVETIA FUND, INC. AND AMERICAN STOCK TRANSFER AND TRUST COMPANYTransfer Agency and Service Agreement • October 3rd, 2025 • Total Return Securities Fund
AGREEMENT made as of the day of October 2003 by and between THE SWISS HELVETIA FUND, INC., a Delaware corporation (the “Fund”), and AMERICAN STOCK TRANSFER AND TRUST COMPANY (the “Transfer Agent”).