CUSTODY AGREEMENT ----------------- THIS AGREEMENT made the ______ day of ____________ , 19__, by and between INVESTORS FIDUCIARY TRUST COMPANY, a trust company chartered under the laws of the state of Missouri, having its trust office located at 127...Custody Agreement • April 24th, 1997 • Tri Continental Corp • Missouri
Large oInvestment Management Agreement • November 22nd, 2005 • Tri-Continental Corp
INVESTMENT MANAGEMENT SERVICES AGREEMENT AMENDED AND RESTATEDInvestment Management Services Agreement • April 9th, 2009 • Tri-Continental Corp • Minnesota
This Agreement dated, as of November, 7, 2008, amended and restated April , 2009, is by and between RiverSource Investments, LLC (the “Investment Manager”), a Minnesota limited liability company and Tri-Continental Corporation (the “Fund”), a Maryland corporation.
JOINT INSURED AGREEMENTJoint Insured Agreement • July 22nd, 2021 • Tri-Continental Corp
THIS AGREEMENT effective as of June 30, 2021, by and among each of the corporations listed in Schedule A. The terms “Fund” or “Funds” are used to refer to the corporation or corporations as context requires.
SECTION ONE: DEFINITIONS 1.01 Adoption Agreement ............................................. 1 1.02 Basic Plan Document ............................................ 1 1.03 Beneficiary .................................................... 1 1.04 Break...Basic Plan Document • April 16th, 1998 • Tri Continental Corp
SeligmanProfit Sharing Plan Adoption Agreement • April 13th, 2006 • Tri-Continental Corp
Page 1 Flexible Nonstandardized Safe Harbor 401(k) Profit Sharing Plan ADOPTION AGREEMENT SECTION 1. EMPLOYER INFORMATION Name of Employer _______________________________________________________________ Address...Flexible Nonstandardized Safe Harbor 401(k) Profit Sharing Plan Adoption Agreement • April 16th, 1998 • Tri Continental Corp
AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • April 9th, 2009 • Tri-Continental Corp
This Amendment to the Custody Agreement is made as of April 1, 2001, by and between TRI-CONTINENTAL CORPORATION (the “Fund”) and STATE STREET BANK AND TRUST COMPANY, assignee of Investors Fiduciary Trust Company (the “Custodian”). Capitalized terms used in this Amendment without definition shall have the respective meanings given to such terms in the Custody Agreement referred to below.
INVESTMENT MANAGEMENT SERVICES AGREEMENT AMENDED AND RESTATEDInvestment Management Services Agreement • April 8th, 2011 • Tri-Continental Corp • Massachusetts
This Agreement dated, as of November, 7, 2008, amended and restated June 15, 2009, further amended and restated as of May 1, 2010, is by and between Columbia Management Investment Advisers, LLC (the “Investment Manager”), a Minnesota limited liability company and Tri-Continental Corporation (the “Fund”), a Maryland corporation.
MANAGEMENT AGREEMENTManagement Agreement • April 28th, 2016 • Tri-Continental Corp • Minnesota
This Management Agreement (“Agreement”), dated as of May 1, 2016, is by and between Columbia Management Investment Advisers, LLC (the “Investment Manager”), a Minnesota limited liability company, and Tri-Continental Corporation (the “Fund”), a Maryland corporation.
STOCKHOLDER SERVICE AGENT AGREEMENTStockholder Service Agent Agreement • March 14th, 2016 • Tri-Continental Corp • Massachusetts
This Stockholder Service Agent Agreement, effective as of March 1, 2016 (“Agreement”), is by and between Columbia Management Investment Services Corp. (“Service Agent”), a Minnesota corporation, and Tri-Continental Corporation, a Maryland corporation (the “Fund”) and amends and restates the Stockholder Service Agent Agreement dated September 7, 2010, by and between the Fund and the Service Agent.
AGREEMENTGroup Agreement • April 6th, 2007 • Tri-Continental Corp • New York
AGREEMENT, dated as of April 5, 2007, (this “Agreement”) by and among Western Investment LLC, Western Investment Hedged Partners L.P., Western Investment Activism Partners LLC, Western Investment Total Return Master Fund Ltd., Arthur D. Lipson, Benchmark Plus Institutional Partners L.L.C., Benchmark Plus Management, L.L.C., Benchmark Plus Partners, L.L.C., Paradigm Partners, N.W., Inc., Scott Franzblau, Robert Ferguson, Michael Dunmire and Paul DeRosa (each such person a “Member” and collectively, the “Group”) and Tri-Continental Corporation (the “Fund”).
ADMINISTRATIVE SERVICES AGREEMENT AMENDED AND RESTATEDAdministrative Services Agreement • April 9th, 2009 • Tri-Continental Corp • Minnesota
This Administrative Services Agreement (“Agreement”), effective as of October 1, 2005, amended and restated April , 2009, is by and between Ameriprise Financial, Inc. (“Administrator”), a Delaware corporation, and the Corporations and Trusts (“Registrants”) listed in Schedule A, each on behalf of its underlying series. The terms “Fund” or “Funds” are used to refer to either the Registrant or the underlying series as context requires.
Flexible Standardized 401(k) Profit Sharing Plan ADOPTION AGREEMENT SECTION 1. EMPLOYER INFORMATION Name of Employer________________________________________________________________ Addres...Flexible Standardized 401(k) Profit Sharing Plan Adoption Agreement • April 16th, 1998 • Tri Continental Corp
RULE 12d1-4 UNIT INVESTMENT TRUST OF CLOSED-END FUNDS INVESTMENT AGREEMENTInvestment Agreement • June 2nd, 2022 • Tri-Continental Corp
This Agreement, dated as of January 24, 2022, between FT Series (the “Trust”) on behalf of each of its existing and future series that invests in an Acquired Fund in reliance on the Rule as such terms are defined below, severally and not jointly, (each, an “Acquiring Fund”), and each closed-end investment company registered under the Investment Company Act of 1940, as amended (the “1940 Act”) advised by Columbia Management Investment Advisers, LLC (the “Adviser”), severally and not jointly (each an “Acquired Fund”).
ADMINISTRATIVE SERVICES AGREEMENT AMENDED AND RESTATEDAdministrative Services Agreement • March 17th, 2014 • Tri-Continental Corp • Massachusetts
This Administrative Services Agreement (“Agreement”), effective as of May 1, 2011, is by and between Columbia Management Investment Advisers, LLC (“Administrator”), a Minnesota limited liability company, and the Corporations (“Funds”) listed in Schedule A.
AGREEMENTInvestment Management Agreement • August 19th, 2008 • Tri-Continental Corp • New York
AGREEMENT, dated as of August 19, 2008, (this “Agreement”) by and among Arthur D. Lipson, Western Investment LLC, Western Investment Hedged Partners L.P., Western Investment Activism Partners LLC, Western Investment Institutional Partners LLC, Benchmark Plus Institutional Partners L.L.C., Benchmark Plus Management, L.L.C., Benchmark Plus Partners, L.L.C., Inc. (each such person a “Member” and collectively, the “Group”) and Tri-Continental Corporation (the “Fund”).
ADMINISTRATIVE SERVICES AGREEMENT AMENDED AND RESTATEDAdministrative Services Agreement • April 8th, 2011 • Tri-Continental Corp • Massachusetts
This Administrative Services Agreement (“Agreement”), effective as of May 1, 2011, is by and between Columbia Management Investment Advisers, LLC (“Administrator”), a Minnesota limited liability company, and the Corporations (“Funds”) listed in Schedule A.
JOINT INSURED AGREEMENTJoint Insured Agreement • August 2nd, 2016 • Tri-Continental Corp
THIS AGREEMENT effective as of June 30, 2016, by and among each of the corporations listed in Schedule A. The terms “Fund” or “Funds” are used to refer to the corporation or corporations as context requires.
RULE 12d1-4 EXCHANGE TRADED FUND OF CLOSED-END FUNDS INVESTMENT AGREEMENTExchange Traded Fund of Closed-End Funds Investment Agreement • June 2nd, 2022 • Tri-Continental Corp
This Agreement, dated as of January 24, 2022, between First Trust CEF Income Opportunity ETF (the “Acquiring Fund”) and each closed-end investment company registered under the Investment Company Act of 1940, as amended (the “1940 Act”) advised by Columbia Management Investment Advisers, LLC (the “Adviser”), severally and not jointly (each an “Acquired Fund”).
