Common Contracts
32 similar Dealer Manager Agreement contracts by Gabelli Global Deal Fund, Mexico Fund Inc, Avenue Income Credit Strategies Fund, others
ADVENT CONVERTIBLE AND INCOME FUND 11,533,627 Shares of Beneficial Interest Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • September 23rd, 2024 • Advent Convertible & Income Fund • New York
terms of the Subscription Certificate, registered in the share record books of the Trust and delivered upon payment in full of the consideration payable therefor by the holders of Rights pursuant to the Subscription Certificate, will be validly issued and fully paid and nonassessable, except as provided in Section 3.8 of the Declaration of Trust, and free and clear of any preemptive rights or any similar rights arising under the DSTA, the Organizational Documents or any Scheduled Contract.
NXG NextGen Infrastructure Income Fund 867,238 Shares of Beneficial Interest Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • June 24th, 2024 • NXG NextGen Infrastructure Income Fund • New York
Each of NXG NextGen Infrastructure Income Fund, a Delaware statutory trust (the “Fund”), and Cushing Asset Management, LP, d/b/a NXG Investment Management, a Texas limited partnership (the “Investment Manager”), 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 Shareholders”) at the close of business on the record date set forth in the Prospectus (as defined herein) (the “Record Date”) transferable rights entitling such Record Date Shareholders to subscribe for up to 867,238 common shares (each, a “Share,” and collectively, the “Shares”) of beneficial interest, 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 Shareholder one transferable right (each, a “Right,” and collectively, the “Rights”) for each Common Share held by such Reco
NXG Cushing® Midstream Energy Fund 728,317 Shares of Beneficial Interest Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • November 22nd, 2023 • NXG Cushing Midstream Energy Fund • New York
Each of NXG Cushing® Midstream Energy Fund (formerly, The Cushing® MLP & Infrastructure Total Return Fund), a Delaware statutory trust (the “Fund”), and Cushing Asset Management, LP, d/b/a NXG Investment Management, a Texas limited partnership (the “Investment Manager”), 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 Shareholders”) at the close of business on the record date set forth in the Prospectus (as defined herein) (the “Record Date”) transferable rights entitling such Record Date Shareholders to subscribe for up to 728,317 common shares (each, a “Share,” and collectively, the “Shares”) of beneficial interest, 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 Shareholder one transferable right (each, a “Right,” and collect
DEALER MANAGER AGREEMENTDealer Manager Agreement • May 24th, 2023 • Neuberger Berman High Yield Strategies Fund Inc. • New York
Each of Neuberger Berman High Yield Strategies Fund Inc., a Maryland corporation (the “Fund”), and Neuberger Berman Investment Advisers LLC, a Delaware limited liability company (the “Adviser”), 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 Shareholders”) at the close of business on the record date set forth in the Prospectus (as defined herein) (the “Record Date”) transferable rights entitling such Record Date Shareholders to subscribe for up to 6,482,227 shares (each a “Share” and, collectively, the “Shares”) of common stock, par value $0.0001 per share (the “Common Shares”), of the Fund (the “Offer”). Pursuant to the terms of the Offer, the Fund is issuing each Record Date Shareholder one transferable right (each a “Right” and, collectively, the “Rights”) for each Common Share held by such Record Date Shareholder on the Rec
KKR INCOME OPPORTUNITIES FUND 6,780,105 Shares of Beneficial Interest Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENT New York, New York January 23, 2023Dealer Manager Agreement • January 24th, 2023 • KKR Income Opportunities Fund • New York
NEUBERGER BERMAN HIGH YIELD STRATEGIES FUND INC. 4,889,520 Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • April 19th, 2022 • Neuberger Berman High Yield Strategies Fund Inc. • New York
FRANKLIN LIMITED DURATION INCOME TRUST 10,250,000 Shares of Beneficial Interest Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • January 19th, 2022 • Franklin LTD Duration Income Trust • New York
ANGEL OAK FINANCIAL STRATEGIES INCOME TERM TRUST 5,076,333 Shares of Beneficial Interest Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • September 20th, 2021 • Angel Oak Financial Strategies Income Term Trust • New York
BLACKROCK SCIENCE AND TECHNOLOGY TRUST 8,417,857 Shares of Beneficial Interest Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENT New York, New York June 18, 2021Dealer Manager Agreement • June 21st, 2021 • BlackRock Science & Technology Trust • New York
EX-99.(H) 5 d393773dex99h.htm FORM OF DEALER MANAGER AGREEMENT. Exhibit (h) Helios Total Return Fund, Inc. [•] Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENT September [•],...Dealer Manager Agreement • May 5th, 2020 • New York
Each of Helios Total Return Fund, Inc., a Maryland corporation (the “Fund”) and Brookfield Investment Management Inc., a Delaware corporation (the “Adviser”), 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 Shareholders”) at the close of business on the record date set forth in the Prospectus (as defined herein) (the “Record Date”) transferable rights entitling such Record Date Shareholders to subscribe for up to [•] shares (each a “Share” and, collectively, the “Shares”) of common stock, par value $0.01 per share (the “Common Shares”), of the Fund (the “Offer”). Pursuant to the terms of the Offer, the Fund is issuing each Record Date Shareholder one transferable right (each a “Right” and, collectively, the “Rights”) for each Common Share held by such Record Date Shareholder on the Record Date. Such Rights entitle their holders
EX-99.(H)(1) 6 dex99h1.htm FORM OF DEALER MANAGER AGREEMENT PIMCO Income Strategy Fund PIMCO Income Strategy Fund II [—] Common Shares Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENT New York, New York March [—],...Dealer Manager Agreement • May 5th, 2020 • New York
Each of [PIMCO Income Strategy Fund (formerly, PIMCO Floating Rate Income Fund) / PIMCO Income Strategy Fund II (formerly, PIMCO Floating Rate Strategy Fund)], a voluntary association with transferable shares organized and existing under and by virtue of the laws of The Commonwealth of Massachusetts (commonly referred to as a Massachusetts business trust) (the “Fund”), and Allianz Global Investors Fund Management LLC (the “Investment Manager”), 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 Shareholders”) 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 Shareholders to subscribe for up to [—] shares (each a “Share” and, collectively, the “Shares”) of common shares of beneficial interest, par value $0.00001 per share
COHEN & STEERS QUALITY INCOME REALTY FUND, INC. 36,424,162 Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • January 17th, 2020 • Cohen & Steers Quality Income Realty Fund Inc • New York
4,358,024 Shares of Beneficial Interest Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • October 8th, 2019 • Aberdeen Income Credit Strategies Fund • New York
The Gabelli Dividend & Income Trust Common Shares Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • October 4th, 2019 • Gabelli Dividend & Income Trust • New York
DEALER MANAGER AGREEMENT New York, New York September [19], 2019Dealer Manager Agreement • September 6th, 2019 • Source Capital Inc /De/ • New York
Each of Source Capital, Inc., a Delaware corporation (the “Fund”), and First Pacific Advisors, LP, a Delaware limited partnership (the “Adviser”), 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 Shareholders”) at the close of business on the record date set forth in the Prospectus (as defined herein) (the “Record Date”) transferable rights entitling such Record Date Shareholders to subscribe for up to [·] shares (each a “Share” and, collectively, the “Shares”) of common stock, par value $1.00 per share (the “Common Shares”), of the Fund (the “Offer”). Pursuant to the terms of the Offer, the Fund is issuing each Record Date Shareholder one transferable right (each a “Right” and, collectively, the “Rights”) for each Common Share held by such Record Date Shareholder on the Record Date. Such Rights entitle their holders to acquire d
CUSHING RENAISSANCE FUND 2,601,714 Shares of Beneficial Interest Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • June 19th, 2019 • Cushing Renaissance Fund • New York
Each of Cushing Renaissance Fund, a Delaware statutory trust (the “Fund”), and Cushing Asset Management, LP, a Texas limited partnership (the “Investment Manager”), 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 Shareholders”) at the close of business on the record date set forth in the Prospectus (as defined herein) (the “Record Date”) transferable rights entitling such Record Date Shareholders to subscribe for up to 2,601,714 common shares (each, a “Share,” and collectively, the “Shares”) of beneficial interest, 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 Shareholder one transferable right (each, a “Right,” and collectively, the “Rights”) for each Common Share held by such Record Date Shareholder on the Record Date. Such
DEALER MANAGER AGREEMENTDealer Manager Agreement • September 21st, 2018 • Franklin LTD Duration Income Trust • New York
Each of Franklin Limited Duration Income Trust, a Delaware statutory trust (the “Fund”), and Franklin Advisers, Inc., a California corporation (the “Adviser”), 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 Shareholders”) at the close of business on the record date set forth in the Prospectus (as defined herein) (the “Record Date”) transferable rights entitling such Record Date Shareholders to subscribe for up to 7,534,709 shares (each a “Share” and, collectively, the “Shares”) of beneficial interest, no par value (the “Common Shares”), of the Fund (the “Offer”). Pursuant to the terms of the Offer, the Fund is issuing each Record Date Shareholder one (1) transferable right (each a “Right” and, collectively, the “Rights”) for each Common Share held by such Record Date Shareholder on the Record Date. Such Rights entitle their hol
TORTOISE MLP FUND, INC. 15,802,094 Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • June 19th, 2018 • Tortoise MLP Fund, Inc. • New York
CUSHING RENAISSANCE FUND 1,951,286 Shares of Beneficial Interest Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • February 16th, 2018 • Cushing Renaissance Fund • New York
Each of Cushing Renaissance Fund, a Delaware statutory trust (the “Fund”), and Cushing Asset Management, LP, a Texas limited partnership (the “Investment Manager”), 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 Shareholders”) at the close of business on the record date set forth in the Prospectus (as defined herein) (the “Record Date”) transferable rights entitling such Record Date Shareholders to subscribe for up to 1,951,286 common shares (each, a “Share,” and collectively, the “Shares”) of beneficial interest, 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 Shareholder one transferable right (each, a “Right,” and collectively, the “Rights”) for each Common Share held by such Record Date Shareholder on the Record Date. Such
KKR INCOME OPPORTUNITIES FUND 5,085,079 Shares of Beneficial Interest Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • October 19th, 2017 • KKR Income Opportunities Fund • New York
·] Shares of Beneficial Interest Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • April 15th, 2013 • Avenue Income Credit Strategies Fund • New York
•] Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares FORM OF DEALER MANAGER AGREEMENTDealer Manager Agreement • August 13th, 2012 • DNP Select Income Fund Inc • New York
Each of DNP Select Income Fund Inc., a Maryland corporation (the “Fund”), and Duff & Phelps Investment Management Co., an Illinois corporation (the “Adviser”), 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 Shareholders”) at the close of business on the record date set forth in the Prospectus (as defined herein) (the “Record Date”) transferable rights entitling such Record Date Shareholders to subscribe for up to [•] shares (each a “Share” and, collectively, the “Shares”) of common stock, par value $.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 Shareholder one transferable right (each a “Right” and, collectively, the “Rights”) for each Common Share held by such Record Date Shareholder on the Record Date. Such Rights entitle their holders
·] Shares of Beneficial Interest Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • February 16th, 2012 • Avenue Income Credit Strategies Fund • New York
Each of Avenue Income Credit Strategies Fund, a Delaware statutory trust (the “Fund”), Avenue Capital Management II, L.P., a [·] limited partnership (the “Investment Adviser”), and Avenue Europe International Management, L.P., a [·] limited partnership (the “Subadviser” and, together with the Investment Adviser, the “Advisers”), 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 Shareholders”) at the close of business on the record date set forth in the Prospectus (as defined herein) (the “Record Date”) transferable rights entitling such Record Date Shareholders to subscribe for up to [·] shares (each a “Share” and, collectively, the “Shares”) of beneficial interest, 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 Shareholder one t
7,091,723 Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares FORM OF DEALER MANAGER AGREEMENTDealer Manager Agreement • June 16th, 2011 • Japan Smaller Capitalization Fund Inc • New York
Each of Japan Smaller Capitalization Fund, Inc., a Maryland corporation (the “Fund”), and Nomura Asset Management U.S.A. Inc., a New York corporation (the “Manager”), 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”) transferable rights entitling such Record Date Stockholders to subscribe for up to 7,091,723 shares (each a “Share” and, collectively, the “Shares”) of common stock, par value $0.10 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
—] Common Shares Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • March 15th, 2010 • PIMCO Income Strategy Fund II • New York
Each of [PIMCO Income Strategy Fund (formerly, PIMCO Floating Rate Income Fund) / PIMCO Income Strategy Fund II (formerly, PIMCO Floating Rate Strategy Fund)], a voluntary association with transferable shares organized and existing under and by virtue of the laws of The Commonwealth of Massachusetts (commonly referred to as a Massachusetts business trust) (the “Fund”), and Allianz Global Investors Fund Management LLC (the “Investment Manager”), 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 Shareholders”) 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 Shareholders to subscribe for up to [—] shares (each a “Share” and, collectively, the “Shares”) of common shares of beneficial interest, par value $0.00001 per share
2,121,151 Shares of Cumulative Callable Series A Preferred Stock Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • December 18th, 2008 • Gabelli Global Deal Fund • New York
2,121,151 Shares of Cumulative Callable Series A Preferred Stock Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • December 10th, 2008 • Gabelli Global Deal Fund • New York
2,140,000] Shares of Cumulative Callable Series A Preferred Stock Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • October 8th, 2008 • Gabelli Global Deal Fund • New York
] 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
] Shares of Common Stock Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • March 13th, 2007 • Mexico Fund Inc • New York
Each of The Mexico Fund, Inc., a Maryland corporation (the “Fund”), and Impulsora del Fondo México, S.C., a Mexican sociedad comun (the “Investment Adviser”), 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”) transferable rights entitling their holders to subscribe for up to [ ] shares (each a “Share” and, collectively, the “Shares”) of common stock, par value $1.00 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 to acquire durin
] Shares of Common Stock Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • March 12th, 2007 • Mexico Fund Inc • New York
Each of The Mexico Fund, Inc., a Maryland corporation (the “Fund”), and Impulsora del Fondo México, S.C., a Mexican sociedad comun (the “Investment Adviser”), 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”) transferable rights entitling their holders to subscribe for up to [ ] shares (each a “Share” and, collectively, the “Shares”) of common stock, par value $1.00 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 to acquire durin
] Shares of Common Stock Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • September 17th, 2004 • Mexico Fund Inc • New York
Each of The Mexico Fund, Inc., a Maryland corporation (the “Fund”), and Impulsora del Fondo México, S.A. de C.V., a Mexican corporation (the “Investment Adviser”), 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 Holders”) at the close of business on the record date set forth in the Prospectus (as defined herein) (the “Record Date”) transferable rights entitling such Record Holders to subscribe for up to [ ] shares (each a “Share” and, collectively, the “Shares”) of common stock, par value $1.00 per share (the “Common Shares”), of the Fund (the “Offer”). Pursuant to the terms of the Offer, the Fund is issuing each Record Holder one transferable right (each a “Right” and, collectively, the “Rights”) for each Common Share held by such Record Holder on the Record Date. Such Rights entitle their holders to acquire during the subscription
