Common Contracts
36 similar Underwriting Agreement contracts by Nuveen Energy MLP Total Return Fund, Nuveen Mortgage Opportunity Term Fund, Rivernorth Opportunities Fund, Inc., others
RiverNorth Opportunities Fund, Inc. 3,400,000 Shares of 6.00% Series A Perpetual Preferred Stock UNDERWRITING AGREEMENT Dated: April 12, 2022Underwriting Agreement • April 13th, 2022 • Rivernorth Opportunities Fund, Inc. • New York
Over Allotment Option: Up to 510,000 additional shares exercisable within 30 days of the date hereof solely to cover over allotments, if any.
DREYFUS ALCENTRA GLOBAL CREDIT INCOME 2024 TARGET TERM FUND, INC. __________ Common Shares of Beneficial Interest $10.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • September 27th, 2017 • Dreyfus Alcentra Global Credit Income 2024 Target Term Fund, Inc. • New York
Dreyfus Alcentra Global Credit Income 2024 Target Term Fund, Inc., a Maryland corporation (the "Fund"), The Dreyfus Corporation, a New York corporation (the "Adviser"), and Alcentra NY, LLC, a Delaware limited liability company (a "Subadviser" or "Alcentra NY"), confirm their respective agreements with Wells Fargo Securities, LLC ("Wells Fargo") and each of the other Underwriters named in Exhibit A hereto (collectively, the "Underwriters," which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Wells Fargo, [and] [●] are acting as representatives (in such capacity, the "Representatives"), with respect to the issue and sale by the Fund of a total of [●] common shares of beneficial interest, par value $0.001 per share (the "Initial Securities"), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Securities set forth in said Exhibit A hereto, and with respect to the grant by
EATON VANCE FLOATING-RATE 2022 TARGET TERM TRUST [●] Common Shares of Beneficial Interest $10.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • June 28th, 2017 • Eaton Vance Floating-Rate 2022 Target Term Trust • New York
ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND Common Shares of Beneficial Interest Par Value $.00001 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • May 22nd, 2017 • AllianzGI Convertible & Income 2024 Target Term Fund • New York
NUVEEN PREFERRED AND INCOME 2022 TERM FUND [●] Common Shares of Beneficial Interest $25.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • January 25th, 2017 • Nuveen Preferred & Income 2022 Term Fund • New York
EATON VANCE HIGH INCOME 2021 TARGET TERM TRUST [●] Common Shares of Beneficial Interest $10.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • April 25th, 2016 • Eaton Vance High Income 2021 Target Term Trust • New York
RIVERNORTH OPPORTUNITIES FUND, INC. __________ Shares of Common Stock $20.00 per Share UNDERWRITING AGREEMENT Dated: [●], 2015Underwriting Agreement • December 2nd, 2015 • Rivernorth Opportunities Fund, Inc. • New York
RiverNorth Opportunities Fund, Inc., a Maryland corporation (the “Fund”), ALPS Advisors Inc., a Colorado corporation (the “Adviser”) and RiverNorth Capital Management, LLC, a Delaware limited liability company (the “Subadviser” and together with the Adviser, the “Advisers”) confirm their respective agreements with Wells Fargo Securities, LLC (“Wells Fargo”) and each of the other Underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Wells Fargo, [REPRESENTATIVES] are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Fund of a total of [●]shares of common stock, $0.0001 par value per share (the “Initial Securities”), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Securities set forth in said Exhibit A hereto, and with respect to the gr
EAGLE GROWTH AND INCOME OPPORTUNITIES FUND Common Shares of Beneficial Interest $20.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • June 18th, 2015 • Eagle Growth & Income Opportunities Fund • New York
Eagle Growth and Income Opportunities Fund, a Delaware statutory trust (the “Fund”), Four Wood Capital Advisors, LLC, a New York limited liability company (the “Adviser”), Eagle Asset Management, Inc. (“Eagle Asset”), a Florida corporation, and Recon Capital Partners, LLC, a Delaware limited liability company (“Recon Capital” and, together with Eagle Asset, the “Subadvisers” and each a “Subadviser”, and the Adviser together with the Subadvisers, the “Advisers”) confirm their respective agreements with Raymond James & Associates, Inc. (“Raymond James”) and each of the other Underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Raymond James and Stifel, Nicolaus & Company, Incorporated are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Fund of a total of [·] common shares of beneficial interes
CALAMOS DYNAMIC CONVERTIBLE AND INCOME FUND [ ] Common Shares of Beneficial Interest $25.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • March 25th, 2015 • Calamos Dynamic Convertible & Income Fund • New York
MILLER/HOWARD HIGH INCOME EQUITY FUND Common Shares of Beneficial Interest $20.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • November 21st, 2014 • Miller/Howard High Income Equity Fund • New York
Miller/Howard High Income Equity Fund, a Delaware statutory trust (the “Fund”) and Miller/Howard Investments, Inc., a Delaware corporation (the “Adviser”), confirm their respective agreements with Wells Fargo Securities, LLC (“Wells Fargo”) and each of the other Underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Wells Fargo, [REPRESENTATIVES] are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Fund of a total of [·] common shares of beneficial interest, par value $0.001 per share (the “Initial Securities”), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Securities set forth in said Exhibit A hereto, and with respect to the grant by the Fund to the Underwriters, acting severally and not jointly, of the option described in Section
CENTER COAST MLP & INFRASTRUCTURE FUND Common Shares of Beneficial Interest $20.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • September 24th, 2013 • Center Coast MLP & Infrastructure Fund • New York
THL CREDIT SENIOR LOAN FUND Common Shares of Beneficial Interest $20.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • September 17th, 2013 • THL Credit Senior Loan Fund • New York
PRINCIPAL REAL ESTATE INCOME FUND Common Shares of Beneficial Interest $20.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • May 29th, 2013 • Principal Real Estate Income Fund • New York
Principal Real Estate Income Fund, a Delaware statutory trust (the “Fund”) and ALPS Advisors, Inc., a Colorado corporation (the “Adviser”), and Principal Real Estate Investors, LLC, a Delaware limited liability company (the “Sub-Adviser,” and together with the Adviser, the “Advisers”), confirm their respective agreements with Wells Fargo Securities, LLC (“Wells Fargo”) and each of the other Underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Wells Fargo, UBS Securities LLC (“UBS”) and RBC Capital Markets, LLC (“RBC”) are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Fund of a total of [·] common shares of beneficial interest, no par value per share (the “Initial Securities”), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Secur
FLAHERTY & CRUMRINE DYNAMIC PREFERRED AND INCOME FUND INCORPORATED __________ Shares of Common Stock $25.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • May 23rd, 2013 • Flaherty & Crumrine Dynamic Preferred & Income Fund Inc • New York
Flaherty & Crumrine Dynamic Preferred and Income Fund Incorporated, a Maryland corporation (the “Fund”), and Flaherty & Crumrine Incorporated, a California corporation (the “Adviser”), confirm their respective agreements with Wells Fargo Securities, LLC (“Wells Fargo”) and each of the other Underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Wells Fargo and Raymond James & Associates, Inc. (“Raymond James”) are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Fund of a total of [•] shares of common stock, par value $0.01 per share (the “Initial Securities”), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Securities set forth in said Exhibit A hereto, and with respect to the grant by the Fund to the Underwriters, acting severally a
DOUBLELINE INCOME SOLUTIONS FUND Common Shares of Beneficial Interest $25.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • April 25th, 2013 • DoubleLine Income Solutions Fund • New York
NEUBERGER BERMAN MLP INCOME FUND INC. __________ Shares of Common Stock $20.00 per Share FORM OF UNDERWRITING AGREEMENTUnderwriting Agreement • March 25th, 2013 • Neuberger Berman MLP Income Fund Inc. • New York
DOUBLELINE OPPORTUNISTIC CREDIT FUND Common Shares of Beneficial Interest $25.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • December 20th, 2011 • DoubleLine Opportunistic Credit Fund • New York
GUGGENHEIM EQUAL WEIGHT ENHANCED EQUITY INCOME FUND __________ Common Shares of Beneficial Interest $20.00 per Share UNDERWRITING AGREEMENT Dated: October [●], 2011Underwriting Agreement • October 25th, 2011 • Guggenheim Equal Weight Enhanced Equity Income Fund • New York
DUFF & PHELPS GLOBAL UTILITY INCOME FUND INC. Common Shares of Beneficial Interest $20.00 per Share FORM OF UNDERWRITING AGREEMENTUnderwriting Agreement • June 27th, 2011 • Duff & Phelps Global Utility Income Fund Inc. • New York
NUVEEN ENERGY MLP TOTAL RETURN FUND [ ] Common Shares of Beneficial Interest $20.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • February 23rd, 2011 • Nuveen Energy MLP Total Return Fund • New York
NUVEEN ENERGY MLP TOTAL RETURN FUND [ ] Common Shares of Beneficial Interest $20.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • January 26th, 2011 • Nuveen Energy MLP Total Return Fund • New York
FUND] Common Shares of Beneficial Interest $20.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • January 14th, 2011 • Blackstone / GSO Long-Short Credit Income Fund • New York
[FUND], a [TYPE OF ENTITY] (the “Fund”) and [ADVISER], a [TYPE OF ENTITY] (the “Adviser”), confirm their respective agreements with Wells Fargo Securities, LLC (“Wells Fargo”) and each of the other Underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Wells Fargo, [REPRESENTATIVES] are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Fund of a total of [·] common shares of beneficial interest, par value $[0.01] per share (the “Initial Securities”), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Securities set forth in said Exhibit A hereto, and with respect to the grant by the Fund to the Underwriters, acting severally and not jointly, of the option described in Section 2(b) hereof to purchase all or any part of [·] additional commo
FUND] Common Shares of Beneficial Interest $25.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • December 21st, 2010 • Stone Harbor Emerging Markets Income Fund • New York
FUND] Common Shares of Beneficial Interest $20.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • November 18th, 2010 • Cohen & Steers Select Preferred & Income Fund, Inc. • New York
FEDERATED ENHANCED TREASURY INCOME FUND Common Shares of Beneficial Interest $20.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • December 24th, 2009 • Federated Enhanced Treasury Income Fund • New York
NUVEEN MORTGAGE OPPORTUNITY TERM FUND [ ] Common Shares of Beneficial Interest $25.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • November 23rd, 2009 • Nuveen Mortgage Opportunity Term Fund • New York
NUVEEN MORTGAGE OPPORTUNITY TERM FUND [ ] Common Shares of Beneficial Interest $25.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • November 9th, 2009 • Nuveen Mortgage Opportunity Term Fund • New York
SELIGMAN PREMIUM TECHNOLOGY GROWTH FUND, INC. __________ Shares of Common Stock $20.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • October 22nd, 2009 • Seligman Premium Technology Growth Fund, Inc. • New York
Seligman Premium Technology Growth Fund, Inc. (the “Fund”) and RiverSource Investments, LLC (the “Manager”) confirm their respective agreements with Wells Fargo Securities, LLC (“Wells Fargo”) and each of the other Underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Wells Fargo, [REPRESENTATIVES] are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Fund of a total of shares of common stock, $0.01 par value per share (the “Initial Securities”), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Securities set forth in said Exhibit A hereto, and with respect to the grant by the Fund to the Underwriters, acting severally and not jointly, of the option described in Section 2(b) hereof to purchase all or any part of additional shares of co
TORTOISE POWER AND ENERGY INFRASTRUCTURE FUND, INC. [ ] COMMON SHARES $20.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • July 24th, 2009 • Tortoise Power & Energy Infrastructure Fund Inc • New York
Tortoise Power and Energy Infrastructure Fund, Inc. (the “Fund”), and Tortoise Capital Advisors, L.L.C. (the “Adviser”), confirm their respective agreements with Wells Fargo Securities, LLC (“Wells Fargo”) and each of the other Underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Wells Fargo, UBS Securities LLC and Stifel, Nicolaus & Company, Incorporated are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Fund of a total of [ ] common shares, par value $0.001 per share (the “Initial Securities”), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Securities set forth in said Exhibit A hereto, and with respect to the grant by the Fund to the Underwriters, acting severally and not jointly, of the option described in Section 2(b) hereof
CALAMOS [CLOSED-END] FUND Common Shares of Beneficial Interest $ per Share UNDERWRITING AGREEMENT Dated: , 2008Underwriting Agreement • September 11th, 2008 • Calamos Global Dynamic Income Fund • New York
Calamos [Closed End] Fund, a Delaware statutory trust (the “Fund”), and Calamos Advisors LLC, a Delaware limited liability company (the “Adviser”), confirm their respective agreements with [Lead Underwriter] and each of the other Underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom [Lead Underwriter] is acting as representative (in such capacity, the “Representative”), with respect to the issue and sale by the Fund of a total of common shares of beneficial interest, no par value per share (the “Initial Securities”), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Securities set forth in said Exhibit A hereto, and with respect to the grant by the Fund to the Underwriters, acting severally and not jointly, of the option described in Section 2(b) hereof to purchase all or any part of additional c
CALAMOS [CLOSED-END] FUND Common Shares of Beneficial Interest $ per Share UNDERWRITING AGREEMENT Dated: , 2008Underwriting Agreement • February 22nd, 2008 • Calamos Strategic Total Return Fund • New York
Calamos [Closed End] Fund, a Delaware statutory trust (the “Fund”), and Calamos Advisors LLC, a Delaware limited liability company (the “Adviser”), confirm their respective agreements with [Lead Underwriter] and each of the other Underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom [Lead Underwriter] is acting as representative (in such capacity, the “Representative”), with respect to the issue and sale by the Fund of a total of common shares of beneficial interest, no par value per share (the “Initial Securities”), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Securities set forth in said Exhibit A hereto, and with respect to the grant by the Fund to the Underwriters, acting severally and not jointly, of the option described in Section 2(b) hereof to purchase all or any part of additional c
UNDERWRITING AGREEMENTUnderwriting Agreement • July 26th, 2007 • Claymore/Guggenheim Strategic Opportunities Fund • New York
Claymore/Guggenheim Strategic Opportunities Fund, a Delaware statutory trust (the “Fund”), Claymore Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Guggenheim Partners Asset Management, Inc., a Delaware corporation (the “Sub-Adviser” and together with the Adviser, the “Advisers”) confirm their respective agreements with Wachovia Capital Markets, LLC (“Wachovia”) and each of the other Underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Wachovia and Raymond James & Associates, Inc. are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Fund of a total of common shares of beneficial interest, par value $.01 per share (the “Initial Securities”), and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of Initial Securities set forth
DIVIDEND CAPITAL STRATEGIC GLOBAL REALTY FUND Common Shares of Beneficial Interest $20.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • June 26th, 2007 • Dividend Capital Strategic Global Realty Fund • New York
NUVEEN MULTI-CURRENCY SHORT-TERM GOVERNMENT INCOME FUND ________________ Common Shares of Beneficial Interest $20.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • April 26th, 2007 • Nuveen Multi-Currency Short-Term Government Income Fund • New York
EVERGREEN GLOBAL DIVIDEND OPPORTUNITY FUND ________________ Common Shares of Beneficial Interest $20.00 per Share FORM OF UNDERWRITING AGREEMENT Dated:Underwriting Agreement • March 27th, 2007 • Evergreen Global Dividend Opportunity Fund • New York
Wachovia Capital Markets, LLC A.G. Edwards & Sons, Inc. BB&T Capital Markets, a division of Scott & Stringfellow, Inc. Robert W. Baird & Co. Incorporated Crowell, Weedon & Co. Ferris, Baker Watts, Incorporated Morgan Keegan & Company, Inc. Southwest Securities, Inc. Wedbush Morgan Securities Inc. Wells Fargo Securities, LLC As Representatives of the several Underwriters listed on Exhibit A hereto c/o Wachovia Capital Markets, LLC 375 Park Avenue New York, New York 10152
