Common Contracts
30 similar Underwriting Agreement contracts by Priority Income Fund, Inc., Tortoise Energy Infrastructure Corp, Gabelli Equity Trust Inc, others
PRIORITY INCOME FUND, INC. (a Maryland Corporation) [●] Shares of [●]% Series L Term Preferred Stock Due 2029 UNDERWRITING AGREEMENTUnderwriting Agreement • February 14th, 2022 • Priority Income Fund, Inc. • New York
Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters Listed on Schedule A hereto c/o Ladenburg Thalmann & Co. Inc.
PRIORITY INCOME FUND, INC. (a Maryland Corporation) [●] Shares of [●]% Series L Cumulative Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • January 25th, 2022 • Priority Income Fund, Inc. • New York
THE GABELLI DIVIDEND & INCOME TRUST (a Delaware Statutory Trust) 6,000,000 Shares of 4.250% Series K Cumulative Preferred Shares UNDERWRITING AGREEMENTUnderwriting Agreement • October 5th, 2021 • Gabelli Dividend & Income Trust • New York
I, John C. Ball, Treasurer of The Gabelli Dividend & Income Trust (the “Fund”), do hereby certify that I am the Treasurer, principal financial officer and principal accounting officer of the Fund. In that capacity, I have reviewed the Fund’s definitive base prospectus dated September 22, 2021 (including the statement of additional information incorporated therein, the “Base Prospectus”) and the preliminary prospectus supplement dated October 4, 2021 (the “Preliminary Prospectus Supplement”), each relating to the offering of 6,000,000 of the Fund’s Series K Cumulative Preferred Shares, liquidation preference $25.00 per share, par value $0.001 per share (the “Offering”). Based upon a review of the Fund’s financial records, schedules and analyses undertaken by myself or by members of my staff who are responsible for the Fund’s financial and accounting matters, I do hereby certify to the Underwriters, to the best of my information, knowledge and belief, that:
PRIORITY INCOME FUND, INC. (a Maryland Corporation) [●] Shares of [●]% Series K Cumulative Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 4th, 2021 • Priority Income Fund, Inc. • New York
Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters Listed on Schedule A hereto c/o Ladenburg Thalmann & Co. Inc.
a Maryland Corporation) [●] Shares of [●]% Series J Term Preferred Stock Due 2028 UNDERWRITING AGREEMENTUnderwriting Agreement • July 28th, 2021 • Priority Income Fund, Inc. • New York
PRIORITY INCOME FUND, INC. (a Maryland Corporation) [●] Shares of [●]% Series I Term Preferred Stock Due 2028 UNDERWRITING AGREEMENTUnderwriting Agreement • June 9th, 2021 • Priority Income Fund, Inc. • New York
Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters Listed on Schedule A hereto c/o Ladenburg Thalmann & Co. Inc.
PRIORITY INCOME FUND, INC. (a Maryland Corporation) [1,000,000] Shares of [●]% Series H Term Preferred Stock Due 2026 UNDERWRITING AGREEMENTUnderwriting Agreement • April 29th, 2021 • Priority Income Fund, Inc. • New York
Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters Listed on Schedule A hereto c/o Ladenburg Thalmann & Co. Inc.
PRIORITY INCOME FUND, INC. (a Maryland Corporation) [●] Shares of [●]% Series G Term Preferred Stock Due 2026 UNDERWRITING AGREEMENTUnderwriting Agreement • March 11th, 2021 • Priority Income Fund, Inc. • New York
PRIORITY INCOME FUND, INC. (a Maryland Corporation) [●] Shares of [●]% Series F Term Preferred Stock Due [●] UNDERWRITING AGREEMENTUnderwriting Agreement • February 14th, 2020 • Priority Income Fund, Inc. • New York
Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters Listed on Schedule A hereto c/o Ladenburg Thalmann & Co. Inc.
THE GABELLI MULTIMEDIA TRUST INC. (a Maryland Corporation) 2,000,000 Shares of 5.125% Series G Cumulative Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • December 20th, 2019 • Gabelli Multimedia Trust Inc. • New York
I, John C. Ball, Treasurer of The Gabelli Multimedia Trust Inc. (the “Fund”), do hereby certify that I am the Treasurer, principal financial officer and principal accounting officer of the Fund. In that capacity, I have reviewed the Fund’s definitive base prospectus dated September 26, 2019 (including the statement of additional information incorporated therein, the “Base Prospectus”) and the preliminary prospectus supplement dated December 17, 2019 (the “Preliminary Prospectus Supplement”), each relating to the offering of 2,000,000 of the Fund’s Series G Cumulative Preferred Shares, liquidation preference $25.00 per share, par value $0.001 per share (the “Offering”). Based upon a review of the Fund’s financial records, schedules and analyses undertaken by myself or by members of my staff who are responsible for the Fund’s financial and accounting matters, I do hereby certify to the Underwriters, to the best of my information, knowledge and belief, that:
THE GABELLI EQUITY TRUST INC. (a Maryland Corporation) 4,000,000 Shares of 5.00% Series K Cumulative Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • December 11th, 2019 • Gabelli Equity Trust Inc • New York
PRIORITY INCOME FUND, INC. (a Maryland Corporation) [●] Shares of [●]% Series E Term Preferred Stock Due 2024 UNDERWRITING AGREEMENTUnderwriting Agreement • September 27th, 2019 • Priority Income Fund, Inc. • New York
Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters Listed on Schedule A hereto c/o Ladenburg Thalmann & Co. Inc.
HIGHLAND INCOME FUND (a Massachusetts Business Trust) 5,400,000 Shares of 5.375% Series A Cumulative Preferred Shares UNDERWRITING AGREEMENTUnderwriting Agreement • July 31st, 2019 • Highland Income Fund\ma • New York
PRIORITY INCOME FUND, INC. (a Maryland Corporation) [●] Shares of [●]% Series C Term Preferred Stock Due 20[●] UNDERWRITING AGREEMENTUnderwriting Agreement • February 13th, 2019 • Priority Income Fund, Inc. • New York
Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters Listed on Schedule A hereto c/o Ladenburg Thalmann & Co. Inc.
PRIORITY INCOME FUND, INC. (a Maryland Corporation) [•] Shares of [•]% Series B Term Preferred Stock Due 2023 UNDERWRITING AGREEMENTUnderwriting Agreement • October 16th, 2018 • Priority Income Fund, Inc. • New York
Priority Income Fund, Inc., a Maryland corporation (the “Fund”), the Fund’s investment adviser, Priority Senior Secured Income Management, LLC, a Delaware limited liability company (the “Adviser”), and the Fund’s administrator, Prospect Administration, LLC, a Delaware limited liability company (the “Administrator”), each confirms its agreement with Ladenburg Thalmann & Co. Inc. and each of the other Underwriters named in Schedule A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Ladenburg is acting as representative (in such capacity, the “Representative”), with respect to the issue and sale by the Fund and the purchase by the Underwriters, acting severally and not jointly, of the respective number of shares set forth in said Schedule A hereto of an aggregate of [•] shares of the Fund’s [•]% Series B Term Preferred Stock, $0.01 par value per share (the “Firm Shares”). The Fund al
PRIORITY INCOME FUND, INC. (a Maryland Corporation) [●] Shares of [●]% Series A Term Preferred Stock Due 2025 UNDERWRITING AGREEMENTUnderwriting Agreement • June 22nd, 2018 • Priority Income Fund, Inc. • New York
Ladenburg Thalmann & Co. Inc. As Representative of the several Underwriters Listed on Schedule A hereto c/o Ladenburg Thalmann & Co. Inc.
THE GABELLI MULTIMEDIA TRUST INC. (a Maryland Corporation) 2,000,000 Shares of 5.125% Series E Cumulative Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • September 22nd, 2017 • Gabelli Multimedia Trust Inc. • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • September 14th, 2017 • Ellsworth Growth & Income Fund LTD • New York
BANCROFT FUND LTD. (a Delaware Statutory Trust) 1,200,000 Shares of 5.375% Series A Cumulative Preferred Shares UNDERWRITING AGREEMENTUnderwriting Agreement • August 8th, 2016 • Bancroft Fund LTD • New York
The Bancroft Fund Ltd., a Delaware statutory trust (the “Fund”), and the Fund’s investment adviser, Gabelli Funds, LLC, a New York limited liability company (the “Adviser”), each confirms its agreement with Merrill Lynch, Pierce, Fenner & Smith Incorporated (“MLPF&S”) and each of the other Underwriters named in Schedule A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom MLPF&S is acting as representative (in such capacity, the “Representative”), with respect to the issue and sale by the Fund and the purchase by the Underwriters, acting severally and not jointly, of the respective number of shares set forth in said Schedule A hereto of an aggregate of 1,200,000 shares of the Fund’s 5.375% Series A Cumulative Preferred Shares (the “Shares”). The Shares will be authorized by, and subject to the terms and conditions of, the Fund’s Amended and Restated Agreement and Declaration of Trus
THE GABELLI UTILITY TRUST (a Delaware Statutory Trust) 2,000,000 Shares of 5.375% Series C Cumulative Preferred Shares UNDERWRITING AGREEMENTUnderwriting Agreement • May 26th, 2016 • Gabelli Utility Trust • New York
THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST (a Delaware Statutory Trust) 1,200,000 Shares of 5.450% Series A Cumulative Preferred Shares UNDERWRITING AGREEMENTUnderwriting Agreement • May 9th, 2016 • Gabelli Global Small & Mid Cap Value Trust • New York
The Gabelli Global Small and Mid Cap Value Trust, a Delaware statutory trust (the “Fund”), and the Fund’s investment adviser, Gabelli Funds, LLC, a New York limited liability company (the “Adviser”), each confirms its agreement with Merrill Lynch, Pierce, Fenner & Smith Incorporated (“MLPF&S”) and each of the other Underwriters named in Schedule A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom MLPF&S is acting as representative (in such capacity, the “Representative”), with respect to the issue and sale by the Fund and the purchase by the Underwriters, acting severally and not jointly, of the respective number of shares set forth in said Schedule A hereto of an aggregate of 1,200,000 shares of the Fund’s 5.450% Series A Cumulative Preferred Shares (the “Shares”). The Shares will be authorized by, and subject to the terms and conditions of, the Fund’s Agreement and Declaration of
THE GABELLI EQUITY TRUST INC. (a Maryland Corporation) 3,200,000 Shares of 5.45% Series J Cumulative Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • March 29th, 2016 • Gabelli Equity Trust Inc • New York
THE GABELLI HEALTHCARE & WELLNESSRx TRUST (a Delaware Statutory Trust) [ ] Shares of [ ]% Series B Cumulative Preferred Shares UNDERWRITING AGREEMENTUnderwriting Agreement • September 18th, 2014 • Gabelli Healthcare & WellnessRx Trust • New York
The Gabelli Healthcare & WellnessRx Trust, a Delaware statutory trust (the “Fund”), and the Fund’s investment adviser, Gabelli Funds, LLC, a New York limited liability company (the “Adviser”), each confirms its agreement with Merrill Lynch, Pierce, Fenner & Smith Incorporated (“MLPF&S”) and each of the other Underwriters named in Schedule A hereto (collectively, the “Underwriters,”) which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom MLPF&S is acting as representative (in such capacity, the “Representative”), with respect to the issue and sale by the Fund and the purchase by the Underwriters, acting severally and not jointly, of the respective number of shares set forth in said Schedule A hereto of an aggregate of [ ] shares of the Fund’s [ ]% Series B Cumulative Preferred Shares (the “Shares”). The Shares will be authorized by, and subject to the terms and conditions of, the Fund’s Agreement and Declaration of Trust and the
TORTOISE ENERGY INFRASTRUCTURE CORPORATION (a Maryland Corporation) 8,000,000 Shares of Series B Mandatory Redeemable Preferred Shares Par Value $10.00 Per Share UNDERWRITING AGREEMENT December 3, 2012Underwriting Agreement • December 4th, 2012 • Tortoise Energy Infrastructure Corp • New York
TORTOISE ENERGY CAPITAL CORPORATION (a Maryland Corporation) 5,000,000 Shares of Series C Mandatory Redeemable Preferred Shares Par Value $10.00 Per Share UNDERWRITING AGREEMENT April 12, 2012Underwriting Agreement • April 13th, 2012 • Tortoise Energy Capital Corp • New York
THE GABELLI HEALTHCARE & WELLNESSRx TRUST (a Delaware Statutory Trust) [_____] Shares of Series [___] Preferred Shares UNDERWRITING AGREEMENTUnderwriting Agreement • August 18th, 2010 • Gabelli Healthcare & WellnessRx Trust • New York
The Gabelli Healthcare & WellnessRx Trust, a Delaware statutory trust (the “Fund”), and the Fund’s investment adviser, Gabelli Funds, LLC, a New York limited liability company (the “Adviser”), each confirms its agreement with Wells Fargo Securities, LLC (“Wells Fargo Securities”) and each of the other Underwriters named in Schedule A hereto (collectively, the “Underwriters,”) which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Wells Fargo Securities is acting as representative (in such capacity, the “Representative”), with respect to the issue and sale by the Fund and the purchase by the Underwriters, acting severally and not jointly, of the respective number of shares set forth in said Schedule A hereto of an aggregate of [___] shares of the Fund’s Series [___] Preferred Shares (the “Shares”).
TORTOISE ENERGY INFRASTRUCTURE CORPORATION (a Maryland Corporation) 1,100,000 Shares of Common Stock Par Value $.001 Per Share UNDERWRITING AGREEMENT September 25, 2008Underwriting Agreement • September 26th, 2008 • Tortoise Energy Infrastructure Corp • New York
Stifel, Nicolaus & Company, Incorporated Oppenheimer & Co. Inc. RBC Capital Markets as Representatives of the several Underwriters c/o Stifel, Nicolaus & Company, Incorporated One South Street, 15th Floor Baltimore, Maryland 21202
TORTOISE ENERGY INFRASTRUCTURE CORPORATION (a Maryland Corporation) __________ Shares of Common Stock Par Value $_____ Per Share UNDERWRITING AGREEMENTUnderwriting Agreement • September 14th, 2007 • Tortoise Energy Infrastructure Corp • New York
Tortoise Energy Infrastructure Corporation, a Maryland corporation (the “FUND”), and the Fund’s investment adviser, Tortoise Capital Advisors, LLC, a Delaware limited liability company (the “ADVISER”), each confirms its agreement with _______________, ____________ and each of the other Underwriters named in Schedule A hereto (collectively, the “UNDERWRITERS”), for whom ____________ and ___________ are acting as representatives (in such capacity, the “REPRESENTATIVES”), with respect to the issue and sale by the Fund and the purchase by the Underwriters, acting severally and not jointly, of the respective number of shares of common stock, par value $____ per share, of the Fund (“COMMON SHARES”) set forth in Schedule A hereof (collectively, the “PRIMARY SHARES”), 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 Common Shares to cover over-allotme
TORTOISE ENERGY CAPITAL CORPORATION (a Maryland Corporation) Shares of Common Stock Par Value $.001 Per Share UNDERWRITING AGREEMENT April 24, 2007Underwriting Agreement • April 24th, 2007 • Tortoise Energy Capital Corp • New York
Stifel, Nicolaus & Company, Incorporated as Representative of the several Underwriters c/o Stifel, Nicolaus & Company, Incorporated 100 Light Street Baltimore, Maryland 21202
TORTOISE ENERGY INFRASTRUCTURE CORPORATION (a Maryland Corporation) __________ Shares of Common Stock Par Value $_____ Per Share UNDERWRITING AGREEMENTUnderwriting Agreement • March 6th, 2007 • Tortoise Energy Infrastructure Corp • New York
Tortoise Energy Infrastructure Corporation, a Maryland corporation (the “FUND”), and the Fund’s investment adviser, Tortoise Capital Advisors, LLC, a Delaware limited liability company (the “ADVISER”), each confirms its agreement with _______________, ____________ and each of the other Underwriters named in Schedule A hereto (collectively, the “UNDERWRITERS”), for whom ____________ and ___________ are acting as representatives (in such capacity, the “REPRESENTATIVES”), with respect to the issue and sale by the Fund and the purchase by the Underwriters, acting severally and not jointly, of the respective number of shares of common stock, par value $____ per share, of the Fund (“COMMON SHARES”) set forth in Schedule A hereof (collectively, the “PRIMARY SHARES”), 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 Common Shares to cover over-allotme
