KEEFE, BRUYETTE & WOODS, INC. MASTER AGREEMENT AMONG UNDERWRITERS REGISTERED SEC OFFERINGS (INCLUDING MULTIPLE SYNDICATE OFFERINGS) AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Agreement • September 18th, 2014 • StoneCastle Financial Corp. • New York
From time to time Keefe, Bruyette & Woods, Inc. or one or more of our affiliates (collectively, “KBW”or “we”) as lead manager of an Offering (as defined below) may invite you (and others) to participate on the terms set forth herein as an underwriter or an initial purchaser, or in a similar capacity, in connection with certain offerings of securities that are managed solely by us or with one or more other co-managers. If we invite you to participate in a specific offering and sale of securities (an “Offering”) to which this Master Agreement Among Underwriters (this “Master AAU”) will apply, we will send the information set forth in Section 1.1 hereof to you by one or more wires, telexes, telecopy or electronic data transmissions, or other written communications (each, a “Wire,” and collectively, an “AAU”), unless you are otherwise deemed to have accepted an AAU with respect to such Offering pursuant to Section 1.2 hereof. Each Wire will indicate that it is a Wire pursuant to this Maste
FORM OF FEE WAIVER AGREEMENTFee Waiver Agreement • September 18th, 2014 • StoneCastle Financial Corp. • New York
THIS FEE WAIVER AGREEMENT (the “Agreement”) dated as of , 2014, by and between StoneCastle Asset Management LLC (the “Advisor”) and StoneCastle Financial Corp. (the “Company”).
