INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • October 11th, 2016 • Nuveen Floating Rate Income Opportunity Fund • Illinois
AGREEMENT effective as of this 1st day of October 2014 by and between Nuveen Fund Advisors, LLC, a Delaware limited liability company and a federally registered investment adviser (“Manager”), and Symphony Asset Management LLC, a California limited liability company and a federally registered investment adviser (“Sub-Adviser”).
NUVEEN FLOATING RATE INCOME OPPORTUNITY FUND VARIABLE RATE TERM PREFERRED SHARES ANNEX 1 TO THE PURCHASE AGREEMENT AS AMENDED AND EFFECTIVE NOVEMBER 30, 2015Purchase Agreement • October 11th, 2016 • Nuveen Floating Rate Income Opportunity Fund
Explanatory Note: The following As-Amended Annex 1 to the Purchase Agreement, effective as of November 30, 2015 (the “As-Amended Annex 1”), replaces in its entirety the Annex 1 to the Purchase Agreement attached to the Statement Establishing and Fixing the Rights and Preferences of Variable Rate Term Preferred Shares (the “Statement”), which was dated and originally filed with the Secretary of the Commonwealth of Massachusetts on December 27, 2013. Effective November 30, 2015, all references to “Annex 1” in the Statement and any Appendix thereto shall be deemed to refer to the As-Amended Annex 1. The parties to the Purchase Agreement have agreed among themselves that the Fund will pay the Increased Rate on the VRTP Shares, and redeem all or a portion of the VRTP Shares at the Mandatory Redemption Price, if the terms and conditions of the As-Amended Annex 1 so provide. The As-Amended Annex 1 is not a part of the Statement or any Appendix thereto and is being filed solely for information
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • October 11th, 2016 • Nuveen Floating Rate Income Opportunity Fund • Illinois
AGREEMENT made this 1st day of October 2014, by and between NUVEEN FLOATING RATE INCOME OPPORTUNITY FUND, a Massachusetts business trust (the “Fund”), and NUVEEN FUND ADVISORS, LLC, a Delaware limited liability company (the “Adviser”).
