CUSTODY AGREEMENTCustody Agreement • October 1st, 2018 • XAI Octagon Floating Rate & Alternative Income Term Trust • Delaware
THIS AGREEMENT is made and entered into as of the 26th day of September 2017, by and between XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the “Fund”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America with its principal place of business at Minneapolis, Minnesota (the “Custodian”).
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • October 1st, 2018 • XAI Octagon Floating Rate & Alternative Income Term Trust
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of September 26, 2017 (the “Effective Date”) by and between XAI Octagon Floating Rate & Alternative Income Term Trust (the “Trust”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • October 1st, 2018 • XAI Octagon Floating Rate & Alternative Income Term Trust • Delaware
INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”), dated as of September 26, 2017 (the “Effective Date”) among XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the “Trust”), XA Investments LLC, a Delaware limited liability company (the “Adviser”), and Octagon Credit Investors, LLC, a Delaware limited liability company (the “Sub-Adviser”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • October 1st, 2018 • XAI Octagon Floating Rate & Alternative Income Term Trust • Delaware
INVESTMENT ADVISORY AGREEMENT (the “Agreement”), dated as of September 26, 2017 between XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the “Trust”), and XA Investments LLC, a Delaware limited liability company (the “Adviser”).
ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENTAdministration, Bookkeeping and Pricing Services Agreement • October 1st, 2018 • XAI Octagon Floating Rate & Alternative Income Term Trust • Delaware
THIS AGREEMENT is made as of September 26, 2017, between XAI Octagon Floating Rate & Alternative Income Term Trust, organized as a Delaware statutory trust (the “Fund”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
INVESTOR SUPPORT SERVICES AND SECONDARY MARKET SERVICES AGREEMENTInvestor Support Services and Secondary Market Services Agreement • October 1st, 2018 • XAI Octagon Floating Rate & Alternative Income Term Trust • Delaware
This Agreement is made as of September 26, 2017 by and between the XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the “Trust”), and XA Investments, LLC, a Delaware limited liability company (“XAI”), relating to certain services to be provided by XAI to the Trust.
TRANSFER AGENCY AGREEMENTTransfer Agency Agreement • October 1st, 2018 • XAI Octagon Floating Rate & Alternative Income Term Trust • Delaware
THIS AGREEMENT made the 26th day of September, 2017, by and between, XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST, a statutory trust organized under the laws of the State of Delaware, having its principal place of business at 321 N. Clark Street, Suite 2430, Chicago, Illinois 60654 (the “Fund”), and DST SYSTEMS, INC., a corporation organized and existing under the laws of the State of Delaware, having its principal place of business at 333 West 11th Street, 5th Floor, Kansas City, Missouri 64105 (“DST”):
Organizational and Offering Expenses AgreementOrganizational and Offering Expenses Agreement • October 1st, 2018 • XAI Octagon Floating Rate & Alternative Income Term Trust
Reference is made to the underwriting agreement dated September 27, 2017 (the “Underwriting Agreement”) among XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the “Fund”), UBS Securities LLC, as representative of a group of underwriters (the “Underwriters”), XA Investments LLC (the “Adviser”) and Octagon Credit Investors, LLC (the “Sub-Adviser”), relating to a proposed underwritten public offering of common shares of beneficial interest, par value $0.01 per share (the “Common Shares”) of the Fund.
