FORM OF SUBADVISORY AGREEMENTSubadvisory Agreement • October 18th, 2018 • Ellington Income Opportunities Fund • Delaware
THIS SUBADVISORY AGREEMENT (this “Agreement”) is made and entered into as of October, 2018, by and between Princeton Fund Advisors, LLC (the “Adviser”), a Delaware limited liability company located at 1580 Lincoln Street, Suite 680, Denver, CO 80203 and registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and Ellington Global Asset Management, LLC (the “Subadviser”), a Delaware limited liability company located at 53 Forest Avenue, Suite 301, Old Greenwich, CT 06870 and also registered under the Advisers Act, with respect to Ellington Income Opportunities Fund, a Delaware statutory trust (the “Fund” or the “Trust”).
FORM OF CUSTODY AGREEMENTCustody Agreement • October 18th, 2018 • Ellington Income Opportunities Fund • Minnesota
THIS AGREEMENT is made and entered into as of the last date on the signature page, by and between ELLINGTON INCOME OPPORTUNITIES FUND, 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”).
FORM OF CONSULTING AGREEMENTConsulting Agreement • October 18th, 2018 • Ellington Income Opportunities Fund • New York
THIS CONSULTING AGREEMENT (this “Agreement”) dated [ ], 2018 (the “Effective Date”), is entered into by and between ELLINGTON INCOME OPPORTUNITIES FUND, a Delaware statutory trust having its office and principal place of business at [ ] (the “Fund”), and NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company having its office and principal place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“NLCS”).
FORM OF PRIVATE PLACEMENT AGENT AGREEMENTPrivate Placement Agent Agreement • October 18th, 2018 • Ellington Income Opportunities Fund • Delaware
THIS AGREEMENT made as of the day of October 2018, by and between the Ellington Income Opportunities Fund, a Delaware statutory trust (the “Fund”), and Foreside Fund Services, LLC, a Delaware limited liability company, with its principal office and place of business at Three Canal Plaza, Suite 100, Portland, Maine 04101 (“Placement Agent”).
MANAGEMENT AGREEMENTManagement Agreement • October 18th, 2018 • Ellington Income Opportunities Fund • Delaware
The Trust has been organized to engage in the business of a closed-end management investment company under the laws of the State of Delaware. The Trust expects to offer multiple classes of shares to investors (subject to the receipt of appropriate exemptive relief from the Securities and Exchange Commission (“SEC”)).
FORM OF FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • October 18th, 2018 • Ellington Income Opportunities Fund • Wisconsin
THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between Ellington Income Opportunities Fund, a Delaware statutory trust (the “Fund”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANCORP GLOBAL FUND SERVICES, a Wisconsin limited liability company (“USBGFS”).
FORM OF FUND ACCOUNTING SERVICING AGREEMENTFund Accounting Servicing Agreement • October 18th, 2018 • Ellington Income Opportunities Fund • Wisconsin
THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between Ellington Income Opportunities Fund, a Delaware statutory trust (the “Fund”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANCORP GLOBAL FUND SERVICES, a Wisconsin limited liability company (“USBGFS”).
FORM OF TRANSFER AGENT SERVICING AGREEMENTTransfer Agent Servicing Agreement • October 18th, 2018 • Ellington Income Opportunities Fund • Wisconsin
THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between Ellington Income Opportunities Fund, a Delaware statutory trust (the “Fund”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANCORP GLOBAL FUND SERVICES, a Wisconsin limited liability company (“USBGFS”).
