UBS SECURITIES LLC MASTER AGREEMENT AMONG UNDERWRITERS REGISTERED SEC OFFERINGS (INCLUDING MULTIPLE SYNDICATE OFFERINGS) AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Agreement • May 24th, 2019 • Angel Oak Financial Strategies Income Term Trust • New York
This Master Agreement Among Underwriters (this “Master AAU”), dated as of June 6, 2014, is by and between UBS Securities LLC (“UBS,” or “we”) and the party named on the signature page hereto (an “Underwriter,” as defined in Section 1.1 hereof, or “you”). From time to time we or one or more of our affiliates 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 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 O
UBS Securities LLC MASTER SELECTED DEALERS AGREEMENT REGISTERED SEC OFFERINGS AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Selected Dealers Agreement • May 24th, 2019 • Angel Oak Financial Strategies Income Term Trust • New York
This Master Selected Dealers Agreement (this “Master SDA”), dated as of May 23, 2012, is by and between UBS Securities LLC (including its successors and assigns) (“we,” “our,” “us” or the “Manager”) and the party named on the signature page hereof (a “Dealer,” “you” or “your”). From time to time, in connection with an offering and sale (an “Offering”) of securities (the “Securities”), managed solely by us or with one or more other managers or co-managers, we or one or more of our affiliates may offer you (and others) the opportunity to purchase as principal a portion of such securities on the terms set forth herein as a Selected Dealer (as defined below).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • May 24th, 2019 • Angel Oak Financial Strategies Income Term Trust • New York
ANGEL OAK FINANCIAL STRATEGIES INCOME TERM TRUST [·] Common Shares of Beneficial Interest Par Value $0.001 Per Share UNDERWRITING AGREEMENTUnderwriting Agreement • May 24th, 2019 • Angel Oak Financial Strategies Income Term Trust • New York
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • May 24th, 2019 • Angel Oak Financial Strategies Income Term Trust • New York
This agreement (the “Agreement”) is between Angel Oak Capital Advisors, LLC (including any successor or assign by merger or otherwise, the “Company”) and UBS Securities LLC (“UBS”) with respect to the Angel Oak Financial Strategies Income Term Trust (the “Fund”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement dated [ ], 2019 (the “Underwriting Agreement”), by and among the Fund, the Company, and each of the Underwriters named therein, severally, with respect to the issuance and sale of the Fund’s common shares of beneficial interest, par value $0.001 per share (the “Common Shares”), as described therein (the “Offering”) .
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • May 24th, 2019 • Angel Oak Financial Strategies Income Term Trust • New York
Reference is made to the Underwriting Agreement, dated [ ], 2019, by and among Angel Oak Financial Strategies Income Term Trust (the “Fund”), Angel Oak Capital Advisors, LLC and each of the respective underwriters named therein (the “Underwriting Agreement”) relating to the Offering (as defined below). This agreement (the “Agreement”) is between Angel Oak Capital Advisors, LLC (including any successor or assign by merger or otherwise, the “Company”) and each qualifying underwriter listed on Schedule I hereto (each a “Qualifying Underwriter”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • May 24th, 2019 • Angel Oak Financial Strategies Income Term Trust • New York
This agreement (the “Agreement”) is between Angel Oak Capital Advisors, LLC (including any successor or assign by merger or otherwise, the “Company”) and Oppenheimer & Co. Inc. (“Oppenheimer”) with respect to the Angel Oak Financial Strategies Income Term Trust (the “Fund”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement dated [ ], 2019 (the “Underwriting Agreement”), by and among the Fund, the Company and each of the Underwriters named therein, severally, with respect to the issue and sale of the Fund’s common shares of beneficial interest, par value $0.001 per share (the “Common Shares”), as described therein (the “Offering”).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • May 24th, 2019 • Angel Oak Financial Strategies Income Term Trust • New York
Reference is made to the Underwriting Agreement dated [ ], 2019 (the “Underwriting Agreement”), by and among Angel Oak Financial Strategies Income Term Trust (the “Fund”), Angel Oak Capital Advisors, LLC (the “Company”) and each of the Underwriters named therein, with respect to the issue and sale of the Fund’s common shares of beneficial interest, $0.001 par value per share (the “Common Shares”), as described therein (the “Offering”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • May 24th, 2019 • Angel Oak Financial Strategies Income Term Trust • New York
Reference is made to the Underwriting Agreement dated [ ], 2019 (the “Underwriting Agreement”), by and among Angel Oak Financial Strategies Income Term Trust (the “Fund”), Angel Oak Capital Advisors, LLC (the “Adviser”), Keefe, Bruyette & Woods, Inc. (“KBW”) and the several other Underwriters named therein, severally, with respect to the issue and sale of the Fund’s common shares of beneficial interest, $0.001 par value per share (the “Common Shares”), as described therein (the “Offering”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
Consulting AgreementConsulting Agreement • May 24th, 2019 • Angel Oak Financial Strategies Income Term Trust
This Consulting Agreement (the “Agreement”) is made and entered into as of the 8th day of March, 2019, by and between Angel Oak Capital Advisors, LLC a Delaware limited liability company with its principal place of business located at 3060 Peachtree Rd, Suite 500, Atlanta, GA 30305 (“Angel Oak”), and Arbor Lane Advisors, whose address is 15 Arbor Lane, Dix Hills, NY 11746 (“Consultant”), and sets forth the terms and conditions governing the relationship between Angel Oak and the Consultant.
