ESCROW AGREEMENTEscrow Agreement • November 21st, 2013 • Pennant 504 Fund • Missouri
This ESCROW AGREEMENT (the “Agreement”) is made and entered into this 17th day of October, 2013, by and between The Pennant 504 Fund, a Delaware statutory trust (the “Fund”), UMB Fund Services, Inc., as recordkeeper (“UMBFS”) and UMB Bank, N.A., a national banking association organized and existing under the laws of the United States of America, as escrow agent (the “Escrow Agent”).
CUSTODY AGREEMENT Dated October 17, 2013 Between UMB BANK, N.A. and THE PENNANT 504 FUNDCustody Agreement • November 21st, 2013 • Pennant 504 Fund
This agreement made as of the date first set forth above between UMB Bank, n.a., a national banking association with its principal place of business located in Kansas City, Missouri (hereinafter "Custodian"), and The Pennant 504 Fund, a Delaware statutory trust (the "Fund").
THE PENNANT 504 FUND INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • November 21st, 2013 • Pennant 504 Fund • Wisconsin
This AGREEMENT is made as of November 12, 2013, by and between The Pennant 504 Fund, a Delaware statutory trust (the “Fund”), and Pennant Management, Inc., a Wisconsin corporation (the “Adviser”).
ADMINISTRATION, FUND ACCOUNTING AND TRANSFER AGENT AGREEMENTAdministration, Fund Accounting and Transfer Agent Agreement • November 21st, 2013 • Pennant 504 Fund • Wisconsin
THIS ADMINISTRATION, FUND ACCOUNTING AND TRANSFER AGENT AGREEMENT (the “Agreement”) is made as of this 17th day of October, 2013, by and between The Pennant 504 Fund, a Delaware statutory trust (the “Fund”), and UMB Fund Services, Inc., a Wisconsin corporation (the “Administrator”).
THE PENNANT 504 FUND OPERATING EXPENSES LIMITATION AGREEMENTOperating Expenses Limitation Agreement • November 21st, 2013 • Pennant 504 Fund • Wisconsin
THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is effective as of November 12, 2013, by and between The Pennant 504 Fund, a Delaware statutory trust (the “Fund”) and Pennant Management, Inc. (the “Adviser”).
DISTRIBUTION AGREEMENT between THE PENNANT 504 FUND, PENNANT MANAGEMENT, INC. and SANDLER O’NEILL & PARTNERS, L.P.Distribution Agreement • November 21st, 2013 • Pennant 504 Fund • New York
The Pennant 504 Fund, a Delaware statutory trust (the “Fund”), is registered as a closed-end, non-diversified management investment company under the Investment Company Act of 1940, as amended (the “Investment Company Act”), and is registering 50,000,000 of its shares of beneficial interest (“Shares”) under the Securities Act of 1933, as amended (the “1933 Act”), to be offered for sale in a public offering at $10.00 per share and in accordance with the terms and conditions set forth in the Prospectus (the “Prospectus”) and Statement of Additional Information (“SAI”) included in the Fund’s Registration Statement(s) filed with the U.S. Securities and Exchange Commission (“SEC”) on Form N-2, as it may be amended from time to time (collectively, the “Registration Statement”).
FORM OF Selling Group Agreement The Pennant 504 FundSelling Group Agreement • November 21st, 2013 • Pennant 504 Fund • New York
We are the principal underwriter, as defined in the Investment Company Act of 1940, of the shares (“Shares”) of The Pennant 504 Fund (the “Fund”), a Delaware statutory trust that is registered (or expected to be registered) with the U.S. Securities and Exchange Commission (“SEC”) as a closed-end investment company. We understand that you are a member in good standing of the Financial Industry Regulatory Authority (“FINRA”) and, on the basis of such understanding, invite you to become a non-exclusive member of the Selling Group to distribute the Shares of the Fund on the following terms:
