Guggenheim Strategic Opportunities Fund Fourth Amended and Restated Agreement and Declaration of Trust Dated as of February 29, 2024Agreement and Declaration of Trust • May 6th, 2024 • Guggenheim Strategic Opportunities Fund
FOURTH AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST made as of the 29th day of February, 2024, by the Trustees hereunder, and by the holders of shares of beneficial interest issued hereunder as hereinafter provided.
GUGGENHEIM STRATEGIC OPPORTUNITIES FUND COMMON SHARES (PAR VALUE $0.01 PER SHARE) SECOND AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT September 16, 2021Sales Agreement • May 6th, 2024 • Guggenheim Strategic Opportunities Fund
THIS SECOND AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of September 16, 2021, by and among Guggenheim Strategic Opportunities Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (“CF&Co”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.
AMENDMENT AGREEMENTAmendment Agreement • May 6th, 2024 • Guggenheim Strategic Opportunities Fund • New York
THIS AMENDMENT AGREEMENT (“Amendment”) dated as of September 1, 2022 to the Amended and Restated Committed Facility Agreement by and between GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (“Customer”), on the one hand, and BNP PARIBAS PRIME BROKERAGE INTERNATIONAL, LTD. (“BNPP PB”), on the other hand.
AMENDMENT AGREEMENTAmendment Agreement • May 6th, 2024 • Guggenheim Strategic Opportunities Fund • New York
THIS AMENDMENT AGREEMENT (“Amendment”) dated as of November 18, 2021 (the “Effective Date”) to the Amended and Restated Committed Facility Agreement dated as of March 6, 2019 by and between GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (“Customer”), on the one hand, and BNP PARIBAS PRIME BROKERAGE INTERNATIONAL, LIMITED (“BNPP PB”), on the other.
AMENDMENT AGREEMENTAmendment Agreement • May 6th, 2024 • Guggenheim Strategic Opportunities Fund • New York
THIS AMENDMENT AGREEMENT (“Amendment”) dated as of December 31, 2021 (the “Effective Date”) to the Amended and Restated Committed Facility Agreement dated as of March 6, 2019 by and between GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (“Customer”), on the one hand, and BNP PARIBAS PRIME BROKERAGE INTERNATIONAL, LIMITED (“BNPP PB”), on the other.
AMENDMENT AGREEMENTAmendment Agreement • May 6th, 2024 • Guggenheim Strategic Opportunities Fund • New York
THIS AMENDMENT AGREEMENT (“Amendment”) dated as of May 12, 2023 to the Committed Facility Agreement by and between GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (“Customer”), on the one hand, and BNP PARIBAS PRIME BROKERAGE INTERNATIONAL, LTD. (“BNPP PB”), on the other hand.
AMENDED AND RESTATED CLOSED-END FUND ACCOUNTING AND ADMINISTRATION AGREEMENTAccounting and Administration Agreement • May 6th, 2024 • Guggenheim Strategic Opportunities Fund • New York
This AMENDED AND RESTATED FUND ACCOUNTING AND ADMINISTRATION AGREEMENT (the “Agreement”) is made as of this 24th day of October, 2022 by and between MUFG Investor Services (US), LLC (“MUIS”) and each closed-end registered investment company listed on Schedule A hereto (as amended from time to time), (each individually referred to below as a “Trust”) (each a “Trust” and collectively, the “Trusts”).
