DWS Strategic Income -------------------- Trust ----- Altman February 5, 2007 Deutsche Asset Management Americas Inc. 345 Park Avenue New York, NY 10154-0010 Attention: Mr. Jonathan Diorio, Product Specialist Dear Mr. Diorio: This will serve as the...Information Agent Agreement • April 5th, 2007 • DWS Strategic Income Trust
March 21, 2022 Cornerstone Total Return Fund, Inc. C/o Cornerstone Advisors, Inc. Suite 250 Ashville, NC 28803 Attn: Mr. Ralph Bradshaw RE: Cornerstone Total Return Fund, Inc. – Rights Offer Dear Mr. Bradshaw:Information Agent Agreement • April 6th, 2022 • Cornerstone Total Return Fund Inc • New York
This will serve as the Agreement between AST Fund Solutions, LLC (“AST Fund Solutions”) and Cornerstone Total Return Fund, Inc. (the “Client”), pursuant to which AST Fund Solutions will serve the Client as Information Agent for a Rights Offer (the “Offer”) for the Client.
October 18, 2017 KKR Income Opportunities Fund San Francisco, CA 94104 Attn: Ms. Nicole J. Macarchuk RE: KKR Income Opportunities Fund — Rights Offer Dear Ms. Macarchuk:Information Agent Agreement • October 19th, 2017 • KKR Income Opportunities Fund • New York
This will serve as the Agreement between AST Fund Solutions, LLC (“AST Fund Solutions”) and KKR Income Opportunities Fund (the “Client”), pursuant to which AST Fund Solutions will serve the Client as Information Agent for a Rights Offer (the “Offer”) for the Client.
March 2, 2021 Cornerstone Strategic Value Fund, Inc. C/o Cornerstone Advisors, Inc. Suite 250 Ashville, NC 28803 Attn: Mr. Ralph Bradshaw RE: Cornerstone Strategic Value Fund, Inc. – Rights Offer Dear Mr. Bradshaw:Information Agent Agreement • April 1st, 2021 • Cornerstone Strategic Value Fund Inc • New York
This will serve as the Agreement between AST Fund Solutions, LLC (“AST Fund Solutions”) and Cornerstone Strategic Value Fund, Inc. (the “Client”), pursuant to which AST Fund Solutions will serve the Client as Information Agent for a Rights Offer (the “Offer”) for the Client.
July 30, 2014Information Agent Agreement • August 18th, 2014 • Nuveen Quality Income Municipal Fund Inc • New York
October 10, 2024 NXG Cushing Midstream Energy Fund Suite 1205 Dallas TX 75201 Attn: Blake Nelson RE: NXG Cushing Midstream Energy Fund (SRV) – Rights Offer Dear Mr. Nelson:Information Agent Agreement • October 24th, 2024 • NXG Cushing Midstream Energy Fund • New York
This will serve as the Agreement between EQ Fund Solutions, LLC (“EQ Fund Solutions”) and NXG Cushing Midstream Energy Fund (the “Client”), pursuant to which EQ Fund Solutions will serve the Client as Information Agent for a Rights Offer (the “Offer”) for the Client.
Great Elm Capital Corp. 800 South Street, Suite 230 Waltham, MA 02453 Attn: Adam Kleinman RE: Great Elm Capital Corp. - Rights Offer Dear Mr. Kleinman:Information Agent Agreement • April 19th, 2022 • Great Elm Capital Corp. • New York
This will serve as the Agreement between AST Fund Solutions, LLC (“AST Fund Solutions”) and Great Elm Capital Corp. (the “Client”), pursuant to which AST Fund Solutions will serve the Client as Information Agent for a Rights Offer (the “Offer”) for the Client.
June 6, 2018 Tortoise Capital Advisors 11550 Ash Street, Suite 300 Leawood, KS 66211 Attn: Mr. Brad Adams RE: Tortoise MLP Fund, Inc. – Rights Offer Dear Mr. Adams:Information Agent Agreement • June 19th, 2018 • Tortoise MLP Fund, Inc. • New York
This will serve as the Agreement between AST Fund Solutions, LLC (“AST Fund Solutions”) and Tortoise MLP Fund, Inc. (the “Client”), pursuant to which AST Fund Solutions will serve the Client as Information Agent for a Rights Offer (the “Offer”) for the Client.
March 23, 2015Information Agent Agreement • April 6th, 2015 • Diversified Real Asset Income Fund • New York
This Letter of Agreement, including the Appendix attached hereto (collectively, this “Agreement”), sets forth the terms and conditions of the engagement of Georgeson Inc. (“Georgeson”) by Diversified Real Asset Income Fund (the “Company”) to act as its Information Agent in connection with a tender offer to purchase up to 10 percent of the outstanding common shares for cash at a price per share equal to 99 percent of the net asset value per share by the Company (the “Offer”). The term of this Agreement shall be the term of the Offer, including any extensions thereof.
FORM OF INFORMATION AGENT AGREEMENTInformation Agent Agreement • November 1st, 2019 • Invesco Senior Income Trust • New York
This letter will serve as the agreement (the “Agreement”) between AST Fund Solutions, LLC (“AST Fund Solutions”) and Invesco Senior Income Trust (“the Fund”), pursuant to which AST Fund Solutions will provide the services set forth below in connection with the Fund’s proposed public tender offer of its Common Shares (the “Offer”). The Offer is currently scheduled to commence on November 1, 2019.
Information Agent AgreementInformation Agent Agreement • September 23rd, 2019 • Stonemor Partners Lp • Services-personal services • New York
This letter agreement (this “Agreement”) by and between D.F. King & Co., Inc. (“King”), and StoneMor Partners L.P. (the “Company”), sets forth the terms and conditions of the engagement of King by the Company, in connection with the offer (the “Rights Offer”) by the Company to issue Subscription Rights to holders of common units (the “Holders”). This Agreement shall commence on the date hereof and shall terminate on the completion, expiration or termination of the Rights Offering (the “Term”). Capitalized terms used herein and not defined shall have the definitions ascribed to such terms in the Prospectus.
January 17, 2017 NexPoint Credit Strategies Fund C/o Highland Capital Management 300 Crescent Court Suite 700 Dallas, Texas 75201 Attn: Mr. Paul Richards RE: NexPoint Credit Strategies Fund. – Nontransferable Rights Offer Dear Mr. Richards:Information Agent Agreement • August 15th, 2017 • NexPoint Credit Strategies Fund • New York
This will serve as the Agreement between AST Fund Solutions, LLC (“AST Fund Solutions”) and NexPoint Credit Strategies Fund (the “Client”), pursuant to which AST Fund Solutions will serve the Client as Information Agent for a nontransferable Rights Offer (the “Offer”) for the Client.
July 2, 2007 Western Sizzlin CorporationInformation Agent Agreement • July 9th, 2007 • Western Sizzlin Corp • Retail-eating places • Connecticut
ContractInformation Agent Agreement • March 15th, 2010 • PIMCO Income Strategy Fund II • New York
This will serve as the agreement between The Altman Group, Inc. (“The Altman Group”), with offices at 60 E. 42nd Street, Suite 916, New York, NY 10165 and PIMCO Income Strategy Fund II (the “Fund”), with offices at 1345 Avenue of the Americas, New York, NY 10105, pursuant to which The Altman Group will serve the Fund as Information Agent for the upcoming Rights Offering (the “Offer”).
Tel: 212-929-5500 Fax: 212-929-0308 New York London Los Angeles Palo Alto WashingtonInformation Agent Agreement • February 6th, 2018 • Giggles N' Hugs, Inc. • Retail-eating & drinking places • New York
This is to confirm our agreement (the “Agreement”) that effective as of the date hereof MacKenzie Partners, Inc. (“MacKenzie Partners”) has been engaged by Giggles N’ Hugs (the “Client”) for Information Agent services in connection with its proposed subscription rights offering (the “Assignment”). MacKenzie will perform customary services for the Client as information agent, including: providing strategic advice regarding the overall subscription rights offer campaign; reviewing the subscription rights offer materials; reserving and placing any advertisement (as needed) to publicize the rights offer; coordination with the financial printer on the printing, delivery and distribution of the subscription rights offer materials, providing feedback and analysis on the progress of the rights offer; recommending and reviewing various strategies throughout the campaign;providing information to shareholders regarding the subscription rights offering and, providing such other services as may be
June 20, 2024 NXG NextGe Infrastructure Fund Dallas TX 7520 Attn: Blake Nelson RE: NXG NextGe Infrastructure Fund (NXG) - Rights Offer Dear M Nelson:Information Agent Agreement • June 24th, 2024 • NXG NextGen Infrastructure Income Fund • New York
This will the Agreement between EQ Fund Solutions, LLC ( EQ Fund Solutions ) and NXG NextGen Infrastructure Fund (the “Client”), pursuant to which EQ Fund Solutions will serve the Client as Information Agent for Rights Offer (the “Offer ) for the Client.
Tel: 212-929-5500 Fax: 212-929-0308 New York London Los Angeles Palo AltoInformation Agent Agreement • April 26th, 2018 • MoneyOnMobile, Inc. • Services-business services, nec • New York
This is to confirm our agreement (the “Agreement”) that effective as of the date hereof MacKenzie Partners, Inc. (“MacKenzie Partners”) has been engaged by MoneyOnMobile, Inc. (the “Client”) for Information Agent services in connection with its proposed subscription rights offering (the “Assignment”). MacKenzie will perform customary services for the Client as information agent, including: providing strategic advice regarding the overall subscription rights offer campaign; reviewing the subscription rights offer materials; reserving and placing any advertisement (as needed) to publicize the rights offer; coordination with the financial printer on the printing, delivery and distribution of the subscription rights offer materials, providing feedback and analysis on the progress of the rights offer; recommending and reviewing various strategies throughout the campaign;providing information to shareholders regarding the subscription rights offering and, providing such other services as may
Liberty All-Star Equity Fund c/o ALPS Advisors, Inc. One Financial Center Boston, MA 02111Information Agent Agreement • September 27th, 2021 • Liberty All Star Equity Fund • New York
This Letter of Agreement, including the Appendix attached hereto (collectively, this “Agreement”), sets forth the terms and conditions of the engagement of Georgeson LLC (“Georgeson”) by Liberty All-Star Equity Fund (the “Company”) to act as Information Agent in connection with the Company’s upcoming rights offering (the “Offering”). The term of this Agreement shall be the term of the Offering, including any extensions thereof.
INFORMATION AGENT LETTER OF AGREEMENTInformation Agent Agreement • July 2nd, 2024 • High Income Securities Fund
This Letter of Agreement sets forth the terms and conditions under which High Income Securities Fund, Inc. (PCF) agrees to retain InvestorCom LLC (“ICOM”) as Information Agent during its Rights Offering (the Offer). The term of the Agreement shall be the term of the Offer, including extensions thereof.
October 30, 2024Information Agent Agreement • November 7th, 2024 • Invesco Trust for Investment Grade New York Municipals • New York
This Letter of Agreement, including the Appendix attached hereto (collectively, this “Agreement”), sets forth the terms and conditions of the engagement of Georgeson LLC (“Georgeson”) by Invesco Pennsylvania Value Municipal Income Trust and Invesco Trust for Investment Grade New York Municipals (each a “Fund”; collectively the “Funds”) to act as Information Agent in connection with each Fund’s tender offer to purchase up to 25% of its outstanding shares at a price equal to 99% of each Fund’s net asset value per share (each an “Offer”). With respect to each Fund, the term of this Agreement shall be the term of the Offer, including any extensions thereof, made by such Fund.
October 1, 2018Information Agent Agreement • October 5th, 2018 • Rivernorth Opportunities Fund, Inc. • New York
This Letter of Agreement, including the Appendix attached hereto (collectively, this “Agreement”), sets forth the terms and conditions of the engagement of Georgeson LLC (“Georgeson”) by RiverNorth Opportunities Fund, Inc. (the “Company”) to act as Information Agent in connection with the Company’s upcoming rights offering (the “Offering”) expiring November 1, 2018. The term of this Agreement shall be the term of the Offering, including any extensions thereof.
April 7, 2022Information Agent Agreement • April 19th, 2022 • Neuberger Berman High Yield Strategies Fund Inc. • New York
This Letter of Agreement, including the Appendix attached hereto (collectively, this “Agreement”), sets forth the terms and conditions of the engagement of Georgeson LLC (“Georgeson”) by Neuberger Berman High Yield Strategies Fund Inc. (the “Fund”) to act as Information Agent in connection with the Fund’s proposed transferable rights offering currently scheduled to launch in April 2022 (the “Offering”). The term of this Agreement shall be the term of the Offering, including any extensions thereof.
Form of Information Agent AgreementInformation Agent Agreement • March 24th, 2006 • Hercules Technology Growth Capital Inc • Massachusetts
This letter will serve as the agreement (the “Agreement”) between The Altman Group, Inc. (“The Altman Group”) and Hercules Technology Growth Capital, Inc. (the “Equity Fund”), pursuant to which The Altman Group will provide the services set forth below in connection with the Equity Fund’s rights offering, which is expected to commence on or about April 13, 2006.
February 26, 1998Information Agent Agreement • March 3rd, 1998 • Precision Castparts Corp • Iron & steel foundries
This letter will serve as the agreement under which you will retain us to act as information Agent in connection with your Tender Offer to shareholders of Environment One Corporation.
FORM OF INFORMATION AGENT AGREEMENT]Information Agent Agreement • July 28th, 2011 • Oxford Lane Capital Corp. • New York
PROXY SOLICITATION · CORPORATE GOVERNANCE · SECURITY HOLDER IDENTIFICATION · BANKRUPTCY SERVICESInformation Agent Agreement • May 14th, 2007 • New America High Income Fund Inc • New York
This will serve as the agreement between The Altman Group, Inc. (“The Altman Group”) and New America High Income Fund (the “Client”), pursuant to which The Altman Group will serve the Client as Information Agent for its 2007 Rights Offering (the “Offer”).
October 9, 2015Information Agent Agreement • November 6th, 2015 • Reaves Utility Income Fund • New York
This Letter of Agreement, including the Appendix attached hereto (collectively, this "Agreement"), sets forth the terms and conditions of the engagement of Georgeson Inc. ("Georgeson") by Reaves Utility Income Fund (the "Company") to act as Information Agent in connection with the Company's upcoming rights offering (the "Offering"). The term of this Agreement shall be the term of the Offering, including any extensions thereof.
February __, 2018Information Agent Agreement • January 25th, 2018 • Royce Value Trust, Inc. • New York
This Letter of Agreement, including the Appendix attached hereto (collectively, this “Agreement”), sets forth the terms and conditions of the engagement of Georgeson LLC (“Georgeson”) by Royce Value Trust, Inc. (the “Company”) to act as Information Agent in connection with the Company’s Rights offer (the “Offer”). The term of this Agreement shall be the term of the Offer, including any extensions thereof.
PROXY SOLICITATION · CORPORATE GOVERNANCE · SECURITY HOLDER IDENTIFICATION · BANKRUPTCY SERVICESInformation Agent Agreement • June 11th, 2007 • Thai Capital Fund Inc • New York
This will serve as the agreement between The Altman Group, Inc. (“The Altman Group”) and The Thai Capital Fund, Inc. (the “Client”), pursuant to which The Altman Group will serve the Client as Information Agent for its Rights Offering (the “Offer”).
October 19, 2005 Stuart F. Feiner, Esq. Executive Vice President, General Counsel and Secretary Inco Limited 145 King Street West Suite 1500 Toronto, ON, Canada M5H 4B7 Dear Stuart:Information Agent Agreement • October 24th, 2005 • Inco LTD • Primary smelting & refining of nonferrous metals • New York
This is to confirm our agreement that effective the date hereof MacKenzie Partners, Inc. (“MacKenzie Partners”) has been engaged by Inco Limited (the “Company”) as Information Agent for all of the issued and outstanding common shares of Falconbridge Limited (the “Offer”). As Information Agent, MacKenzie Partners will perform customary services (the “Services”) for the Company, including distribution of the Offer materials to securityholders, providing information to securityholders from the materials, and providing such other advisory services as may be requested from time to time by the Company.
RiverNorth Opportunities Fund, Inc. POS EXInformation Agent Agreement • September 29th, 2020 • Rivernorth Opportunities Fund, Inc. • New York
April 25, 2016Information Agent Agreement • June 1st, 2016 • Delaware Investments Dividend & Income Fund, Inc • New York
This Letter of Agreement, including the Appendix attached hereto (collectively, this “Agreement”), sets forth the terms and conditions of the engagement of Georgeson LLC (“Georgeson”) by Delaware Investments Dividend and Income Fund, Inc. (the “Fund”) to act as Information Agent in connection with the Fund’s offer to purchase shares of the Fund via tender offer (the “Offer”). The term of this Agreement shall be the term of the Offer, including any extensions thereof.
August 12, 2021Information Agent Agreement • September 20th, 2021 • Angel Oak Financial Strategies Income Term Trust • New York
This Letter of Agreement, including the Appendix attached hereto (collectively, this “Agreement”), sets forth the terms and conditions of the engagement of Georgeson LLC (“Georgeson”) by Angel Oak Financial Strategies Income Term Trust (the “Company”) to act as Information Agent in connection with the Company’s proposed transferable rights offering (the “Offering”). The term of this Agreement shall be the term of the Offering, including any extensions thereof.
Reaves Utility Income Fund Page 1Information Agent Agreement • August 8th, 2017 • Reaves Utility Income Fund • New York
December 27, 2019Information Agent Agreement • January 17th, 2020 • Cohen & Steers Quality Income Realty Fund Inc • New York
This Letter of Agreement, including the Appendix attached hereto (collectively, this “Agreement”), sets forth the terms and conditions of the engagement of Georgeson LLC (“Georgeson”) by Cohen & Steers Quality Income Realty Fund, Inc. (the “Company”) to act as Information Agent in connection with the Company’s rights offering scheduled to launch in January 2020 (the “Offer”). The term of this Agreement shall be the term of the Offer, including any extensions thereof.
