SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • October 27th, 2014 • BlackRock Science & Technology Trust • New York
SALES INCENTIVE FEE AGREEMENT (the “Agreement”), dated as of October [—], 2014, between Oppenheimer & Co. Inc. (“Oppenheimer”) and BlackRock Advisors, LLC (the “Investment Adviser”).
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • October 27th, 2014 • BlackRock Science & Technology Trust • New York
SALES INCENTIVE FEE AGREEMENT (the “Agreement”), dated as of October [—], 2014, between Pershing LLC (“Pershing”) and BlackRock Advisors, LLC (the “Investment Adviser”).
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • July 24th, 2019 • RiverNorth Managed Duration Municipal Income Fund, Inc. • New York
Reference is made to the Underwriting Agreement dated [•], 2018 (the “Underwriting Agreement”), by and among RiverNorth Opportunistic Municipal Income Fund, Inc. (the “Fund”), RiverNorth Capital Management, LLC (the “Adviser”), MacKay Shields LLC (the “Sub-Adviser”), and each of the Underwriters named therein (the “Underwriters”), severally, with respect to the issue and sale of the Fund’s shares of common stock, $0.0001 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.
FORM OF SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • March 25th, 2013 • Neuberger Berman MLP Income Fund Inc. • New York
Reference is made to the Underwriting Agreement dated [●], 2013 (the “Underwriting Agreement”), by and among Neuberger Berman MLP Income Fund Inc. (the “Fund”), Neuberger Berman Management LLC (the “Investment Manager”), Neuberger Berman LLC and each of the Underwriters named therein (the “Underwriters”), severally, with respect to the issue and sale of the Fund’s shares of common stock, par value $0.0001 (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 AGREEMENTSales Incentive Fee Agreement • March 22nd, 2013 • Cohen & Steers MLP Income & Energy Opportunity Fund • New York
SALES INCENTIVE FEE AGREEMENT (the “Agreement”), dated as of March [—], 2013, between Deutsche Bank Securities Inc. (“Deutsche Bank”) and Cohen & Steers Capital Management, Inc. (the “Investment Adviser”).
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • July 25th, 2014 • Tekla Healthcare Opportunities Fund • New York
SALES INCENTIVE FEE AGREEMENT (the “Agreement”), dated as of July [·], 2014, between D.A. Davidson & Co. (“Davidson”) and Tekla Capital Management LLC (the “Investment Adviser”).
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • July 23rd, 2013 • KKR Income Opportunities Fund • New York
Reference is made to the Underwriting Agreement (the “Underwriting Agreement”), by and among KKR Income Opportunities Fund (the “Fund”), KKR Asset Management LLC (the “Investment Adviser”) and each of the underwriters named in Schedule I thereto, with respect to the issue and sale of the Fund’s common shares of beneficial interest, par value $0.001 (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.
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • March 25th, 2015 • Calamos Dynamic Convertible & Income Fund • New York
Reference is made to the Underwriting Agreement dated [—], 2015 (the “Underwriting Agreement”), by and among [—] (the “Fund”), [—] (the “Adviser”) and each of the Underwriters named therein (the “Underwriters”), severally, with respect to the issue and sale of the Fund’s common shares of beneficial interest, no 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.
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • September 27th, 2016 • RiverNorth/DoubleLine Strategic Opportunity Fund, Inc. • New York
Reference is made to the Underwriting Agreement dated [●], 2016 (the “Underwriting Agreement”), by and among RiverNorth/DoubleLine Strategic Opportunity Fund, Inc. (the “Fund”), RiverNorth Capital Management, LLC (the “Adviser”), DoubleLine Capital LP (the “Subadviser”), and each of the Underwriters named therein (the “Underwriters”), severally, with respect to the issue and sale of the Fund’s shares of common stock, $0.0001 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.
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • July 25th, 2014 • Tekla Healthcare Opportunities Fund • New York
SALES INCENTIVE FEE AGREEMENT (the “Agreement”), dated as of July [·], 2014, between Wedbush Securities Inc. (“Wedbush”) and Tekla Capital Management LLC (the “Investment Adviser”).
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • May 18th, 2015 • AllianzGI Diversified Income & Convertible Fund • New York
Reference is made to the Underwriting Agreement dated [•], 2015 (the “Underwriting Agreement”), by and among AllianzGI Diversified Income & Convertible Fund (the “Fund”), Allianz Global Investors Fund Management LLC (the “Adviser”), Allianz Global Investors U.S. LLC and each of the Underwriters named in Schedule A thereto, with respect to the issue and sale of the Fund’s common shares of beneficial interest (the “Offering”), as described therein. Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • December 23rd, 2015 • Rivernorth Opportunities Fund, Inc. • New York
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • June 26th, 2012 • MainStay DefinedTerm Municipal Opportunities Fund • New York
SALES INCENTIVE FEE AGREEMENT (the “Agreement”), dated as of [—], 2012, between Barclays Capital Inc. (“Barclays”), New York Life Investment Management LLC (the "Manager") and MacKay Shields LLC (the “Advisers,” and together with the Manager, the "Advisers").
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • February 10th, 2022 • RiverNorth Managed Duration Municipal Income Fund II, Inc. • New York
Reference is made to the Underwriting Agreement dated [●], 2022 (the “Underwriting Agreement”), by and among RiverNorth Managed Duration Municipal Income Fund II, Inc. (the “Fund”), RiverNorth Capital Management, LLC (the “Adviser”), MacKay Shields LLC (the “Sub-Adviser”), and each of the Underwriters named therein (the “Underwriters”), severally, with respect to the issue and sale of the Fund’s shares of common stock, $0.0001 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.
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • May 23rd, 2013 • Flaherty & Crumrine Dynamic Preferred & Income Fund Inc • California
This Sales Incentive Fee Agreement (the “Fee Agreement”), dated as of _______, 2013, is entered into by and between Wedbush Securities Inc. (“Wedbush”) and Flaherty & Crumrine Incorporated (the “Investment Manager”).
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • October 25th, 2017 • Dreyfus Alcentra Global Credit Income 2024 Target Term Fund, Inc. • New York
Reference is made to the Underwriting Agreement dated __________, 2017 (the "Underwriting Agreement"), by and among Dreyfus Alcentra Global Credit Income 2024 Target Term Fund, Inc. (the "Fund"), The Dreyfus Corporation (the "Company"), Alcentra NY, LLC and each of the Underwriters named in Exhibit A thereto, with respect to the issue and sale (the "Offering") of the Fund's shares of common stock, $0.001 par value per share (the "Common Shares"), as described therein. Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • July 25th, 2014 • Tekla Healthcare Opportunities Fund • New York
SALES INCENTIVE FEE AGREEMENT (the “Agreement”), dated as of July [·], 2014, between Janney Montgomery Scott LLC (“Janney”) and Tekla Capital Management LLC (the “Investment Adviser”).
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • June 24th, 2015 • Tekla World Healthcare Fund • New York
Reference is made to the Underwriting Agreement dated [·], 2015 (the “Underwriting Agreement”), by and among Tekla World Healthcare Fund (the “Trust”), Tekla Capital Management LLC (the “Adviser”) and each of the Underwriters named in Exhibit A thereto, with respect to the issue and sale of the Trust’s common shares of beneficial interest (the “Offering”), as described therein. Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • November 21st, 2014 • Miller/Howard High Income Equity Fund • New York
SALES INCENTIVE FEE AGREEMENT (the “Agreement”), dated as of November [28], 2014, between [UNDERWRITER LEGAL NAME] (“[UNDERWRITER]”) and Miller/Howard Investments, Inc. (the “Investment Adviser”).
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • March 22nd, 2013 • Cohen & Steers MLP Income & Energy Opportunity Fund • New York
SALES INCENTIVE FEE AGREEMENT (the “Agreement”), dated as of March [—], 2013, between Sterne, Agee & Leach, Inc. (“Sterne”) and Cohen & Steers Capital Management, Inc. (the “Investment Adviser”).
