SPECIAL CUSTODY and PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • July 3rd, 2013 • Dividend & Income Fund • New York
AGREEMENT (hereinafter "Agreement"), dated as of March 29, 2012, among State Street Bank and Trust Company, a Massachusetts trust company, in its capacity as custodian hereunder ("Custodian"), Dividend and Income Fund, Inc. (the "Fund"), and BNP Paribas Prime Brokerage, Inc. (the "Counterparty").
SPECIAL CUSTODY AND PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • June 4th, 2019 • FS Multi-Alternative Income Fund • New York
AGREEMENT (hereinafter "Agreement"), dated as of October 9, 2018, among State Street Bank and Trust Company, a Massachusetts trust company, in its capacity as custodian hereunder ("Custodian"), FS Multi Alternative Credit LLC (the "Fund"), and BNP Paribas Prime Brokerage International, Ltd. (the "Counterparty").
EX-99.G6 7 ex-speccustodypledgeagmt.htm SPECIAL CUSTODY AND PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • May 5th, 2020 • New York
SPECIAL CUSTODY and PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • October 23rd, 2017 • NexPoint Capital, Inc. • New York
AGREEMENT (hereinafter “Agreement”), dated as of October 19, 2017, among State Street Bank and Trust Company, a Massachusetts trust company, in its capacity as custodian hereunder (“Custodian”), NexPoint Capital, Inc. (the “Fund”), and BNP Paribas Prime Brokerage International, Ltd. (the “Counterparty”).
SPECIAL CUSTODY AND PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • July 10th, 2018 • Broadstone Real Estate Access Fund • New York
AGREEMENT, (hereinafter “Agreement”) dated as of among Broadstone Real Estate Access Fund (“Customer”), BNP Paribas Prime Brokerage, Inc. (“Counterparty”) and UMB Bank, n.a. as Custodian hereunder (“Custodian”).
SPECIAL CUSTODY AND PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • February 28th, 2011 • Alpine Series Trust • New York
AGREEMENT, (hereinafter “Agreement”) dated as of December 1, 2010 among State Street Bank and Trust Company, a Massachusetts trust company, in its capacity as custodian hereunder (“Custodian”), each series listed on Exhibit A attached hereto (each individually and not collectively, a “Fund”), and BNP Paribas, acting through its New York Branch (the “Counterparty”).
EX-99.G 4 d28079_ex99g.htm EX-99.G Execution Copy SPECIAL CUSTODY and PLEDGE AGREEMENT (Short Sales)Special Custody and Pledge Agreement • May 5th, 2020 • New York
AGREEMENT, (hereinafter “Agreement”) dated as of November 12, 2010, among THE ROYCE FUND ON BEHALF OF ITS PORTFOLIOS LISTED ON SCHEDULE A ATTACHED (“Customer”), GOLDMAN, SACHS & CO., a New York limited partnership (“Broker”), ROYCE & ASSOCIATES, LLC (“Manager”) and STATE STREET BANK AND TRUST COMPANY as Custodian hereunder (“Custodian”).
SPECIAL CUSTODY and PLEDGE AGREEMENT (Short Sales and Options)Special Custody and Pledge Agreement • March 29th, 2011 • Thompson Plumb Funds Inc • New York
THIS SPECIAL CUSTODY AND PLEDGE AGREEMENT, (hereinafter the "Agreement") dated as of October 26, 2010 among the Thompson Plumb Funds, Inc., on behalf of the Thompson Plumb Growth Fund ("Customer"), Jefferies & Company, Inc., ("Broker"), Thompson Investment Management, Inc. ("Manager") and U.S. Bank, N.A., as Custodian hereunder ("Custodian").
SPECIAL CUSTODY and PLEDGE AGREEMENT (Short Sales and Exchange-Listed Options)Special Custody and Pledge Agreement • January 29th, 2020 • 360 Funds • New York
AGREEMENT. (hereinafter “Agreement”) dated as of December 19, 2019 among 360 FUNDS - MIDWOOD LONG/SHORT EQUITY FUND (“Customer”), GOLDMAN SACHS & CO. LLC, a New York limited liability company (“Broker’), CROW POINT PARTNERS, LLC (“Manager”) and FIFTH THIRD BANK as Custodian hereunder (“Custodian”).
SPECIAL CUSTODY and PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • April 30th, 2012 • Midas Perpetual Portfolio, Inc. • New York
AGREEMENT (hereinafter "Agreement"), dated as of March 29, 2012, among State Street Bank and Trust Company, a Massachusetts trust company, in its capacity as custodian hereunder ("Custodian"), Midas Perpetual Portfolio, Inc. (the "Fund"), and BNP Paribas, acting through its New York Branch (the "Counterparty").
SPECIAL CUSTODY and PLEDGE AGREEMENT (Margin Account)Special Custody and Pledge Agreement • December 19th, 2012 • ALPS Series Trust • New York
AGREEMENT (hereinafter “Agreement”) dated as of December 20, 2012, among ALPS Series Trust, on behalf of its series, Cognios Market Neutral Large Cap Fund (“Customer”), BNP Paribas Prime Brokerage, Inc., a Delaware corporation (“Counterparty”), Cognios Capital, LLC (“Manager”) and Union Bank, N.A. as Custodian hereunder (“Custodian”). For the avoidance of doubt, all references to “Customer” in this Agreement and in any appendices and exhibits hereto shall refer only to the Cognios Market Neutral Large Cap Fund.
SPECIAL CUSTODY and PLEDGE AGREEMENT (Short Sales and Exchange-Listed Options)Special Custody and Pledge Agreement • July 28th, 2014 • Morgan Creek Series Trust • New York
This SPECIAL CUSTODY AND PLEDGE AGREEMENT, (hereinafter "Agreement") dated as of August 1, 2013 among MORGAN CREEK SERIES TRUST ON BEHALF OF ITS MORGAN CREEK TACTICAL ALLOCATION FUND (“Customer”), GOLDMAN SACHS EXECUTION & CLEARING, L.P., a New York limited partnership ("Broker") and STATE STREET BANK AND TRUST COMPANY as Custodian hereunder ("Custodian").
SPECIAL CUSTODY and PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • January 29th, 2014 • Sterling Capital Funds • New York
AGREEMENT (hereinafter “Agreement”) dated as of December 10, 2013 among U.S. Bank, N.A. in its capacity as custodian hereunder (“Custodian”), Sterling Capital Funds on behalf of its series Sterling Capital Long/Short Equity Fund (“Fund”), and BNP Paribas Prime Brokerage, Inc. (the “Counterparty”).
SPECIAL CUSTODY AND PLEDGE AGREEMENT (Short Sales)Special Custody and Pledge Agreement • December 29th, 2010 • Dunham Funds • New York
AGREEMENT, (hereinafter "Agreement") dated as of August 11, 2010 among DUNHAM FUNDS ON BEHALF OF DUNHAM MONTHLY DISTRIBUTION FUND ("Customer"), GOLDMAN, SACHS & CO., a New York limited partnership ("Broker"), WESTCHESTER CAPITAL MANAGEMENT, INC. ("Manager") and U.S. BANK NATIONAL ASSOCIATION as Custodian hereunder ("Custodian").
AMENDED AND RESTATED SPECIAL CUSTODY and PLEDGE AGREEMENT (Short Sales and Exchange-Listed Options)Special Custody and Pledge Agreement • January 28th, 2013 • Harris Associates Investment Trust • New York
AGREEMENT, (hereinafter “Agreement”) dated as of August 22, 2012, among HARRIS ASSOCIATES INVESTMENT TRUST, on behalf of its series listed on Schedule A attached hereto (each, a “Customer”) on behalf of itself or its portfolios (each, a “Portfolio”) listed on Schedule A attached hereto, PERSHING LLC (“Broker”), and STATE STREET BANK AND TRUST COMPANY as Custodian hereunder (“Custodian”).
SPECIAL CUSTODY AND PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • March 1st, 2021 • Dunham Funds • New York
THIS AMENDMENT, dated as of March 23, 2020 (the "Amendment"), between BARCLAYS BANK PLC ("Secured Party"), U.S. Bank, National Association (“U.S. Bank”), as Custodian hereunder (“Custodian”), and DUNHAM FUNDS, on behalf of each Fund listed on Exhibit A (as defined below), separately and not jointly (each, a "Pledgor").
AMENDMENT AGREEMENTSpecial Custody and Pledge Agreement • December 9th, 2019 • Center Coast Brookfield MLP & Energy Infrastructure Fund • New York
AMENDMENT AGREEMENT (“Amendment”) dated as of November 7, 2018 to the Special Custody and Pledge Agreement dated April 9, 2018 among Center Coast Brookfield MLP & Energy Infrastructure Fund (“Fund”), BNP Paribas Prime Brokerage International, Ltd. (“Counterparty”), and U.S. Bank, N.A. (“Custodian”), (as previously amended, the “Agreement”).
SPECIAL CUSTODY and PLEDGE AGREEMENT (Short Sales and Exchange-Listed Options)Special Custody and Pledge Agreement • November 6th, 2018 • 360 Funds • New York
AGREEMENT, (hereinafter “Agreement”) dated as of Jan, 17th 2018 among M3SIXTY ADMINISTRATION, LLC (“Customer”), GOLDMAN SACHS & CO. LLC (“Broker”), CROW POINT PARTNERS, LLC (“Manager”) and FIFTH THIRD BANK as Custodian hereunder (“Custodian”).
SPECIAL CUSTODY and PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • June 18th, 2013 • Corporate Capital Trust, Inc. • New York
AGREEMENT (hereinafter “Agreement”), dated as of June 4, 2013, among State Street Bank and Trust Company, a Massachusetts trust company, in its capacity as custodian hereunder (“Custodian”), Corporate Capital Trust, Inc. (the “Fund”), and BNP Paribas Prime Brokerage, Inc. (the “Counterparty”).
FORM OF SPECIAL CUSTODY AND PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • December 29th, 2010 • Alpine Equity Trust • New York
AGREEMENT, (hereinafter “Agreement”) dated as of December 1, 2010 among State Street Bank and Trust Company, a Massachusetts trust company, in its capacity as custodian hereunder (“Custodian”), each series listed on Exhibit A attached hereto (each individually and not collectively, a “Fund”), and BNP Paribas, acting through its New York Branch (the “Counterparty”).
AMENDMENT TO SPECIAL CUSTODY AND PLEDGE AGREEMENT (Short Sales and Exchange- Listed Options)Special Custody and Pledge Agreement • October 28th, 2011 • American Century Quantitative Equity Funds, Inc.
This Amendment, (hereinafter “Amendment”), dated as of October 31, 2011 among each registered investment company on behalf of itself or its series listed on Schedule A attached hereto ("Customer"), GOLDMAN, SACHS & CO., a New York limited partnership ("Broker"), and STATE STREET BANK AND TRUST COMPANY as custodian hereunder ("Custodian").
SPECIAL CUSTODY AND PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • March 24th, 2009 • Fiduciary/Claymore MLP Opportunity Fund • New York
AGREEMENT, (hereinafter “Agreement”) dated as of September 29, 2008 among Fiduciary/Claymore MLP Opportunity Fund (“Customer”), Bank of America, N.A., London Branch (“Counterparty”) and Bank of New York as Custodian hereunder (“Custodian”).
AMENDMENT AGREEMENTSpecial Custody and Pledge Agreement • July 31st, 2013 • ALPS Series Trust • New York
AMENDMENT AGREEMENT (“Amendment”) dated as of March 28, 2013 to the Special Custody and Pledge Agreement dated December 20, 2012 between BNP Paribas, acting through its New York Branch (“Counterparty”), ALPS Series Trust, on behalf of its series, Cognios Market Neutral Large Cap Fund (“Customer”), Cognios Capital, LLC (“Manager”) and Union Bank, N.A. (“Custodian”)(the “Agreement”).
SPECIAL CUSTODY and PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • April 24th, 2018 • Center Coast Brookfield MLP & Energy Infrastructure Fund • New York
AGREEMENT (hereinafter “Agreement”) dated as of April 9, 2018 among U.S. BANK, N.A. In its capacity as custodian hereunder (“Custodian”), CENTER COAST BROOKFIELD MLP & ENERGY INFRASTRUCTURE FUND (“Fund”), and BNP PARIBAS PRIME BROKERAGE INTERNATIONAL, LTD. (the “Counterparty”).
AMENDMENT No. 1 TO SPECIAL CUSTODY AND PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • September 1st, 2016 • Guggenheim Enhanced Equity Income Fund (F/K/a Old Mutual/Claymore Long-Short Fund) • New York
In connection with that certain Special Custody and Pledge Agreement (the "Agreement"), dated as of June 18, 2010, by and among Guggenheim Enhanced Equity Income Fund (formerly known as Old Mutual/Claymore Long Short-Fund, hereinafter the "Counterparty"), BNP Paribas Prime Brokerage, Inc. ("BNPP PB, Inc.") and The Bank of New York Mellon ("Custodian"), Counterparty, BNPP PB, Inc. and Custodian agree to the following amendment. Any capitalized terms not defined herein shall have the meanings given them in the Agreement.
SPECIAL CUSTODY and PLEDGE AGREEMENT (Short Sales and Exchange-Listed Options)Special Custody and Pledge Agreement • January 12th, 2024 • ACAP Strategic Fund
AGREEMENT, (hereinafter "Agreement") dated as of _________________ among ______________________________ ("Customer"), GOLDMAN SACHS & CO. LLC, a New York limited liability company ("Broker"), ______________________________ ("Manager") and THE BANK OF NEW YORK MELLON as Custodian hereunder ("Custodian").
AMENDED AND RESTATED SPECIAL CUSTODY AND PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • March 20th, 2017 • Guggenheim Enhanced Equity Income Fund (F/K/a Old Mutual/Claymore Long-Short Fund) • New York
AMENDED AND RESTATED SPECIAL CUSTODY AND PLEDGE AGREEMENT (hereinafter "Agreement") dated as of March 20, 2017 among Guggenheim Enhanced Equity Income Fund (“Customer”), BNP Paribas Prime Brokerage, Inc. ("Counterparty") and The Bank of New York Mellon as Custodian hereunder ("Custodian").
AMENDMENT AGREEMENTSpecial Custody and Pledge Agreement • July 31st, 2013 • ALPS Series Trust • New York
AMENDMENT AGREEMENT (“Amendment”) dated as of March 28, 2013 to the Special Custody and Pledge Agreement dated December 20, 2012 between BNP Paribas Prime Brokerage, Inc. (“Counterparty”), ALPS Series Trust, on behalf of its series, Cognios Market Neutral Large Cap Fund (“Customer”), Cognios Capital, LLC (“Manager”) and Union Bank, N.A. (“Custodian”)(the “Agreement”).
SPECIAL CUSTODY AND PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • December 8th, 2014 • Center Coast MLP & Infrastructure Fund • New York
AGREEMENT, (hereinafter “Agreement”) dated as of October 4, 2013 among Center Coast MLP & Infrastructure Fund (“Customer”), BNP Paribas Prime Brokerage, Inc. (“Counterparty”) and UMB Bank, n.a. as Custodian hereunder (“Custodian”).
SPECIAL CUSTODY and PLEDGE AGREEMENT (Short Sales and Exchange-Listed Options)Special Custody and Pledge Agreement • February 24th, 2016 • Tocqueville Trust • New York
THIS SPECIAL CUSTODY and PLEDGE AGREEMENT, (hereinafter, the “Agreement”) dated this 30 day of June, 2014, is made by and among The Tocqueville Trust , a Massachusetts trust on behalf of The Tocqueville Alternative Strategies Fund (each a “Customer”), PERSHING LLC (“Broker”) Tocqueville Asset Management, L.P. (“Manager”) and U.S. BANK NATIONAL ASSOCIATION (“Custodian”).
SPECIAL CUSTODY and PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • November 10th, 2015 • Pathway Energy Infrastructure Fund, Inc. • New York
AGREEMENT (hereinafter “Agreement”) dated as of August 25, 2015 among U.S. Bank, N.A. in its capacity as custodian hereunder (“Custodian”), Pathway Energy Infrastructure Fund, Inc. (“Fund”), and BNP Paribas Prime Brokerage International, Ltd. (“Counterparty”).
SPECIAL CUSTODY and PLEDGE AGREEMENT (Margin Account)Special Custody and Pledge Agreement • December 29th, 2017 • Cushing Renaissance Fund • New York
AGREEMENT (hereinafter “Agreement”) dated as of August 26, 2014, among The Cushing Renaissance Fund (“Customer”), The Bank of Nova Scotia, acting through its Houston branch (“Broker”) and U.S. Bank, N.A. as Custodian hereunder (“Custodian”).
SPECIAL CUSTODY and PLEDGE AGREEMENT (Short Sales and Exchange-Listed Options)Special Custody and Pledge Agreement • April 29th, 2020 • Needham Funds Inc • New York
THIS SPECIAL CUSTODY and PLEDGE AGREEMENT, (hereinafter, the “Agreement”) dated this 12th day of August, 2015, is made by and among THE NEEDHAM FUNDS, INC., on behalf of each of Needham Aggressive Growth Fund, Needham Growth Fund, and Needham Small Cap Growth Fund (each, severally and not jointly, a “Customer”), PERSHING LLC (“Broker”) NEEDHAM INVESTMENT MANAGEMENT, LLC (“Adviser”) and U.S. BANK NATIONAL ASSOCIATION (“Custodian”). It is understood and agreed that this document is a separate Agreement between Broker, Adviser, Custodian and each Customer, as if each such Customer has executed a separate document naming only itself as Customer and that no Customer shall have any liability under this document for the obligations of any other Customer.
SPECIAL CUSTODY and PLEDGE AGREEMENT (Short Sales and Exchange-Listed Options)Special Custody and Pledge Agreement • October 28th, 2011 • American Century Quantitative Equity Funds, Inc. • New York
AGREEMENT (hereinafter "Agreement") dated as of August 1, 2011 among each registered investment company on behalf of itself or its series listed on Schedule A attached hereto ("Customer"), GOLDMAN, SACHS & CO., a New York limited partnership ("Broker"), and STATE STREET BANK AND TRUST COMPANY as custodian hereunder ("Custodian").
SPECIAL CUSTODY and PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • January 25th, 2019 • Highland Funds Ii • New York
SPECIAL CUSTODY and PLEDGE AGREEMENT (this “Agreement”), dated as of October 3, 2018, among HIGHLAND FUNDS II, on behalf of its portfolio HIGHLAND PREMIER GROWTH EQUITY FUND (“Client”), PERSHING LLC (“Pershing”), and STATE STREET BANK AND TRUST COMPANY as Custodian hereunder (“Custodian”).
