Acquired Funds. JPMorgan Active Value ETF JPMorgan ActiveBuilders Emerging Markets Equity ETF (fka JPM Emerging Mkts Equity Core ETF) JPMorgan ActiveBuilders International Equity ETF JPMorgan ActiveBuilders U.S. Large Cap Equity ETF JPMorgan BetaBuilders 1-5 Year U.S. Aggregate Bond ETF JPMorgan BetaBuilders Canada ETF JPMorgan BetaBuilders Developed Asia ex-Japan ETF JPMorgan BetaBuilders Europe ETF JPMorgan BetaBuilders International Equity ETF JPMorgan BetaBuilders Japan ETF JPMorgan BetaBuilders MSCI US REIT ETF JPMorgan BetaBuilders U.S. Equity ETF JPMorgan BetaBuilders U.S. Mid Cap Equity ETF JPMorgan BetaBuilders U.S. Small Cap Equity ETF JPMorgan Carbon Transition U.S. Equity ETF JPMorgan Core Plus Bond ETF JPMorgan Corporate Bond Research Enhanced ETF JPMorgan Diversified Return Emerging Markets Equity ETF JPMorgan Diversified Return International Equity ETF JPMorgan Diversified Return U.S. Equity ETF JPMorgan Diversified Return U.S. Mid Cap Equity ETF JPMorgan Diversified Return U.S. Small Cap Equity ETF JPMorgan Equity Premium Income ETF JPMorgan Income ETF JPMorgan International Bond Opportunities ETF JPMorgan High Yield Research Enhanced ETF JPMorgan International Growth ETF JPMorgan Municipal ETF JPMorgan Short Duration Core Plus ETF JPMorgan U.S. Aggregate Bond ETF JPMorgan U.S. Dividend ETF JPMorgan U.S. Minimum Volatility ETF JPMorgan U.S. Momentum Factor ETF JPMorgan U.S. Quality Factor ETF JPMorgan U.S. Value Factor ETF JPMorgan Ultra-Short Income ETF JPMorgan Ultra-Short Municipal Income ETF JPMorgan USD Emerging Markets Sovereign Bond ETF SCHEDULE A - Continued List of Funds to Which the Agreement Applies
Acquired Funds. Franklin Funds Franklin Advisers, Inc. Franklin Limited Duration Income Trust Franklin Universal Trust Lxxx Mxxxx Partners Closed End Funds Board Lxxx Mxxxx Partners Fund Advisor, LLC BrandywineGLOBAL - Global Income Opportunities Fund Inc. ClearBridge Energy Midstream Opportunity Fund Inc. ClearBridge MLP and Midstream Fund Inc. ClearBridge MLP and Midstream Total Return Fund Inc. LMP Capital and Income Fund Inc. Western Asset Emerging Markets Debt Fund Inc. Western Asset Global Corporate Defined Opportunity Fund Inc. Western Asset Global High Income Fund Inc. Western Asset High Income Fund II Inc. Western Asset High Income Opportunity Fund Inc. Western Asset High Yield Defined Opportunity Fund Inc. Western Asset Intermediate Muni Fund Inc. Western Asset Investment Grade Defined Opportunity Trust Inc. Western Asset Managed Municipals Fund Inc. Western Asset Middle Market Income Fund Inc. Western Asset Mortgage Opportunity Fund Inc. Western Asset Municipal High Income Fund Inc. Western Asset Municipal Partners Fund Inc. Txxxxxxxx Funds Franklin Advisers, Inc. Txxxxxxxx Emerging Markets Income Fund Templeton Global Income Fund Franklin Txxxxxxxx Investment Management Ltd. Templeton Dragon Fund, Inc. Txxxxxxxx Asset Management Ltd. Txxxxxxxx Emerging Markets Fund Western Asset Funds Board Western Asset Management Company, LLC Western Asset Inflation-Linked Income Fund Western Asset Inflation-Linked Opportunities & Income Fund Western Asset Investment Grade Income Fund Inc. Western Asset Premier Bond Fund RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENT THIS AGREEMENT, dated as of January 19, 2022, is among FT Series, First Trust Exchange-Traded Fund, First Trust Exchange-Traded Fund II, First Trust Exchange-Traded Fund III, First Trust Exchange-Traded Fund IV, First Trust Exchange-Traded Fund V, First Trust Exchange-Traded Fund VI, First Trust Exchange-Traded Fund VII, First Trust Exchange Traded Fund VIII, First Trust Series Fund, and First Trust Variable Insurance Trust, each on behalf of its separate existing and future series that invests in an Acquired Fund in reliance on the Rule as such terms are defined below and as listed on Schedule A (as amended from time to time), severally and not jointly (each, an “Acquiring Fund”), and each Acquired Fund listed on Schedule A (as amended from time to time), severally and not jointly (each, an “Acquired Fund” and together with the Acquiring Funds, the “Funds”). This Agreement shall be effective as of January 19, 2...
Acquired Funds. The Arbitrage Funds Arbitrage Fund Water Island Event-Driven Fund Water Island Credit Opportunities Fund Appendix A Annual Certification of Compliance with Rule 12d1-4 10% Limitation on Purchases of Investment Companies and Private Funds I, [ ], the duly elected and qualified [President/Vice President/Chief Compliance Officer] of [ ] hereby certify in my capacity as such officer pursuant to Section 2(ii) of that certain Fund of Funds Investment Agreement dated [ ], between the Acquiring Fund (the “Acquiring Fund”), and the Acquired Fund (the “Acquired Fund” and together with the Acquiring Fund, the “Funds”), listed on Schedule A (“the Fund of Funds Agreement”) that:
Acquired Funds. BondBloxx USD High Yield Bond Consumer Cyclicals Sector ETF BondBloxx USD High Yield Bond Consumer Non-Cyclicals Sector ETF BondBloxx USD High Yield Bond Energy Sector ETF BondBloxx USD High Yield Bond Financial Sector ETF BondBloxx USD High Yield Bond Healthcare Sector ETF BondBloxx USD High Yield Bond Industrials Sector ETF BondBloxx USD High Yield Bond Telecom Media & Technology Sector ETF BondBloxx BB Rated USD High Yield Corporate Bond ETF BondBloxx B Rated USD High Yield Corporate Bond ETF BondBloxx CCC Rated USD High Yield Corporate Bond ETF BondBloxx JX Xxxxxx USD Emerging Markets 1-10 Year Bond ETF BondBloxx Bloomberg Six Month Target Duration US Treasury ETF BondBloxx Bloomberg One Year Target Duration US Treasury ETF BondBloxx Bloomberg Two Year Target Duration US Treasury ETF BondBloxx Bloomberg Three Year Target Duration US Treasury ETF BondBloxx Bloomberg Five Year Target Duration US Treasury ETF BondBloxx Bloomberg Seven Year Target Duration US Treasury ETF BondBloxx Bloomberg Ten Year Target Duration US Treasury ETF BondBloxx Bloomberg Twenty Year Target Duration US Treasury ETF
Acquired Funds. 1. Blackstone Long-Short Credit Income Fund
Acquired Funds. Exxxx Xxxxx Tax-Advantaged Global Dividend Income Fund (ETG) Exxxx Xxxxx Tax-Advantaged Global Dividend Opportunities Fund (ETO) Exxxx Xxxxx Enhanced Equity Income Fund (EOI) Exxxx Xxxxx Enhanced Equity Income Fund II (EOS) Exxxx Xxxxx Tax-Managed Buy-Write Income Fund (ETB) Exxxx Xxxxx Tax-Managed Buy-Write Opportunities Fund (ETV) Exxxx Xxxxx Tax-Advantaged Dividend Income Fund (EVT) Exxxx Xxxxx Tax-Managed Diversified Equity Income Fund (ETY) Exxxx Xxxxx Tax-Managed Global Buy-Write Opportunities Fund (ETW) Exxxx Xxxxx Tax-Managed Global Diversified Equity Income Fund (EXG) Exxxx Xxxxx Tax-Managed Buy-Write Strategy Fund (EXD) Exxxx Xxxxx Risk-Managed Diversified Equity Income Fund (ETJ) RULE 12d1-4 EXCHANGE TRADED FUND OF CLOSED-END FUNDS INVESTMENT AGREEMENT This Agreement, dated as of January 24, 2022, between First Trust CEF Income Opportunity ETF (the “Acquiring Fund”) and each closed-end investment company registered under the Investment Company Act of 1940, as amended (the “1940 Act”) that is listed on Appendix A hereto (as may be amended from time to time), severally and not jointly (each an “Acquired Fund”).
Acquired Funds. Kayne Anderson Energy Infrastructure Fund, Inc.(KYN) Kayne Anderson NextGen Energy & Infrastructure, Inc.(KMF) RULE 12dl-4 EXCHANGE TRADED FUND OF CLOSED-END FUNDS INVESTMENT AGREEMENT This Agreement, dated as of January 19, 2022, between First Trust Exchange-Traded Fund VIII (the “Trust”), on behalf of its series First Trust CEF Income Opportunity ETF (the “Acquiring Fund”), and each closed-end investment company registered under the Investment Company Act of 1940, as amended (the “1940 Act”) advised by Lazard Asset Management LLC (the “Adviser”), that is listed on Appendix A hereto (as may be amended from time to time), severally and not jointly (each an “Acquired Fund”).
Acquired Funds. PGIM High Yield Bond Fund, Inc. PGIM Global High Yield Fund, Inc. PGIM Short Duration High Yield Opportunities Fund EXECUTION COPY FUND OF FUNDS INVESTMENT AGREEMENT THIS AGREEMENT is dated as of January 19, 2022, among FT Series, First Trust Exchange-Traded Fund, First Trust Exchange-Traded Fund II, First Trust Exchange-Traded Fund III, First Trust Exchange-Traded Fund IV, First Trust Exchange-Traded Fund V, First Trust Exchange-Traded Fund VI, First Trust Exchange-Traded Fund VII, First Trust Exchange-Traded Fund VIII, First Trust Series Fund, and First Trust Variable Insurance Trust, (each an “Acquiring Trust” and collectively, the “Acquiring Trusts”), each on behalf of its separate existing and future series that invests in an Acquired Fund in reliance on the Rule as such terms are defined below and as listed on Schedule A, as amended from time to time, severally and not jointly (each an “Acquiring Fund” and collectively, the “Acquiring Funds”), and PIMCO ETF Trust and PIMCO Equity Series, (each an “Acquired Trust” and collectively, the “Acquired Trusts”), each on behalf of its itself and its separate series listed on Schedule B, as amended from time to time or as such additional series are deemed to be added in the future, severally and not jointly (each, an “Acquired Fund” and collectively, the “Acquired Funds”).
Acquired Funds. Stone Harbor Emerging Markets Income Fund Stone Harbor Emerging Markets Total Income Fund RULE 12d1-4 EXCHANGE TRADED FUND OF CLOSED-END FUNDS INVESTMENT AGREEMENT This Agreement, dated as of January 19, 2022, between First Trust CEF Income Opportunity ETF (the “Acquiring Fund”) and The New America High Income Fund, Inc. (the “Acquired Fund”), a closed-end investment company registered under the Investment Company Act of 1940, as amended (the “1940 Act”) advised by T. Xxxx Price Associates, Inc. (the “Adviser”).
Acquired Funds. Voya Asia Pacific High Dividend Equity Income Fund Voya Emerging Markets High Dividend Equity Fund Voya Global Advantage and Premium Opportunity Fund Voya Global Equity Dividend and Premium Opportunity Fund Voya Infrastructure, Industrials and Materials Fund RULE 12d1-4 FUND OF FUNDS ETF INVESTMENT AGREEMENT This Agreement, dated as of January 19, 2022 (the “Effective Date”) between Absolute Shares Trust, on behalf of each of their existing and future series that invests in an Acquired Fund in reliance on the Rule as such terms are defined below, severally and not jointly (each, an “Acquiring Fund”), and First Trust Exchange-Traded Fund, First Trust Exchange-Traded Fund II, First Trust Exchange-Traded Fund III, First Trust Exchange-Traded Fund IV, First Trust Exchange-Traded Fund V, First Trust Exchange-Traded Fund VI, First Trust Exchange-Traded Fund VII, First Trust Exchange-Traded Fund VIII, First Trust Exchange-Traded AlphaDEX® Fund, and First Trust Exchange-Traded AlphaDEX® Fund II, (each a “Trust”) on behalf of each applicable series listed on Appendix A, as may be amended from time to time, severally and not jointly (each, an “Acquired Fund” and together with the Acquiring Funds, the “Funds”).
