MUTUAL FUND CUSTODY AND ----------------------- SERVICES AGREEMENT ------------------Services Agreement • May 10th, 2002 • Gabelli Utility Trust • Massachusetts
THE GABELLI UTILITY TRUST 2,000,000 Shares [ ]% Series A Cumulative Preferred Stock, Liquidation Preference $25 Per Share 5,000 Shares Series B Auction Market Preferred Stock Liquidation Preference $25,000 Per Share UNDERWRITING AGREEMENTUnderwriting Agreement • July 24th, 2003 • Gabelli Utility Trust • New York
between THE BANK OF NEW YORK as Auction Agent andBroker-Dealer Agreement • July 24th, 2003 • Gabelli Utility Trust • New York
Morgan Stanley & Co. LLC MASTER AGREEMENT AMONG UNDERWRITERS REGISTERED SEC OFFERINGS (INCLUDING MULTIPLE SYNDICATE OFFERINGS) AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Agreement • May 26th, 2016 • Gabelli Utility Trust • New York
This Master Agreement Among Underwriters (this “Master AAU”), dated as of July 15, 2014, is by and between Morgan Stanley & Co. LLC (“Morgan Stanley,” or “we”) and the party named on the signature page hereof (an “Underwriter,” as defined in Section 1.1 hereof, or “you”). From time to time we or one or more of our affiliates may invite you (and others) to participate on the terms set forth herein as an underwriter or an initial purchaser, or in a similar capacity, in connection with certain offerings of securities that are managed solely by us or with one or more other co-managers. If we invite you to participate in a specific offering and sale of securities (an “Offering”) to which this Master AAU will apply, we will send the information set forth in Section 1.1 hereof to you by one or more wires, telexes, telecopy or electronic data transmissions, or other written communications (each, a “Wire,” and collectively, an “AAU”), unless you are otherwise deemed to have accepted an AAU with
Exhibit 99(k)(ii) THE GABELLI UTILITY TRUST _______________________________________________ AUCTION AGENCY AGREEMENTAuction Agency Agreement • July 24th, 2003 • Gabelli Utility Trust • New York
Morgan Stanley & Co. LLC MASTER SELECTED DEALERS AGREEMENT REGISTERED SEC OFFERINGS AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Selected Dealers Agreement • May 26th, 2016 • Gabelli Utility Trust • New York
This Master Selected Dealers Agreement (this “Master SDA”), dated as of June 1, 2011, is by and between Morgan Stanley & Co. LLC (including its successors and assigns) (“we,” “our,” “us” or the “Manager”) and the party named on the signature page hereof (a “Dealer,” “you” or “your”). From time to time, in connection with an offering and sale (an “Offering”) of securities (the “Securities”), managed solely by us or with one or more other managers or co-managers, we or one or more of our affiliates may offer you (and others) the opportunity to purchase as principal a portion of such securities on the terms set forth herein as a Selected Dealer (as defined below).
PURCHASE AGREEMENTPurchase Agreement • March 31st, 1999 • Gabelli Utility Fund
SUBSCRIPTION AGENT AGREEMENTSubscription Agent Agreement • November 9th, 2012 • Gabelli Utility Trust • New York
This Subscription Agent Agreement (the “Agreement”) is made as of November 6, 2012 by and between The Gabelli Utility Trust, a closed-end investment company organized and existing under the laws of the State of Maryland, (the “Fund”), Computershare Inc., a Delaware corporation and its fully owned subsidiary Computershare Trust Company, N.A., a national banking company (collectively, the “Agent” or individually “Computershare” and the “Trust Company”, respectively). All terms not defined herein shall have the meaning given in the prospectus (the “Prospectus”) included in the Registration Statement on Form N-2, File No. 333-174333 filed by the Fund with the Securities and Exchange Commission (“SEC”) on October 18, 2012, as supplemented or amended by any amendment filed with respect thereto (the “Registration Statement”).
Fourth Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • April 17th, 2015 • Gabelli Utility Trust • Massachusetts
This Fourth Amendment (“Amendment”), effective as of , 2013 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company”).
Subscription Agent Agreement Between The Gabelli Utility Trust and Computershare Trust Company, N.A. and Computershare Inc.Agent Agreement • March 28th, 2018 • Gabelli Utility Trust • New York
THIS SUBSCRIPTION AGENT AGREEMENT (the “Agreement”) is entered into as of this 27 day of March 2018 (the “Effective Date”) by and among The Gabelli Utility Trust, a statutory trust organized and existing under the laws of the State of Delaware (the “Company”), and Computershare Trust Company, N.A., a national banking association (“Trust Company”), and Computershare Inc., a Delaware corporation (“Computershare” and, collectively with Trust Company, the “Agent”).
The Gabelli Utility Trust Common Shares Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTGabelli Utility Trust • November 9th, 2012 • New York
Each of The Gabelli Utility Trust, a Delaware statutory trust (the “Fund”), and Gabelli Funds, LLC, a New York limited liability company (the “Investment Advisor”), hereby confirms the agreement with and appointment of Gabelli & Company Inc. to act as dealer manager (the “Dealer Manager”) in connection with the issuance by the Fund to its common shareholders of record (the “Record Date Shareholders”) at the close of business on the record date set forth in the Prospectus (as defined herein) (the “Record Date”) transferable rights entitling such Record Date Shareholders to subscribe for up to [ ] additional common shares (the “Shares”) of the Fund (the “Offer”). Pursuant to the terms of the Offer, the Fund is issuing each Record Date Shareholder one transferable right (each a “Right” and, collectively, the “Rights”) for each existing common share held by such Record Date Shareholder on the Record Date. Such Rights entitle their holders to acquire during the subscription period set forth
Seventh Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • May 26th, 2016 • Gabelli Utility Trust • Massachusetts
This Seventh Amendment (“Amendment’’), effective as of May 10, 2016 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company’’).
Transfer Agency and Service Agreement Among Each of the Gabelli Closed End Investment Companies Listed on Exhibit A Hereto Computershare Trust Company, N.A. and Computershare Inc.Agreement • May 19th, 2011 • Gabelli Utility Trust • Massachusetts
AGREEMENT made as of the 1st day of January, 2011 by and among each of the Gabelli closed-end investment companies listed on Exhibit A, a corporation, having its principal office and place of business at One Corporate Center, Rye, NY 10580 (the “Company”), and Computershare Inc., a Delaware corporation, and its fully owned subsidiary Computershare Trust Company, N.A., a federally chartered trust company, having its principal office and place of business at 250 Royall Street, Canton, Massachusetts 02021 (collectively, the “Transfer Agent” or individually, “Computershare” and the “Trust Company”, respectively).
VOID IF NOT RECEIVED BY THE SUBSCRIPTION AGENT BEFORE 5:00 P.M. NEW YORK TIME ON THE EXPIRATION DATE CONTROL NO. _____ MAXIMUM PRIMARY SUBSCRIPTION SHARES AVAILABLE THE GABELLI UTILITY TRUST SUBSCRIPTION RIGHTS FOR COMMON STOCK Dear Shareholder: IN...Distribution and Escrow Agency Agreement • May 10th, 2002 • Gabelli Utility Trust
Ninth Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • March 15th, 2018 • Gabelli Utility Trust • Massachusetts
This Ninth Amendment (“Amendment’’), effective as of July 1, 2016 (‘‘Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, ”Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company’’).
Exhibit 99(d)(6) SUBSCRIPTION AGENT AGREEMENT This Subscription Agent Agreement (the "Agreement") is made as of October __, 2004 between The Gabelli Utility Trust (the " Company"), EquiServe, Inc., a Delaware corporation and its fully owned subsidiary...Subscription Agent Agreement • October 14th, 2004 • Gabelli Utility Trust • Massachusetts
The Gabelli Utility Trust Common Shares of Beneficial Interest Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • March 28th, 2018 • Gabelli Utility Trust • New York
Subscription Agent Agreement Between The Gabelli Utility Trust and Computershare Trust Company, N.A. and Computershare Inc.Subscription Agent Agreement • March 14th, 2022 • Gabelli Utility Trust • New York
THIS SUBSCRIPTION AGENT AGREEMENT (the “Agreement”) is entered into as of this 10th day of March, 2022 (the “Effective Date”) by and among The Gabelli Utility Trust, a statutory trust organized and existing under the laws of the State of Delaware (the "Company"), Computershare Inc. (“Computershare”), a Delaware corporation, and Computershare’s fully owned subsidiary Computershare Trust Company, N.A., a national banking association (the “Trust Company” and together with Computershare, the “Agent”).
THE GABELLI UTILITY TRUST THIRD AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST February 16, 2011Agreement and Declaration of Trust • May 19th, 2011 • Gabelli Utility Trust • Delaware
THIRD AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST made as of the 16th day of February 2011, by the Trustees hereunder, and by the holders of shares of beneficial interest issued hereunder as hereinafter provided.
Sixth Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • April 19th, 2016 • Gabelli Utility Trust • Massachusetts
This Sixth Amendment (“Amendment”), effective as of March 31, 2016 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company”).
Eleventh Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • March 15th, 2018 • Gabelli Utility Trust • Massachusetts
This Eleventh Amendment (“Amendment”), effective as of September 26, 2017 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company”).
Fifteenth Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • February 14th, 2020 • Gabelli Utility Trust • Massachusetts
This Fifteenth Amendment (“Amendment’’), effective as of December 16, 2019 (‘‘Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company’’).
THE GABELLI UTILITY TRUST Exhibit 1 - 77(Q)1(a) THE GABELLI UTILITY TRUST THIRD AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST ____________________________________________ TABLE OF CONTENTS ARTICLE I The Trust 1.1. Name 1 1.2. Definitions 1...Gabelli Utility Trust • March 1st, 2011
Trustees 2.1. Number and Qualification 3 2.2. Term and Election 3 2.3. Resignation and Removal 4 2.4. Vacancies 4 2.5. Meetings 4 2.6. Officers 5 ARTICLE III
Exhibit 77Q(1) THE GABELLI UTILITY TRUST SECOND AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST ____________________________________________ February 26, 2009 TABLE OF CONTENTS ARTICLE I The Trust 1.1. Name 1 1.2. Definitions 1 1.3. Purpose...Agreement and Declaration • August 28th, 2009 • Gabelli Utility Trust
Trustees 2.1. Number and Qualification 3 2.2. Term and Election 3 2.3. Resignation and Removal 4 2.4. Vacancies 4 2.5. Meetings 4 2.6. Officers 5 ARTICLE III
Sixteenth Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • February 14th, 2020 • Gabelli Utility Trust • Massachusetts
This Sixteenth Amendment (“Amendment’’), effective as of December 16, 2019 (‘‘Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, ”Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company’’).
Twelfth Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • February 14th, 2020 • Gabelli Utility Trust • Massachusetts
This Twelve Amendment (“Amendment”), effective as of December 19, 2018 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent “) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company”).
Tenth Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • March 15th, 2018 • Gabelli Utility Trust • Massachusetts
This Tenth Amendment (“Amendment”), effective as of September 2, 2016 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the GabeIli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company”).
Fourteenth Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • February 14th, 2020 • Gabelli Utility Trust • Massachusetts
This Fourteenth Amendment (“Amendment’’), effective as of October 9, 2019 (‘‘Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, ”Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company’’).
First Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • October 18th, 2012 • Gabelli Utility Trust • Massachusetts
This First Amendment (“Amendment”), effective as of August 1, 2012 (“Effective Date”), is to the Transfer Agency and Service Agreement (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., formerly known as Computershare Shareholder Services, Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company”).
Thirteenth Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • February 14th, 2020 • Gabelli Utility Trust • Massachusetts
This Thirteenth Amendment (“Amendment’’), effective as of June 7, 2019 (‘‘Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, ”Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company’’).
Second Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • October 18th, 2012 • Gabelli Utility Trust • Massachusetts
This Second Amendment (“Amendment”), effective as of September 28, 2012 (“Effective Date”), is to the Transfer Agency and Service Agreement (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., formerly known as Computershare Shareholder Services, Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company”).
Form of Fifth Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • April 17th, 2015 • Gabelli Utility Trust • Massachusetts
This Fifth Amendment (“Amendment”), effective as of September , 2014 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company”).
Gabelli Utility Trust POS EXGabelli Utility Trust • March 11th, 2021
This letter will serve as the agreement under which you will retain Morrow Sodali LLC (“Morrow” or “us”) to perform search and distribution services in connection with the Rights Offering by The Gabelli Utility Trust to holders of the Fund’s existing Common Shares (“the Offer”).
Twenty-third Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • September 6th, 2023 • Gabelli Utility Trust • Massachusetts
This Twenty-third Amendment (“Amendment’’), effective as of December 27, 2022 (“Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011,by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each,a “Company” and collectively the “Company’’).
Gabelli Utility Trust POS EXGabelli Utility Trust • March 14th, 2022
This letter will serve as the agreement under which you will retain Morrow Sodali LLC (“Morrow” or “us”) to perform search and distribution services in connection with the Rights Offering by The Gabelli Utility Trust to holders of the Fund’s existing Common Shares (“the Offer”).
