VEDDER PRICE VEDDER, PRICE, KAUFMAN & KAMMHOLZ 222 NORTH LASALLE STREET CHICAGO, ILLINOIS 60801-1003 312-609-7500 FACSIMILE: 312-609-5005 A PARTNERSHIP INCLUDING VEDDER, PRICE, KAUFMAN & KAMMHOLZ,P.C. WITH OFFICES IN CHICAGO AND NEW YORK CITYNuveen Preferred Convertible Income Fund • May 7th, 2003
NUVEEN MULTI-STRATEGY INCOME AND GROWTH FUND AMENDMENT OF INVESTMENT MANAGEMENT AGREEMENT This Agreement made this 23rd day of January, 2012 by and between Nuveen Multi-Strategy Income and Growth Fund, a Massachusetts business trust (the "Fund"), and...Investment Management Agreement • March 1st, 2013 • Nuveen Preferred Income Opportunities Fund
UNDERWRITING AGREEMENTNuveen Preferred Convertible Income Fund • March 25th, 2003 • New York
AmongAgency and Service Agreement • March 25th, 2003 • Nuveen Preferred Convertible Income Fund • Massachusetts
Witnesseth:Master Custodian Agreement • March 25th, 2003 • Nuveen Preferred Convertible Income Fund • Massachusetts
EXPENSE REIMBURSEMENT AGREEMENT AGREEMENT made this 20th day of February, 2003, by and between NUVEEN PREFERRED AND CONVERTIBLE INCOME FUND, a Massachusetts business trust (the "Fund"), and NUVEEN INSTITUTIONAL ADVISORY CORP., a Delaware corporation...Expense Reimbursement Agreement • March 25th, 2003 • Nuveen Preferred Convertible Income Fund • Illinois
DEALER AGREEMENT Nuveen Securities, LLCDealer Agreement • March 19th, 2021 • Nuveen Preferred & Income Opportunities Fund • New York
From time to time Nuveen Securities, LLC (the “Manager”, “we” or “us”) will act as manager of registered at-the-market offerings by the Nuveen Preferred & Income Opportunities Fund, a Massachusetts business trust (the “Fund”), of the Fund’s common stock, par value $0.01 per share (the “Common Stock”). In the case of such offerings, the Fund has agreed with the Manager to issue and sell through or to the Manager, as sales agent and/or principal, shares of the Fund’s Common Stock in an amount up to a certain maximum aggregate offering price.
NUVEEN PREFERRED & INCOME OPPORTUNITIES FUND Chicago, Illinois 60606Nuveen Preferred & Income Opportunities Fund • March 19th, 2021
Nuveen Preferred & Income Opportunities Fund is a Massachusetts business trust operating as a closed-end management investment company (hereinafter referred to as the “Fund”). The Fund has filed an automatic shelf registration statement on Form N-2 (File Nos. 333-254473 and 811-22391) (the “Registration Statement”) pursuant to the Investment Company Act of 1940, as amended, and the Securities Act of 1933, as amended, to register additional common shares of the Fund, which may be issued and sold from time to time through various specified transactions, including at-the-market (“ATM”) offerings. The Fund also has filed or will file a prospectus supplement (“Prospectus Supplement”) pursuant to Rule 424 under the Securities Act of 1933 in connection with the offering of its common shares through an ATM offering.
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • December 13th, 2016 • Nuveen Preferred Income Opportunities Fund • Illinois
AGREEMENT effective as of this 1st day of October 2014 by and between Nuveen Fund Advisors, LLC, a Delaware limited liability company and a registered investment adviser (“Manager”), and NWQ Investment Management Company, LLC, a Delaware limited liability company and a federally registered investment adviser (“Sub-Adviser”).
Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Schedule A Attached Hereto and Computershare Inc. and Computershare Trust Company, N.A.Agency and Service Agreement • March 19th, 2021 • Nuveen Preferred & Income Opportunities Fund • New York
THIS TRANSFER AGENCY AND SERVICE AGREEMENT, effective as of June 15, 2017 (“Effective Date”), is by and between each of the Nuveen closed-end investment companies listed on Schedule A attached hereto, as may be amended from time to time (“Schedule A”) (each such investment company, a “Fund”), and Computershare Inc., a Delaware corporation (“Computershare”), and its fully owned subsidiary Computershare Trust Company, N.A., a federally chartered trust company (“Trust Company”, and together with Computershare, “Transfer Agent”), each having a principal office and place of business at 250 Royall Street, Canton, Massachusetts 02021.
EXHIBIT h.1 FundPreferred(TM) shares NUVEEN PREFERRED AND CONVERTIBLE INCOME FUND 4,720 Shares, Series M 4,720 Shares, Series T 4,720 Shares, Series W 4,720 Shares, Series TH 4,720 Shares, Series F 4,720 Shares, Series F2 Liquidation Preference...Underwriting Agreement • May 7th, 2003 • Nuveen Preferred Convertible Income Fund • New York
AMENDMENT TO THE AMENDED AND RESTATED CUSTODIAN AGREEMENT BETWEEN EACH MANAGEMENT INVESTMENT COMPANY IDENTIFIED ON APPENDIX A OF THE AGREEMENT AND STATE STREET BANK AND TRUST COMPANYCustodian Agreement • March 19th, 2021 • Nuveen Preferred & Income Opportunities Fund
AMENDMENT to the Amended and Restated Custodian Agreement (the “Agreement”) made as of July 15, 2015 by and between State Street Bank and Trust Company, a Massachusetts trust company (the “Custodian”) and each management investment company identified on Appendix A of the Agreement and each management investment company which becomes a party to this Agreement in accordance with the terms hereof (in each case, a “Fund” or “Funds”), including, if applicable, each series of the Fund identified on Appendix A and each series which becomes a party to this Agreement in accordance with the terms hereof.
FIRST AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • March 19th, 2021 • Nuveen Preferred & Income Opportunities Fund
This First Amendment (“Amendment”) is entered into and effective as of this the 7th day of September, 2017, and hereby amends that certain Transfer Agency and Service Agreement by and among each Nuveen closed-end investment companies listed on Schedule A attached hereto, as may be amended from time to time (“Schedule A”) (each such investment company, a “Fund”), and Computershare Inc., (“Computershare”) and its fully owned subsidiary Computershare Trust Company, N.A., (“Trust Company”, and together with Computershare, “Transfer Agent”) dated June 15, 2017 (the “Agreement”). Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to such terms in the Agreement.
CONTINUANCE OF MANAGEMENT AGREEMENTSManagement Agreements • March 19th, 2021 • Nuveen Preferred & Income Opportunities Fund
Agreement made as of this 30th day of July 2020, by and between the entities listed on Appendix A (the “Funds”), and Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”), to be effective August 1, 2020.
NUVEEN EXCHANGE-TRADED FUNDS MASTER SELECTED DEALER AGREEMENTNuveen Exchange • March 25th, 2003 • Nuveen Preferred Convertible Income Fund • New York
NUVEEN CLOSED-END FUNDS RENEWAL OF INVESTMENT MANAGEMENT AGREEMENTSAgreement • December 13th, 2016 • Nuveen Preferred Income Opportunities Fund
This Agreement made this 28th day of July 2015 by and between the funds listed on Schedule A (the “Nuveen Closed-End Funds”), and Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”);
RULE 12d1-4 INVESTMENT AGREEMENTInvestment Agreement • May 11th, 2023 • Nuveen Preferred & Income Opportunities Fund • Illinois
THIS RULE 12d1-4 INVESTMENT AGREEMENT (the “Agreement”), dated as of January 19, 2022 (the “Effective Date”), is made by and between each registered investment company (each, a “Registrant”), on behalf of each series of each such Registrant listed on Schedule A or Schedule B hereto, or if the relevant Registrant has no series, then the relevant Registrant (as applicable, each an “Acquiring Fund” or “Acquired Fund” pursuant to the applicable schedule), each severally and not jointly.
NUVEEN CLOSED-END FUNDS NOTICE OF CONTINUANCE OF INVESTMENT SUB-ADVISORY AGREEMENTSNuveen Preferred Income Opportunities Fund • December 13th, 2016
WHEREAS, Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Manager “) and Nuveen Asset Management, LLC, a Delaware limited liability company (the “Sub-Adviser”) have entered into Sub-Advisory Agreements (the “Agreements”), pursuant to which the Sub-Adviser furnishes investment advisory services to the funds listed on Schedule A (the “Funds”); and
AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Exhibit A to the Agreement And State Street Bank and Trust CompanyTransfer Agency and Service Agreement • December 13th, 2016 • Nuveen Preferred Income Opportunities Fund
This Amendment is made as of this 1st day of July 2011 to the Transfer Agency and Service Agreement dated October 7, 2002, as amended (the “Agreement”) between each of the Nuveen Closed-End Investment Companies Listed on Exhibit A to the Agreement (collectively, the “Funds”) and State Street Bank and Trust Company (the “Transfer Agent”). In accordance with Section 16.1 (Amendment) of the Agreement, the parties desire to amend the Agreement as set forth herein.
INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this 14th day of March, 2003 by and between Nuveen Institutional Advisory Corp., a Delaware corporation and a registered investment adviser ("Manager"), and Froley, Revy Investment Co., Inc., a...Investment Sub-Advisory Agreement • March 25th, 2003 • Nuveen Preferred Convertible Income Fund • Illinois
INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT effective as of this 23rd day of January, 2012 by and between Nuveen Fund Advisors, Inc., a Delaware corporation and a registered investment adviser ("Manager"), and NWQ Investment Management Company, LLC, a...Investment Sub-Advisory Agreement • March 1st, 2013 • Nuveen Preferred Income Opportunities Fund • Illinois
NUVEEN OPEN-END AND CLOSED-END FUNDS DEFERRED COMPENSATION PLAN FOR INDEPENDENT DIRECTORS AND TRUSTEES (As Amended and Restated Effective January 1, 2013)Nuveen Preferred Income Opportunities Fund • December 13th, 2016 • Illinois
NUVEEN CLOSED-END FUNDS NOTICE OF CONTINUANCE OF INVESTMENT SUB-ADVISORY AGREEMENTSNuveen Preferred Income Opportunities Fund • December 13th, 2016
WHEREAS, Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Manager”) and Nuveen Asset Management, LLC, a Delaware limited liability company (the “Sub-Adviser”) have entered into Sub-Advisory Agreements (the “Agreements”), pursuant to which the Sub-Adviser furnishes investment advisory services to the funds listed on Schedule A (the “Funds”); and
INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this 14th day of March, 2003 by and between Nuveen Institutional Advisory Corp., a Delaware corporation and a registered investment adviser ("Manager"), and Spectrum Asset Management, Inc., a...Investment Sub-Advisory Agreement • March 25th, 2003 • Nuveen Preferred Convertible Income Fund • Illinois
INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT effective as of this 23rd day of January, 2012 by and between Nuveen Fund Advisors, Inc., a Delaware corporation and a registered investment adviser ("Manager"), and Nuveen Asset Management, LLC, a Delaware...Investment Sub-Advisory Agreement • March 1st, 2013 • Nuveen Preferred Income Opportunities Fund • Illinois
AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Exhibit A to the Agreement And State Street Bank and Trust CompanyTransfer Agency and Service Agreement • December 13th, 2016 • Nuveen Preferred Income Opportunities Fund
This Amendment is made as of this 24th day of February 2011, between each of the Nuveen Closed-End Investment Companies Listed on Exhibit A to the Agreement (defined below) (collectively, the “Fund”) and State Street Bank and Trust Company (the “Transfer Agent”). In accordance with Section 16.1 (Amendment) of the Transfer Agency and Service Agreement between the Fund and the Transfer Agent dated October 7, 2002, as amended, (the “Agreement”), the parties desire to amend the Agreement as set forth herein.
AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Schedule A to the Agreement And State Street Bank and Trust CompanyTransfer Agency and Service Agreement • December 13th, 2016 • Nuveen Preferred Income Opportunities Fund
This Amendment is made as of this 28th day of April, 2016, to the Transfer Agency and Service Agreement dated October 7, 2002, as amended (the “Agreement”) between each of the Nuveen Closed-End Investment Companies Listed on Schedule A to the Agreement (collectively, the “Funds”) and State Street Bank and Trust Company (the “Transfer Agent”). In accordance with Section 17.1 (Amendment) of the Agreement, the parties desire to amend the Agreement as set forth herein.
NUVEEN PREFERRED INCOME OPPORTUNITIES FUND NOTICE OF CONTINUANCE OF INVESTMENT SUB-ADVISORY AGREEMENTSub-Advisory Agreement • December 13th, 2016 • Nuveen Preferred Income Opportunities Fund
WHEREAS, Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Manager”) and NWQ Investment Management Company, LLC, a Delaware limited liability company (the “Sub-Adviser”) have entered into a Sub-Advisory Agreement dated as of October 1, 2014 (the “Agreement”) and continued to August 1, 2016, pursuant to which the Sub-Adviser furnishes investment advisory services to Nuveen Preferred Income Opportunities Fund; and
Exhibit C AMENDED INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this 1st day of June 2007, by and between Nuveen Asset Management, a Delaware corporation and a registered investment adviser (Manager), and Symphony Asset Management LLC, a...Sub-Advisory Agreement Agreement • August 29th, 2007 • Nuveen Multi-Strategy Income & Growth Fund • Illinois
NUVEEN CLOSED-END FUNDS RENEWAL OF INVESTMENT MANAGEMENT AGREEMENTSInvestment Management Agreements • December 13th, 2016 • Nuveen Preferred Income Opportunities Fund
This Agreement made this 27th day of July 2016 by and between the funds listed on Schedule A (the “Nuveen Closed-End Funds”), and Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”);
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • December 13th, 2016 • Nuveen Preferred Income Opportunities Fund • Illinois
AGREEMENT made this 1st day of October 2014, by and between NUVEEN PREFERRED INCOME OPPORTUNITIES FUND, a Massachusetts business trust (the “Fund”), and NUVEEN FUND ADVISORS, LLC, a Delaware limited liability company (the “Adviser”).
Form N-SAR, Sub-Item 77q1(e) Any new or amended investment advisory contracts Nuveen Preferred Income Opportunities Fund, formerly known as Nuveen Multi- Strategy Income and Growth Fund We hereby incorporate by reference a new Investment Advisory...Nuveen Preferred Income Opportunities Fund • April 1st, 2015
We hereby incorporate by reference a new Investment Advisory agreement, and a new Sub- Advisory Agreement a form of which was filed as Appendix M and Appendix N, respectively, under Conformed Submission Type DEF 14A, accession number 0001193125-14-236554, on June 16, 2014.
AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Exhibit A to the Agreement And State Street Bank and Trust CompanyTransfer Agency and Service Agreement • December 13th, 2016 • Nuveen Preferred Income Opportunities Fund
This Amendment is made as of this 15th day of July 2015 to the Transfer Agency and Service Agreement dated October 7, 2002, as amended (the “Agreement”) between each of the Nuveen Closed-End Investment Companies Listed on Exhibit A to the Agreement (collectively, the “Funds”) and State Street Bank and Trust Company (the “Transfer Agent”). In accordance with Section 16.1 (Amendment) of the Agreement, the parties desire to amend the Agreement as set forth herein.
Third Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • March 19th, 2021 • Nuveen Preferred & Income Opportunities Fund
This Third Amendment (“Amendment”), effective as of May 11, 2020 (“Effective Date”), is to the Transfer Agency and Service Agreement (the “Agreement”, made as of June 15, 2017, by and between each of the Nuveen closed-end investment companies listed on Schedule A (each such investment company, a “Fund”, and Computershare Inc. (“Computershare”) and Computershare Trust Company, N.A. (“Trust Company”, and together with Computershare, “Transfer Agent’’). Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to such terms in the Agreement.
Exhibit B INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this 1st day of June 2007, by and between Nuveen Asset Management, a Delaware corporation and a registered investment adviser (Manager), and Tradewinds Global Investors, LLC, a Delaware...Investment Sub-Advisory Agreement Agreement • August 29th, 2007 • Nuveen Multi-Strategy Income & Growth Fund • Illinois
