ContractCompromise and Standstill Agreement • May 4th, 2009 • Western Investment LLC • New York
JOINT FILING AND SOLICITATION AGREEMENTJoint Filing and Solicitation Agreement • September 22nd, 2009 • Western Investment LLC
WHEREAS, certain of the undersigned are stockholders, direct or beneficial, of Nuveen Insured Florida Tax-Free Advantage Municipal Fund, a Massachusetts Business Trust (the “Fund”);
JOINT FILING AND SOLICITATION AGREEMENTJoint Filing and Solicitation Agreement • July 5th, 2016 • Western Investment LLC
WHEREAS, certain of the undersigned are shareholders, direct or beneficial, of Advent/Claymore Enhanced Growth & Income Fund, a Delaware business trust (the “Fund”);
LIQUIDITY PROGRAM AND STANDSTILL AGREEMENTLiquidity Program and Standstill Agreement • October 4th, 2010 • Western Investment LLC • New York
This Liquidity Program and Standstill Agreement (the “Agreement”) is made and entered into effective as of the fourth day of October, 2010 by and among Deutsche Investment Management Americas Inc. (“DWS Investments”), a Delaware corporation with its principal place of business at 345 Park Avenue, New York, New York 10154, Arthur D. Lipson, Western Investment LLC, a Delaware limited liability company, having a place of business at 7050 South Union Park Center, Suite 590, Midvale, Utah 84047, and its officers, directors, partners, employees and “affiliated persons” (as that term is defined in the Investment Company Act of 1940, as amended (the “1940 Act”)), Benchmark Plus Management, LLC, a Delaware limited liability company, having a place of business at 820 A Street, Suite 700, Tacoma, Washington 98402, and its officers, directors, partners, employees and “affiliated persons” (as that term is defined in the 1940 Act). Western Investment LLC, Benchmark Plus Management, LLC and Mr. Lipso
JOINT FILING AND SOLICITATION AGREEMENTJoint Filing and Solicitation Agreement • April 14th, 2009 • Western Investment LLC
WHEREAS, certain of the undersigned are stockholders, direct or beneficial, of Neuberger Berman New York Intermediate Municipal Fund Inc., a Maryland corporation (the “Fund”);
AGREEMENTAgreement • August 21st, 2008 • Western Investment LLC • New York
AGREEMENT, dated as of August 19, 2008, (this “Agreement”) by and among Arthur D. Lipson, Western Investment LLC, Western Investment Hedged Partners L.P., Western Investment Activism Partners LLC, Western Investment Institutional Partners LLC, Benchmark Plus Institutional Partners L.L.C., Benchmark Plus Management, L.L.C., Benchmark Plus Partners, L.L.C., Inc. (each such person a “Member” and collectively, the “Group”) and Tri-Continental Corporation (the “Fund”).
JOINT FILING AND SOLICITATION AGREEMENTJoint Filing and Solicitation Agreement • February 26th, 2010 • Western Investment LLC
WHEREAS, certain of the undersigned are stockholders, direct or beneficial, of DWS RREEF World Real Estate & Tactical Strategies Fund, Inc., a Maryland corporation (the “Fund”);
JOINT FILING AGREEMENTJoint Filing Agreement • July 27th, 2009 • Western Investment LLC
In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D dated July 27, 2009 (including amendments thereto) with respect to the Common Stock of Nuveen Florida Investment Quality Municipal Fund. This Joint Filing Agreement shall be filed as an Exhibit to such Statement.
JOINT FILING AGREEMENTJoint Filing Agreement • October 4th, 2010 • Western Investment LLC
In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including amendments thereto), with respect to the securities of DWS RREEF World Real Estate Fund, Inc. This Joint Filing Agreement shall be filed as an Exhibit to such Statement.
AGREEMENTAgreement • March 10th, 2011 • Western Investment LLC • New York
This Agreement is entered into as of March 8, 2011 (including the exhibit hereto, the “Agreement”), by and among Arthur D. Lipson, Robert Ferguson, Scott Franzblau, Western Investment LLC, Western Investment Hedged Partners L.P., Western Investment Activism Partners LLC, Western Investment Total Return Partners L.P., Western Investment Total Return Fund Ltd., Benchmark Plus Institutional Partners L.L.C. and Benchmark Plus Management, L.L.C., and all of their respective directors, officers and Affiliates (as defined herein) (collectively, “Western”) and LMP Capital and Income Fund Inc. (“SCD” and together with Western, the “Parties” and individually a “Party”).
AGREEMENTAgreement • October 17th, 2012 • Western Investment LLC • New York
This Agreement is entered into as of October 16, 2012 (including the exhibit hereto, the “Agreement”), by and among Arthur D. Lipson, Robert Ferguson, Scott Franzblau, Robert H. Daniels, Western Investment LLC, Western Investment Hedged Partners L.P., Western Investment Activism Partners LLC, Western Investment Total Return Partners L.P., Western Investment Total Return Fund Ltd., Benchmark Plus Partners L.L.C., Benchmark Plus Institutional Partners L.L.C. and Benchmark Plus Management, L.L.C., and all of their respective directors, officers and Affiliates (as defined herein) (collectively, “Western”) and Macquarie Global Infrastructure Total Return Fund Inc. (“MGU” or the “Fund” and together with Western, the “Parties” and individually a “Party”).
JOINT FILING AGREEMENTJoint Filing Agreement • February 18th, 2016 • Western Investment LLC
In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the shares of Common Stock, $0.01 par value, of Deutsche Strategic Income Trust, a Massachusetts business trust. This Joint Filing Agreement shall be filed as an Exhibit to such Statement.
JOINT FILING AGREEMENTJoint Filing Agreement • December 20th, 2010 • Western Investment LLC
In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of Amendment No. 2 to the Schedule 13D originally filed on February 18, 2010 (including additional amendments thereto) with respect to the shares of Common Stock, $0.01 Par Value, of TS&W/Claymore Tax-Advantaged Balanced Fund. This Joint Filing Agreement shall be filed as an Exhibit to such Statement.
JOINT FILING AND SOLICITATION AGREEMENTJoint Filing and Solicitation Agreement • April 28th, 2010 • Western Investment LLC
WHEREAS, certain of the undersigned are stockholders, direct or beneficial, of TS&W / Claymore Tax-Advantaged Balanced Fund (the “Fund”);
JOINT FILING AGREEMENTJoint Filing Agreement • July 2nd, 2010 • Western Investment LLC
In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D, dated July 2, 2010 (including amendments thereto), with respect to the securities of RiverSource LaSalle International Real Estate Fund, Inc. This Joint Filing Agreement shall be filed as an Exhibit to such Statement.
COMPROMISE AND STANDSTILL AGREEMENTCompromise and Standstill Agreement • April 25th, 2011 • Western Investment LLC • Massachusetts
This Compromise and Standstill Agreement (this “Agreement”) is made and entered into effective as of the 25th day of April 2011 by and among Hambrecht & Quist Capital Management LLC (“Hambrecht & Quist”), on the one hand, and Arthur D. Lipson, Western Investment LLC, Western Investment Hedged Partners L.P., Western Investment Activism Partners LLC, Western Investment Total Return Partners L.P., Western Investment Total Return Fund Ltd., Robert Ferguson, Scott Franzblau, Benchmark Plus Institutional Partners, L.L.C., Benchmark Plus Partners, L.L.C. and Benchmark Plus Management, L.L.C., on the other hand. Mr. Lipson, Western Investment LLC, Western Investment Hedged Partners L.P., Western Investment Activism Partners LLC, Western Investment Total Return Partners L.P., Western Investment Total Return Fund Ltd., Mr. Ferguson, Mr. Franzblau, Benchmark Plus Institutional Partners, L.L.C., Benchmark Plus Partners, L.L.C., and Benchmark Plus Management, L.L.C., and each of their officers, dir
JOINT FILING AND SOLICITATION AGREEMENT JOINDER AGREEMENTJoint Filing and Solicitation Agreement • March 6th, 2008 • Western Investment LLC
WHEREAS, Western Investment LLC, Western Investment Hedged Partners, L.P., Western Investment Activism Partners LLC, Western Investment Total Return Fund Ltd., Western Investment Total Return Partners L.P., Arthur D. Lipson, William J. Roberts and Matthew Crouse entered into a Joint Filing and Solicitation Agreement on January 22, 2008 (the “Agreement”) for the purpose of seeking representation on the Board of Directors of Cohen & Steers REIT and Utility Income Fund, Inc., a Maryland corporation (the “Fund”);
JOINT FILING AGREEMENTJoint Filing Agreement • February 7th, 2011 • Western Investment LLC
In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D dated February 4, 2011 (including amendments thereto) with respect to the securities of Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund. This Joint Filing Agreement shall be filed as an Exhibit to such Statement.
AMENDED AND RESTATED JOINT FILING AND SOLICITATION AGREEMENTJoint Filing and Solicitation Agreement • June 1st, 2010 • Western Investment LLC
WHEREAS, certain of the undersigned are stockholders, direct or beneficial, of DWS Global High Income Fund, Inc., a Maryland corporation (the “Fund”);
AMENDMENT NO. 1 TO AGREEMENTTo Agreement • May 15th, 2017 • Western Investment LLC
Amendment No. 1 (the “Amendment”), dated as of May 12, 2017, to that certain Agreement, dated July 22, 2016 (including the exhibits thereto, the “Agreement”), by and among Arthur D. Lipson, Robert Ferguson, Western Investment LLC, Western Investment Hedged Partners L.P., Western Investment Total Return Partners L.P., Benchmark Plus Institutional Partners L.L.C. and Benchmark Plus Management, L.L.C., and all of their respective directors, officers and Affiliates (as defined herein) (collectively, “Western”) and Advent Claymore Convertible Securities and Income Fund (“AVK”), Advent Claymore Convertible Securities and Income Fund II (“AGC”) and Advent/Claymore Enhanced Growth & Income Fund (“LCM”, and together with AVK and AGC, each a “Trust,” and together the “Trusts”) (the Trusts, together with Western, the “Parties” and individually a “Party”).
AMENDED AND RESTATED JOINT FILING AND SOLICITATION AGREEMENTJoint Filing and Solicitation Agreement • February 9th, 2010 • Western Investment LLC
WHEREAS, certain of the undersigned are stockholders, direct or beneficial, of DWS Dreman Value Income Edge Fund, Inc. (the “Fund”);
JOINT FILING AGREEMENTJoint Filing Agreement • December 17th, 2010 • Western Investment LLC
In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D dated December 17, 2010 (including amendments thereto) with respect to the securities of LMP Capital and Income Fund Inc. This Joint Filing Agreement shall be filed as an Exhibit to such Statement.
JOINT FILING AND SOLICITATION AGREEMENT JOINDER AGREEMENTJoint Filing and Solicitation Agreement • August 26th, 2008 • Western Investment LLC
WHEREAS, Western Investment LLC, Western Investment Hedged Partners L.P., Western Investment Activism Partners LLC, Western Investment Total Return Partners L.P., Arthur D. Lipson, Benchmark Plus Institutional Partners, L.L.C., Benchmark Plus Management, L.L.C., Scott Franzblau, Robert Ferguson, William J. Roberts, Gary G. Schlarbaum and Robert A. Wood entered into a Joint Filing and Solicitation Agreement on June 6, 2008 (the “Agreement”) for the purpose of seeking representation on the Board of Directors of DWS Global Commodities Stock Fund, Inc., a Maryland corporation (the “Fund”);
JOINT FILING AND SOLICITATION AGREEMENTJoint Filing and Solicitation Agreement • June 6th, 2008 • Western Investment LLC
WHEREAS, certain of the undersigned are stockholders, direct or beneficial, of DWS Global Commodities Stock Fund, Inc., a Maryland corporation (the “Fund”);
JOINT FILING AGREEMENTJoint Filing Agreement • July 25th, 2016 • Western Investment LLC
In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the shares of Common Stock, $0.001 par value, of Advent/Claymore Enhanced Growth & Income Fund, a Delaware statutory trust. This Joint Filing Agreement shall be filed as an Exhibit to such Statement.
JOINT FILING AGREEMENTJoint Filing Agreement • September 25th, 2008 • Western Investment LLC
In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13G dated September 25, 2008 (including amendments thereto) with respect to the Common Stock of Eaton Vance National Municipal Income Trust. This Joint Filing Agreement shall be filed as an Exhibit to such Statement.
JOINT FILING AND SOLICITATION AGREEMENTJoint Filing and Solicitation Agreement • January 25th, 2008 • Western Investment LLC
WHEREAS, certain of the undersigned are stockholders, direct or beneficial, of Pioneer Municipal and Equity Income Trust, a Delaware trust (the “Trust”);
JOINT FILING AGREEMENTJoint Filing Agreement • February 29th, 2016 • Western Investment LLC
In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the shares of Common Stock, $0.01 par value, of Deutsche Multi-Market Income Trust, a Massachusetts business trust. This Joint Filing Agreement shall be filed as an Exhibit to such Statement.
JOINT FILING AND SOLICITATION AGREEMENT JOINDER AGREEMENTJoint Filing and Solicitation Agreement • April 9th, 2009 • Western Investment LLC
WHEREAS, Western Investment LLC, Western Investment Hedged Partners L.P., Western Investment Activism Partners LLC, Western Investment Total Return Partners L.P., Arthur D. Lipson, Matthew S. Crouse, William J. Roberts, Gary G. Schlarbaum and Robert A. Wood entered into a Joint Filing and Solicitation Agreement on March 2, 2009 (the “Agreement”) for the purpose of seeking representation on the Board of Directors of Neuberger Berman Income Opportunity Fund Inc., a Maryland corporation (the “Fund”);
JOINT FILING AND SOLICITATION AGREEMENTJoint Filing and Solicitation Agreement • January 12th, 2012 • Western Investment LLC
WHEREAS, certain of the undersigned are shareholders, direct or beneficial, of Macquarie Global Infrastructure Total Return Fund Inc., a Maryland corporation (the “Company”);
JOINDER AGREEMENTJoinder Agreement • August 5th, 2016 • Western Investment LLC
This JOINDER AGREEMENT (the “Joinder”) is dated as of August 4, 2016 by and among Western Investment Hedged Partners L.P., a Delaware limited partnership, Western Investment Total Return Partners L.P., a Delaware limited partnership, Western Investment LLC, a Delaware limited liability company (“Western Investment”), Arthur D. Lipson, Benchmark Plus Institutional Partners, L.L.C., a Delaware limited liability company, Benchmark Plus Management, L.L.C., a Delaware limited liability company, Robert Ferguson and Matthew Crouse and Neil Chelo (collectively, the “Existing Members”) and Lynn D. Schultz (the “New Member”).
AMENDED AND RESTATED JOINT FILING AND SOLICITATION AGREEMENTJoint Filing and Solicitation Agreement • August 6th, 2009 • Western Investment LLC
WHEREAS, certain of the undersigned are stockholders, direct or beneficial, of DWS Global Commodities Stock Fund, Inc., a Maryland corporation (the “Fund”);
JOINT FILING AGREEMENTJoint Filing Agreement • November 26th, 2007 • Western Investment LLC
In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D filed on November 26, 2007 (including amendments thereto) with respect to the Common Stock of Cohen & Steers Select Utility Fund, Inc. This Joint Filing Agreement shall be filed as an Exhibit to such Statement.
JOINT FILING AND SOLICITATION AGREEMENT JOINDER AGREEMENTJoint Filing and Solicitation Agreement • May 10th, 2010 • Western Investment LLC
WHEREAS, Western Investment LLC (“Western Investment”), Western Investment Hedged Partners L.P., a Delaware limited partnership, Western Investment Total Return Partners L.P., a Delaware limited partnership, Western Investment Total Return Fund Ltd., a Cayman Islands corporation, Arthur D. Lipson, Robert H. Daniels, Gregory R. Dube and Neil Chelo entered into a Joint Filing and Solicitation Agreement on February 26, 2010 (the “Agreement”) for the purpose of soliciting proxies or written consents for the election of the persons nominated by Western Investment to the Board of Directors at the 2010 annual meeting of shareholders of DWS RREEF World Real Estate & Tactical Strategies Fund, Inc., a Maryland corporation (the “Fund”), and for the shareholder proposal submitted by Western Investment to the Fund to be voted on by shareholders at the 2010 annual meeting;
JOINT FILING AND SOLICITATION AGREEMENT JOINDER AGREEMENTJoint Filing and Solicitation Agreement • May 18th, 2010 • Western Investment LLC
WHEREAS, Western Investment LLC (“Western Investment”), a Delaware limited liability company, Western Investment Hedged Partners L.P., a Delaware limited partnership, Western Investment Total Return Partners L.P., a Delaware limited partnership, Western Investment Total Return Fund Ltd., a Cayman Islands corporation, Arthur D. Lipson, Robert H. Daniels, Gregory R. Dube and Neil Chelo entered into a Joint Filing and Solicitation Agreement on February 26, 2010 (the “Agreement”) for the purpose of soliciting proxies or written consents for the election of the persons nominated by Western Investment to the Board of Directors at the 2010 annual meeting of shareholders of DWS RREEF World Real Estate & Tactical Strategies Fund, Inc., a Maryland corporation (the “Fund”), and for the shareholder proposal submitted by Western Investment to the Fund to be voted on by shareholders at the 2010 annual meeting;
