ARTICLE 1 Agreement and Declaration of Trust and Principal OfficePIMCO Floating Rate Strategy Fund • March 27th, 2009
PIMCO FLOATING RATE STRATEGY FUND AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST October 5, 2004Agreement and Declaration of Trust • October 22nd, 2004 • PIMCO Floating Rate Strategy Fund • Massachusetts
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST made this 5th day of October, 2004, by the Trustees hereunder, and by the holders of shares of beneficial interest to be issued hereunder as hereinafter provided, amending and restating the Agreement and Declaration of Trust made at Boston, Massachusetts the 30th day of June, 2004, for the purposes of eliminating references to the sole initial trustee and adding additional trustees as signatories hereto.
PIMCO INCOME STRATEGY FUND II COMMON SHARES CAPITAL ON DEMAND™ AMENDED AND RESTATED SALES AGREEMENTSales Agreement • June 7th, 2019 • PIMCO Income Strategy Fund II • New York
PIMCO Income Strategy Fund II, an unincorporated voluntary association with transferable shares organized and existing under and by virtue of the laws of The Commonwealth of Massachusetts (commonly referred to as a Massachusetts business trust) (the “Fund”), and Pacific Investment Management Company LLC, a Delaware limited liability company (the “Manager”), previously entered into a Capital on Demand™ Sales Agreement with JonesTrading Institutional Services LLC (“Jones”), dated September 7, 2018 (the “Original Agreement”). The Original Agreement is hereby amended and restated as follows (this “Agreement”):
AMENDED AND RESTATED BYLAWS of PIMCO FLOATING RATE STRATEGY FUND (Dated as of October 5, 2004)PIMCO Floating Rate Strategy Fund • October 22nd, 2004
—] Common Shares Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • March 15th, 2010 • PIMCO Income Strategy Fund II • New York
Each of [PIMCO Income Strategy Fund (formerly, PIMCO Floating Rate Income Fund) / PIMCO Income Strategy Fund II (formerly, PIMCO Floating Rate Strategy Fund)], a voluntary association with transferable shares organized and existing under and by virtue of the laws of The Commonwealth of Massachusetts (commonly referred to as a Massachusetts business trust) (the “Fund”), and Allianz Global Investors Fund Management LLC (the “Investment Manager”), hereby confirms the agreement with and appointment of UBS Securities LLC to act as dealer manager (the “Dealer Manager”) in connection with the issuance by the Fund to the holders 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”) of transferable rights entitling such Record Date Shareholders to subscribe for up to [—] shares (each a “Share” and, collectively, the “Shares”) of common shares of beneficial interest, par value $0.00001 per share
INVESTMENT MANAGEMENT AGREEMENT PIMCO Floating Rate Strategy FundInvestment Management Agreement • October 22nd, 2004 • PIMCO Floating Rate Strategy Fund
This Investment Management Agreement is executed as of October 19, 2004 by and between PIMCO FLOATING RATE STRATEGY FUND, a Massachusetts business trust (the “Fund”), and PA FUND MANAGEMENT LLC, a Delaware limited liability company (the “Manager”).
SUPPORT SERVICES AGREEMENTSupport Services Agreement • August 31st, 2018 • PIMCO Income Strategy Fund II • New York
AGREEMENT made on April 4, 2012, as amended May 23, 2012 and January 4, 2013, and as further amended this 5th day of September, 2014, by and between PIMCO Investments LLC, a Delaware limited liability company (“PI”) and each of the investment companies listed on Appendix A hereto (each a “Fund” and, collectively, the “Funds”), in each case acting and agreeing with PI severally and neither jointly nor jointly and severally with any other Fund.
TRANSFER AGENCY SERVICES AGREEMENTTransfer Agency Services Agreement • October 22nd, 2004 • PIMCO Floating Rate Strategy Fund
THIS AGREEMENT is made as of , 2004 by and between PFPC INC., a Massachusetts corporation (“PFPC”), and PIMCO FLOATING RATE STRATEGY FUND, a Massachusetts business trust (the “Fund”).
CUSTODIAN AND INVESTMENT ACCOUNTING AGREEMENTCustodian and Investment Accounting Agreement • October 22nd, 2004 • PIMCO Floating Rate Strategy Fund • Massachusetts
This Agreement between PIMCO FLOATING RATE STRATEGY FUND, a business trust organized and existing under the laws of Massachusetts (the “Fund”), and STATE STREET BANK and TRUST COMPANY, a Massachusetts trust company (the “State Street”),
AMENDMENT TO CUSTODIAN AGREEMENTSCustodian Agreements • August 31st, 2018 • PIMCO Income Strategy Fund II
THIS AMENDMENT is made as of the close of business on the 5th day of September, 2014 (the “Amendment”), by and among State Street Bank and Trust Company (“State Street”), each investment company listed on Schedule A hereto (each, a “Fund” and, together, the “Funds”) and Pacific Investment Management Company LLC (“PIMCO”).
TRANSFER AGENCY AND REGISTRAR SERVICES AGREEMENTTransfer Agency and Registrar Services Agreement • August 31st, 2018 • PIMCO Income Strategy Fund II • New York
This Transfer Agency and Registrar Services Agreement (this “Agreement”), dated as of April 19, 2016 is between Pacific Investment Management Company LLC, a Delaware limited liability company (“PIMCO”), on behalf of each of the funds listed on Exhibit A (each a “Company” and collectively the “Companies”) and American Stock Transfer & Trust Company, LLC, a New York limited liability trust company (“AST”).
PIMCO FLOATING RATE STRATEGY FUND Subscription AgreementSubscription Agreement • October 22nd, 2004 • PIMCO Floating Rate Strategy Fund
This Agreement made as of October 19, 2004, by and between PIMCO Floating Rate Strategy Fund, a Massachusetts business trust (the “Fund”), and Allianz Dresdner Asset Management of America L.P. (the “Subscriber”);
TENDER OFFER AGREEMENTTender Offer Agreement • November 24th, 2020 • PIMCO Income Strategy Fund II • New York
This Agreement (“Agreement”) is made and entered into as of the 14th day of June, 2019, by and among PIMCO Corporate & Income Opportunity Fund (“PTY”), PIMCO Corporate & Income Strategy Fund (“PCN”), PIMCO Income Strategy Fund (“PFL”), PIMCO Income Strategy Fund II (“PFN”) and PIMCO High Income Fund (“PHK” and, together with PTY, PCN, PFL and PFN each, a “Fund” and, collectively, the “Funds”), Pacific Investment Management Company LLC (“PIMCO” and, together with the Funds, the “Fund Parties”) and RiverNorth Capital Management, LLC, on behalf of the investment funds and accounts it manages (collectively, the “RiverNorth Parties”).
AMENDED AND RESTATED SUPPORT SERVICES AGREEMENTSupport Services Agreement • November 24th, 2020 • PIMCO Income Strategy Fund II • New York
This AMENDED AND RESTATED AGREEMENT is made on this 8th day of October, 2020, by and between PIMCO Investments LLC, a Delaware limited liability company (“PI”), and each of the investment companies listed on Appendix A hereto (each a “Fund” and, collectively, the “Funds”), in each case acting and agreeing with PI severally and neither jointly nor jointly and severally with any other Fund.
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • August 31st, 2018 • PIMCO Income Strategy Fund II • California
INVESTMENT MANAGEMENT AGREEMENT, made this 5th day of September, 2014, between each closed-end management investment company listed on Schedule A attached hereto and made a part hereof, as such Schedule A may be amended from time to time, including to add or remove Funds (each a “Fund” and, collectively, the “Funds”), and Pacific Investment Management Company LLC (“PIMCO”).
Merrill Lynch & Co. Merrill Lynch, Pierce, Fenner & Smith Incorporated Merrill Lynch World Headquarters 4 World Financial Center New York, N.Y. 10800 STANDARD DEALER AGREEMENTStandard Dealer Agreement • October 22nd, 2004 • PIMCO Floating Rate Strategy Fund
In connection with public offerings of securities underwritten by us, or by a group of underwriters (the “Underwriters”) represented by us, you may be offered the opportunity to purchase a portion of such securities, as principal, at a discount from the offering price representing a selling concession or reallowance granted as consideration for services rendered by you in the sale of such securities. We request that you agree to the following terms and provisions, and make the following representations, which, together with any additional terms and provisions set forth in any wire or letter sent to you in connection with a particular offering, will govern all such purchases of securities and the reoffering thereof by you.
CUSTODIAN AND INVESTMENT ACCOUNTING AGREEMENTInvestment Accounting Agreement • August 31st, 2018 • PIMCO Income Strategy Fund II • Massachusetts
This Agreement between PIMCO FLOATING RATE STRATEGY FUND, a business trust organized and existing under the laws of Massachusetts (the “Fund”), and STATE STREET BANK and TRUST COMPANY, a Massachusetts trust company (the “State Street”),
PIMCO Floating Rate Strategy Fund (a Massachusetts business trust) [ ] Common Shares of Beneficial Interest (Par Value $.00001 Per Share) FORM OF PURCHASE AGREEMENTPurchase Agreement • October 22nd, 2004 • PIMCO Floating Rate Strategy Fund • New York
SUBSCRIPTION AGENCY AGREEMENTSubscription Agency Agreement • March 15th, 2010 • PIMCO Income Strategy Fund II • Massachusetts
Agreement made as of the _th day of March, 2010 between PIMCO Income Strategy Fund II (PFN) with principal offices at 1345 Avenue of the Americas, New York, New York 10105 (the “Fund”) and The Colbent Corporation with principal offices at 161 Bay State Drive Braintree, Massachusetts 02184 (“Colbent”).
TENDER OFFER AND STANDSTILL AGREEMENTTender Offer and Standstill Agreement • September 18th, 2014 • PIMCO Income Strategy Fund II • New York
This Agreement (“Agreement”) is made and entered into as of the 18th day of September, 2014, by and among PIMCO Income Strategy Fund (“PFL”), PIMCO Income Strategy Fund II (“PFN” and, together with PFL, each a “Fund” and, collectively, the “Funds”), Allianz Global Investors Fund Management LLC (“AGIFM”), Pacific Investment Management Company LLC (“PIMCO” and, together with PFL, PFN and AGIFM, the “Fund Parties”) and Brigade Capital Management, LP (“Brigade Capital”), Brigade Leveraged Capital Structures Fund Ltd. (“Brigade Fund”) and Donald E. Morgan, III (“Morgan” and, together with Brigade Capital and Brigade Fund, the “Brigade Parties”).
MASTER AGREEMENT AMONG UNDERWRITERSMaster Agreement Among Underwriters • October 22nd, 2004 • PIMCO Floating Rate Strategy Fund • New York
This Agreement, as amended or supplemented by the Invitation, shall become effective with respect to our participation in an offering of securities if you receive our oral or written acceptance and you do not receive a written communication revoking our acceptance prior to the time and date specified in the Invitation (our unrevoked acceptance after expiration of such time and date being hereinafter referred to as our “Acceptance”). Our Acceptance will constitute our confirmation that, except as otherwise stated in such Acceptance, each statement included in the Master Underwriters’ Questionnaire set forth as Exhibit A hereto (or otherwise furnished to us) is correct. The issuer of the securities in any offering of securities made pursuant to this Agreement is hereinafter referred to as the “Issuer”. If the Purchase Agreement does not provide for an over-allotment option, the securities to be purchased are hereinafter referred to as the “Securities”; if the Purchase Agreement provides
FIRST AMENDMENT TO AMENDED AND RESTATED SALES AGREEMENTSales Agreement • November 24th, 2020 • PIMCO Income Strategy Fund II • New York
This FIRST AMENDMENT TO AMENDED AND RESTATED SALES AGREEMENT (this “Amendment”) is made and entered into with effect this 11th day of March, 2020, by PIMCO Income Strategy Fund II, an unincorporated voluntary association with transferable shares organized and existing under and by virtue of the laws of the Commonwealth of Massachusetts (commonly referred to as a Massachusetts business trust) (the “Fund”), Pacific Investment Management Company LLC, a Delaware limited liability company (the “Manager”), and JonesTrading Institutional Services LLC (“Jones”). Capitalized terms used but not otherwise defined herein shall have the meanings given to them in the Agreement (as defined below).
ADDITIONAL COMPENSATION AGREEMENT October [ ], 2004Additional Compensation Agreement • October 26th, 2004 • PIMCO Floating Rate Strategy Fund • New York
ContractPIMCO Income Strategy Fund II • March 15th, 2010 • New York
This will serve as the agreement between The Altman Group, Inc. (“The Altman Group”), with offices at 60 E. 42nd Street, Suite 916, New York, NY 10165 and PIMCO Income Strategy Fund II (the “Fund”), with offices at 1345 Avenue of the Americas, New York, NY 10105, pursuant to which The Altman Group will serve the Fund as Information Agent for the upcoming Rights Offering (the “Offer”).
PORTFOLIO MANAGEMENT AGREEMENT PIMCO Floating Rate Strategy FundPortfolio Management Agreement • October 22nd, 2004 • PIMCO Floating Rate Strategy Fund
This Portfolio Management Agreement is executed as of October 19, 2004 by and between PA FUND MANAGEMENT LLC, a Delaware limited liability company (the “Manager”), and PACIFIC INVESTMENT MANAGEMENT COMPANY LLC, a Delaware limited liability company (the “Portfolio Manager”).
ORGANIZATIONAL AND OFFERING EXPENSES REIMBURSEMENT AGREEMENTOrganizational And • October 22nd, 2004 • PIMCO Floating Rate Strategy Fund
AGREEMENT made this 19 day of October, 2004, by and between PIMCO FLOATING RATE STRATEGY FUND, a Massachusetts business trust (the “Fund”), and PA FUND MANAGEMENT LLC, a Delaware limited liability company (the “Adviser”).
PIMCO CORPORATE & INCOME OPPORTUNITY FUND PIMCO DYNAMIC CREDIT AND MORTGAGE INCOME FUNDPIMCO Income Strategy Fund II • November 24th, 2020
PIMCO FLOATING RATE STRATEGY FUND AMENDMENT NO. 1 TO THE AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUSTAgreement and Declaration • March 15th, 2010 • PIMCO Income Strategy Fund II
The undersigned, being at least a majority of the Trustees of PIMCO Floating Rate Strategy Fund (the “Trust”), hereby amend the Trust’s Amended and Restated Agreement and Declaration of Trust dated October 5, 2004 (the “Declaration of Trust”), a copy of which is on file in the office of the Secretary of State of the Commonwealth of Massachusetts, as follows:
PIMCO FLOATING RATE STRATEGY FUND DEUTSCHE BANK TRUST COMPANY AMERICAS, as Auction AgentBroker-Dealer Agreement • December 15th, 2004 • PIMCO Floating Rate Strategy Fund • New York
We are a Broker-Dealer for (the “Purchaser”), which purchased Series AMPS of PIMCO FLOATING RATE STRATEGY FUND in the Auction held on from the seller of such shares.
TENDER OFFER AND STANDSTILL AGREEMENTTender Offer and Standstill Agreement • September 19th, 2014 • PIMCO Income Strategy Fund II • New York
This Agreement (“Agreement”) is made and entered into as of the 18th day of September, 2014, by and among PIMCO Income Strategy Fund (“PFL”), PIMCO Income Strategy Fund II (“PFN” and, together with PFL, each a “Fund” and, collectively, the “Funds”), Allianz Global Investors Fund Management LLC (“AGIFM”), Pacific Investment Management Company LLC (“PIMCO” and, together with PFL, PFN and AGIFM, the “Fund Parties”) and Brigade Capital Management, LP (“Brigade Capital”), Brigade Leveraged Capital Structures Fund Ltd. (“Brigade Fund”) and Donald E. Morgan, III (“Morgan” and, together with Brigade Capital and Brigade Fund, the “Brigade Parties”).
SECOND AMENDED AND RESTATED BYLAWS of PIMCO FLOATING RATE STRATEGY FUND (Dated as of December 14, 2004) ARTICLE 1 Agreement and Declaration of Trust and Principal OfficePIMCO Floating Rate Strategy Fund • December 16th, 2004
If a security is not rated by Fitch Ratings but is rated by two other Rating Agencies, then the lower of the ratings on the security from the two other Rating Agencies will be used to determine the Fitch Discount Factor (e.g., where the S&P rating is A- and the Moody’s rating is Baa1, a rating by Fitch Ratings of BBB+ will be used). If a security is not rated by Fitch Ratings but is rated by only one other Rating Agency, then the rating on the security from the other Rating Agency will be used to determine the Fitch Discount Factor (e.g., where the only rating on a security is an S&P rating of AAA, a rating by Fitch Ratings of AAA will be used, and where the only rating on a security is a Moody’s rating of Ba3, a rating by Fitch Ratings of BB- will be used). If a security is not rated by any Rating Agency, the Trust will treat the security as if it were below investment grade.
AUCTION AGENCY AGREEMENT dated as of , 2004 Relating to Auction Market Preferred Shares Series M, Series T, Series W, Series TH and Series F Of PIMCO FLOATING RATE STRATEGY FUNDAuction Agency Agreement • December 15th, 2004 • PIMCO Floating Rate Strategy Fund • New York
We are a Broker-Dealer for (the “Purchaser”), which purchased Series AMPS of PIMCO FLOATING RATE STRATEGY FUND in the Auction held on from the seller of such shares.
TENDER OFFER AGREEMENTTender Offer Agreement • November 24th, 2020 • PIMCO Income Strategy Fund II • New York
This Agreement (“Agreement”) is made and entered into as of the 13th day of June, 2019, by and among PIMCO Corporate & Income Opportunity Fund (“PTY”), PIMCO Corporate & Income Strategy Fund (“PCN”), PIMCO Income Strategy Fund (“PFL”), PIMCO Income Strategy Fund II (“PFN”) and PIMCO High Income Fund (“PHK” and, together with PTY, PCN, PFL and PFN each, a “Fund” and, collectively, the “Funds”), Pacific Investment Management Company LLC (“PIMCO” and, together with the Funds, the “Fund Parties”) and RJ Securities, Inc. (“Raymond James”).
ADDITIONAL COMPENSATION AGREEMENTAdditional Compensation Agreement • October 22nd, 2004 • PIMCO Floating Rate Strategy Fund • New York
ADDITIONAL COMPENSATION AGREEMENT (the “Agreement”), dated as of October [ ], 2003, between Merrill Lynch & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”) and PA Fund Management LLC (“PAFM”).
