MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED MASTER AGREEMENT AMONG UNDERWRITERS REGISTERED SEC OFFERINGS (INCLUDING MULTIPLE SYNDICATE OFFERINGS) AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Agreement • October 25th, 2010 • Guggenheim Build America Bonds Managed Duration Trust • New York
This Master Agreement Among Underwriters (this “Master AAU”), dated as of October 5, 2009, is by and between Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch” 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
CUSTODY AGREEMENTCustody Agreement • September 3rd, 2019 • Guggenheim Taxable Municipal Managed Duration Trust • New York
AGREEMENT, dated as of October 26, 2010 between Guggenheim Build America Bonds Managed Duration Trust, a statutory trust organized and existing under the laws of the State of Delaware having its principal office and place of business at 2455 Corporate West Drive, Lisle, Illinois 60532 (the “Fund”) and The Bank of New York Mellon, a New York corporation authorized to do a banking business having its principal office and place of business at 101 Barclay 11E, New York, New York 10286 (“Custodian”).
GUGGENHEIM TAXABLE MUNICIPAL MANAGED DURATION TRUST AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST DATED AS OF AUGUST 27, 2020Agreement and Declaration of Trust • November 20th, 2020 • Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust • Delaware
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST made as of the 27th day of August, 2020, by the Trustees hereunder, and by the holders of shares of beneficial interest issued hereunder as hereinafter provided.
STOCK TRANSFER AGENCY AGREEMENT between GUGGENHEIM BUILD AMERICA BONDS MANAGED DURATION TRUST and THE BANK OF NEW YORK MELLON Dated as of October 26, 2010 ACCOUNT NUMBER(S) ___________________________Stock Transfer Agency Agreement • October 25th, 2010 • Guggenheim Build America Bonds Managed Duration Trust • New York
AGREEMENT, made as of October 26, 2010, by and between GUGGENHEIM BUILD AMERICA BONDS MANAGED DURATION TRUST, a statutory trust organized and existing under the laws of the State of Delaware (hereinafter referred to as the “Customer”), and THE BANK OF NEW YORK MELLON, a New York trust company (hereinafter referred to as the “Bank”).
FOREIGN CUSTODY MANAGER AGREEMENTForeign Custody Manager Agreement • September 3rd, 2019 • Guggenheim Taxable Municipal Managed Duration Trust • New York
AGREEMENT made as of October 26, 2010 by and between Guggenheim Build America Bonds Managed Duration Trust (the “Fund”) and The Bank of New York Mellon (“BNY”).
FORM OF MERRILL LYNCH STANDARD DEALER AGREEMENT Merrill Lynch & Co. Merrill Lynch, Pierce, Fenner & Smith Incorporated Merrill Lynch World Headquarters New York, N.Y. 10800 FORM OF STANDARD DEALER AGREEMENTDealer Agreement • October 25th, 2010 • Guggenheim Build America Bonds Managed Duration Trust • New York
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.
Controlled Equity OfferingSM Sales AgreementSales Agreement • October 16th, 2019 • Guggenheim Taxable Municipal Managed Duration Trust • New York
Guggenheim Taxable Municipal Managed Duration Trust, a statutory trust organized under the laws of the State of Delaware (the “Fund”), and Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”), confirm their agreement (this “Agreement”) with Cantor Fitzgerald & Co. (“CF&Co”), as follows:
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • June 21st, 2023 • Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust • Delaware
THIS INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”), dated as of April 29, 2022, among Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust, a Delaware statutory trust (the “Trust”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”), and Guggenheim Partners Advisors, LLC, a Delaware limited liability company (the “Sub-Adviser”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • September 3rd, 2019 • Guggenheim Taxable Municipal Managed Duration Trust • Delaware
THIS INVESTMENT ADVISORY AGREEMENT (the “Agreement”), dated as of October 26, 2010, between Guggenheim Build America Bonds Managed Duration Trust, a Delaware statutory trust (the “Trust”), and Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”).
FUND ADMINISTRATION AGREEMENTFund Administration Agreement • September 3rd, 2019 • Guggenheim Taxable Municipal Managed Duration Trust • Delaware
AGREEMENT made as of this 14th day of May, 2013, by and between each closed-end registered investment company listed on Schedule A hereto (as amended from time to time), (each individually referred to below as a “Trust”) and Rydex Fund Services, LLC (“RFS” or the “Administrator”), a Maryland limited liability company having its principal place of business at 805 King Farm Boulevard, Rockville, MD 20850.
FUND ACCOUNTING AGREEMENTFund Accounting Agreement • September 3rd, 2019 • Guggenheim Taxable Municipal Managed Duration Trust • Delaware
This AGREEMENT is made as of this 1st day of June, 2013, between Guggenheim Build America Bonds Managed Duration Trust (the "Trust"), a Delaware statutory trust having its principal place of business at 2455 Corporate West Drive, Lisle, Illinois 60532, and Rydex Fund Services, LLC ("RFS"), a Maryland limited liability company having its principal place of business at 805 King Farm Boulevard, Rockville, MD 20850.
Guggenheim Build America Bonds Managed Duration Trust (a Delaware statutory trust) [___] Common Shares (Par Value $.01 per share) UNDERWRITING AGREEMENTUnderwriting Agreement • October 25th, 2010 • Guggenheim Build America Bonds Managed Duration Trust • New York
Guggenheim Build America Bonds Managed Duration Trust, a Delaware statutory trust (the "Trust") and the Trust’s investment adviser, Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the "Investment Adviser") and its investment sub-adviser, Guggenheim Partners Asset Management, LLC, a Delaware limited liability company (the "Sub-Adviser" and together with the Investment Adviser, the "Advisers") each confirms its agreement with Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch"), [additional underwriters] and each of the other Underwriters named in Schedule A hereto (collectively, the "Underwriters," which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Merrill Lynch, [additional underwriters] are acting as representatives (in such capacity, the "Representatives"), with respect to the issue and sale by the Trust and the purchase by the Underwriters, acting severally and not jointly
AMENDMENT TO FUND ADMINISTRATION AGREEMENTFund Administration Agreement • September 3rd, 2019 • Guggenheim Taxable Municipal Managed Duration Trust
This AMENDMENT (this “Amendment”) is made and entered into, as of this 27th day of July, 2016, by and between Rydex Fund Services, LLC (“RFS”) and each of Fiduciary/Claymore MLP Opportunity Fund (FMO); Guggenheim Build America Bonds Managed Duration Trust (GBAB); Guggenheim Energy & Income Fund (GEI); Guggenheim Equal Weight Enhanced Equity Income Fund (GEQ); Guggenheim Enhanced Equity Strategy Fund (GGE); Guggenheim Credit Allocation Fund (GGM); Guggenheim Strategic Opportunities Fund (GOF); and
AMENDMENT TO FUND ACCOUNTING AGREEMENTFund Accounting Agreement • September 3rd, 2019 • Guggenheim Taxable Municipal Managed Duration Trust
This AMENDMENT (this “Amendment”) is made and entered into, as of this 27th day of July, 2016, by and between Rydex Fund Services, LLC (“RFS”) and Guggenheim Build America Bonds Managed Duration Trust (the “Trust”).
ADMINISTRATION AGREEMENTAdministration Agreement • October 25th, 2010 • Guggenheim Build America Bonds Managed Duration Trust • Delaware
Agreement made as of ___________, 2010, between Guggenheim Build America Bonds Managed Duration Trust, a Delaware statutory trust (the “Trust”), and Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Administrator”).
AMENDMENT TO FUND ACCOUNTING AGREEMENTSFund Accounting Agreements • November 20th, 2020 • Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust
This AMENDMENT (this “Amendment”) is made and entered into, as of this 27th day of August, 2020, by and between MUFG Investor Services (US), LLC (“MUIS”) and each of Fiduciary/Claymore Energy Infrastructure Fund (formerly, Fiduciary/Claymore MLP Opportunity Fund) (“FMO”); Guggenheim Taxable Municipal Managed Duration Trust (formerly, Guggenheim Build America Bonds Managed Duration Trust) (“GBAB”); Guggenheim Energy & Income Fund (“XGEIX”); Guggenheim Credit Allocation Fund (“GGM”); Guggenheim Strategic Opportunities Fund (“GOF”); and Guggenheim Enhanced Equity Income Fund (“GPM”) (each a “Trust” and collectively, the “Trusts”).
Transfer Agency and Service Agreement Between Each of the Guggenheim Closed-End Investment Companies Listed on Schedule 1 Attached Hereto and Computershare Inc. and Computershare Trust Company, N.A.Agency and Service Agreement • September 3rd, 2019 • Guggenheim Taxable Municipal Managed Duration Trust • New York
THIS TRANSFER AGENCY AND SERVICE AGREEMENT, effective as of December 1, 2015 (“Effective Date”), is by and among each of the Guggenheim closed-end investment companies listed on Schedule 1 attached hereto, as may be amended from time to time (each a “Fund” and collectively the “Funds”) and each having its principal office and place of business at 227 West Monroe Street, Chicago, IL 60606, 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, “Agent”), each having a principal office and place of business at 250 Royall Street, Canton, Massachusetts 02021.
FUND ACCOUNTING AGREEMENTFund Accounting Agreement • October 25th, 2010 • Guggenheim Build America Bonds Managed Duration Trust • New York
AGREEMENT made as of this 26th day of October, 2010 by and between Guggenheim Build America Bonds Managed Duration Trust, a statutory trust organized and existing under the laws of the State of Delaware having its principal place of business at 2455 Corporate West Drive, Lisle, Illinois 60532 (hereinafter called the “Fund”) and The Bank of New York Mellon, a New York corporation authorized to do a banking business, having its principal place of business at 101 Barclay 11E, New York, New York 10286 (hereinafter called the “Bank”).
Guggenheim Taxable Municipal Managed Duration Trust Amended and Restated Agreement and Declaration of Trust Dated as of August 27, 2020Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust • August 9th, 2021 • Delaware
Amended and Restated Agreement and Declaration of Trust made as of the 27th day of August, 2020, by the Trustees hereunder, and by the holders of shares of beneficial interest issued hereunder as hereinafter provided.
GUGGENHEIM TAXABLE MUNICIPAL BOND & INVESTMENT GRADE DEBT TRUST COMMON SHARES (PAR VALUE $0.01 PER SHARE) SECOND AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT April 12, 2023Sales Agreement • April 21st, 2023 • Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust
THIS SECOND AMENDMENT (this “Second Amendment”) to the Sales Agreement (defined below) is entered into on and as of April 12, 2023, by and among Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (“CF&Co”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Second Amendment have the meanings ascribed thereto in the Sales Agreement.
AMENDMENT NO. 4Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust • November 20th, 2020 • New York
This AMENDMENT NO. 4 (this “Amendment”) is made as of June 15, 2020 among Guggenheim Taxable Municipal Managed Duration Trust (f/k/a Guggenheim Build America Bonds Managed Duration Trust), as borrower (the “Borrower”), Société Générale, New York Branch as lender (the “Lender”) and Société Générale, as agent (the “Agent”).
AMENDMENT NO. 3Guggenheim Taxable Municipal Managed Duration Trust • September 3rd, 2019 • New York
This AMENDMENT NO. 3 (this “Amendment”) is made as of June 15, 2018 among Guggenheim Taxable Municipal Managed Duration Trust (f/k/a Guggenheim Build America Bonds Managed Duration Trust), as borrower (the “Borrower”), Societe Generale, New York Branch as lender (the “Lender”) and Societe Generale, as agent (the “Agent”).
AMENDED AND RESTATED CLOSED-END FUND ACCOUNTING AND ADMINISTRATION AGREEMENTAccounting and Administration Agreement • December 21st, 2022 • Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust • New York
This AMENDED AND RESTATED FUND ACCOUNTING AND ADMINISTRATION AGREEMENT (the “Agreement”) is made as of this 24th day of October, 2022 by and between MUFG Investor Services (US), LLC (“MUIS”) and each closed-end registered investment company listed on Schedule A hereto (as amended from time to time), (each individually referred to below as a “Trust”) (each a “Trust” and collectively, the “Trusts”).
AMENDMENT TO FUND ADMINISTRATION AGREEMENTFund Administration Agreement • November 20th, 2020 • Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust
This AMENDMENT (this “Amendment”) is made and entered into, as of this 27th day of August, 2020, by and between MUFG Investor Services (US), LLC (“MUIS”) and each of Fiduciary/Claymore Energy Infrastructure Fund (formerly, Fiduciary/Claymore MLP Opportunity Fund) (“FMO”); Guggenheim Taxable Municipal Managed Duration Trust (formerly, Guggenheim Build America Bonds Managed Duration Trust) (“GBAB”); Guggenheim Energy & Income Fund (“XGEIX”); Guggenheim Credit Allocation Fund (“GGM”); Guggenheim Strategic Opportunities Fund (“GOF”); and Guggenheim Enhanced Equity Income Fund (“GPM”) (each a “Trust” and collectively, the “Trusts”).
AMENDMENT NO. 5Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust • November 20th, 2020 • New York
This AMENDMENT NO. 5 (this “Amendment”) is made as of September 1, 2020 among Guggenheim Taxable Municipal Managed Duration Trust (f/k/a Guggenheim Build America Bonds Managed Duration Trust), as borrower (the “Borrower”), Société Générale, New York Branch as lender (the “Lender”) and Société Générale, as agent (the “Agent”).
AMENDMENT NO. 6Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust • October 13th, 2022 • New York
This AMENDMENT NO. 6 (this “Amendment”) is made as of June 3, 2022 among Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust (f/k/a Guggenheim Taxable Municipal Managed Duration Trust and Guggenheim Build America Bonds Managed Duration Trust), as borrower (the “Borrower”), Société Générale, New York Branch as lender (the “Lender”) and Société Générale, as agent (the “Agent”).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • October 25th, 2010 • Guggenheim Build America Bonds Managed Duration Trust • New York
Reference is made to the Underwriting Agreement dated October [●], 2010 (the "Underwriting Agreement"), by and among Guggenheim Build America Bonds Managed Duration Trust (the "Trust"), Guggenheim Funds Investment Advisors, LLC (the "Adviser"), Guggenheim Partners Asset Management, LLC (the "Sub-Adviser," and together with the Adviser, the "Advisers") and each of the Underwriters named in Schedule A therein, severally, with respect to the issue and sale of the Trust’s Securities (the "Offering"), as described therein. Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
CREDIT AGREEMENTCredit Agreement • September 3rd, 2019 • Guggenheim Taxable Municipal Managed Duration Trust • New York
This CREDIT AGREEMENT is made as of February 27, 2015 among Guggenheim Build America Bonds Managed Duration Trust, a Delaware statutory trust (the “Borrower”), Société Générale, New York Branch, as lender (the “Lender”) and Société Générale, as agent (the “Agent”).
GUGGENHEIM TAXABLE MUNICIPAL BOND & INVESTMENT GRADE DEBT TRUST COMMON SHARES (PAR VALUE $0.01 PER SHARE) FIRST AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT February 1, 2021Sales Agreement • February 2nd, 2021 • Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust
THIS FIRST AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of February 1, 2021, by and among Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (“CF&Co”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.
AMENDMENT NO. 2Guggenheim Taxable Municipal Managed Duration Trust • September 3rd, 2019 • New York
This AMENDMENT NO 2 (this “Amendment”) is made as of March 15, 2018 among Guggenheim Taxable Municipal Managed Duration Trust (f/k/a Guggenheim Build America Bonds Managed Duration Trust), as borrower (the “Borrower”), Societe Generale, New York Branch as lender (the “Lender”) and Societe Generale, as agent (the “Agent”)
AMENDMENT NO. 1Guggenheim Taxable Municipal Managed Duration Trust • September 3rd, 2019 • New York
This AMENDMENT NO. 1 (this “Amendment’) is made as of February 27, 2017 among Guggenheim Taxable Municipal Managed Duration Trust (f/k/a Guggenheim Build America Bonds Managed Duration Trust, as borrower (the “Borrower”), Societe Generale, New York Branch as lender (the “Lender”) and Societe Generale, as agent (the “Agent”).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • October 25th, 2010 • Guggenheim Build America Bonds Managed Duration Trust • New York
This agreement is between Guggenheim Funds Investment Advisors, LLC (the "Adviser"), Guggenheim Partners Asset Management, LLC (the "Sub-Adviser," and together with the Adviser, the "Companies") and Morgan Stanley & Co. Incorporated ("Morgan Stanley") with respect to the Guggenheim Build America Bonds Managed Duration Trust (the "Trust").
FIRST AMENDMENT TO THE TRANSFER AGENCY AND SERVICE AGREEMENTThe Transfer Agency and Service Agreement • September 3rd, 2019 • Guggenheim Taxable Municipal Managed Duration Trust
This First Amendment (“Amendment”), effective as of March 20, 2017 (“Effective Date”) is to the Transfer Agency and Service Agreement (the “Agreement”) made as of December 1, 2015 by and between each of the Guggenheim closed-end investment companies listed on Schedule 1 attached hereto, as may be amended from time to time (each a "Fund" and collectively the "Funds”), and Computershare Inc. (“Computershare”) and Computershare Trust Company N.A., (“Trust Company”, and together with Computershare, “Agent”). Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to such terms in the Agreement.
SUBSCRIPTION AGREEMENTSubscription Agreement • September 30th, 2010 • Guggenheim Build America Bonds Managed Duration Trust
THIS SUBSCRIPTION AGREEMENT is entered into as of the 14th day of September, 2010, between Guggenheim Build America Bonds Managed Duration Trust, a statutory trust organized and existing under the laws of Delaware (the “Trust”), and Claymore Securities, Inc. (the “Purchaser”).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • October 25th, 2010 • Guggenheim Build America Bonds Managed Duration Trust • New York
STRUCTURING FEE AGREEMENT (the "Agreement"), dated as of October [•], 2010, among Raymond James & Associates, Inc. ("Qualifying Underwriter"), Guggenheim Funds Investment Advisors, LLC ("Guggenheim Funds") and Guggenheim Partners Asset Management, LLC ("GPAM," and together with Guggenheim Funds, the "Advisers").
