DEALER AGREEMENT Nuveen Securities, LLCDealer Agreement • April 30th, 2013 • Nuveen Short Duration Credit 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 Nuveen Short Duration Credit 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, a certain number of shares of the Fund’s Common Stock.
NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND Chicago, Illinois 60606Nuveen Short Duration Credit Opportunities Fund • April 30th, 2013
Nuveen Short Duration Credit 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 a registration statement on Form N-2 (File Nos. 333-186405 and 811-22518) (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.
NUVEEN OPEN-END AND CLOSED-END FUNDS DEFERRED COMPENSATION PLAN FOR INDEPENDENT DIRECTORS AND TRUSTEES (As Amended and Restated Effective January 1, 2009)Nuveen Short Duration Credit Opportunities Fund • April 11th, 2011 • Illinois
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • May 24th, 2011 • Nuveen Short Duration Credit Opportunities Fund • New York
Reference is made to the Underwriting Agreement dated May [—], 2011 (the “Underwriting Agreement”), by and among Nuveen Short Duration Credit Opportunities Fund (the “Fund”), Nuveen Fund Advisors, Inc. (the “Investment Manager”), Symphony Asset Management, LLC and each of the Underwriters named therein (the “Underwriters”), severally, with respect to the issue and sale of the Fund’s common shares of beneficial interest, par value $0.01 (the “Common Shares”), as described therein (the “Offering”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • August 18th, 2015 • Nuveen Short Duration Credit Opportunities Fund • Illinois
AGREEMENT made as of this 1st day of October 2014, by and between Nuveen Short Duration Credit Opportunities Fund, a Massachusetts business trust (the “Fund”), and Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”).
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • April 22nd, 2011 • Nuveen Short Duration Credit Opportunities Fund • Illinois
AGREEMENT made as of this 17th day of March, 2011 by and between Nuveen Fund Advisors, Inc., a Delaware corporation and a registered investment adviser (“Manager”), and Symphony Asset Management LLC, a California limited liability company and a federally registered investment adviser (“Sub-Adviser”).
NUVEEN OPEN-END AND CLOSED-END FUNDS DEFERRED COMPENSATION PLAN FOR INDEPENDENT DIRECTORS AND TRUSTEES (As Amended and Restated Effective January 1, 2013)Nuveen Short Duration Credit Opportunities Fund • April 30th, 2013 • Illinois
Nuveen Short Duration Credit Opportunities Fund [—] Common Shares of Beneficial Interest Par Value $0.01 Per Share UNDERWRITING AGREEMENTUnderwriting Agreement • May 24th, 2011 • Nuveen Short Duration Credit Opportunities Fund • New York
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • May 24th, 2011 • Nuveen Short Duration Credit Opportunities Fund • New York
Reference is made to the Underwriting Agreement dated May [—], 2011(the “Underwriting Agreement”), by and among Nuveen Short Duration Credit Opportunities Fund, Nuveen Fund Advisors, Inc. (the “Adviser”), Symphony Asset Management, LLC and each of the Underwriters named in Schedule A thereto, with respect to the issue and sale of the Fund’s Common Shares (the “Offering”), as described therein. Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
INVESTMENT SUB-ADVISORY AGREEMENTSub-Advisory Agreement • August 18th, 2015 • Nuveen Short Duration Credit 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 Symphony Asset Management LLC, a California limited liability company and a federally registered investment adviser (“Sub-Adviser”).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • May 24th, 2011 • Nuveen Short Duration Credit Opportunities Fund • New York
This agreement is between Nuveen Fund Advisors, Inc. (the “Company”) and UBS Securities LLC (“UBS”) with respect to the Nuveen Short Duration Credit Opportunities Fund (the “Fund”).
MASTER AGREEMENT AMONG UNDERWRITERSMaster Agreement • May 24th, 2011 • Nuveen Short Duration Credit Opportunities Fund • New York
We hereby agree that this Master Agreement Among Underwriters (this “Agreement”) will apply to our participation in offerings of securities where you act as Manager or one of the Managers of the underwriting syndicate (including offerings subject to competitive bidding where you act as Representative of a group of bidders or purchasers). The issuer of the securities is referred to as the “Company”, the seller of any such securities other than the Company is referred to as the “Seller” and such securities are referred to as the “Securities”.
MARKETING AND STRUCTURING FEE AGREEMENTMarketing and Structuring • May 24th, 2011 • Nuveen Short Duration Credit Opportunities Fund • New York
This agreement is between Nuveen Fund Advisors, Inc. (the “Company”) and Morgan Stanley & Co. Incorporated (“Morgan Stanley”) with respect to the Nuveen Short Duration Credit Opportunities Fund (the “Fund”).
MASTER SELECTED DEALER AGREEMENTMaster Selected Dealer Agreement • April 22nd, 2011 • Nuveen Short Duration Credit Opportunities Fund • New York
be subject to delivery of the Securities and their acceptance by you and any other Underwriters, may be subject to the approval of all legal matters by counsel and the satisfaction of other conditions, and may be made on the basis of reservation of Securities or an allotment against subscription. You will advise us by telegram, telex or other form of writ ten communication (“Written Communication”) of the particular method and supplementary terms and conditions (including, without limitation, the information as to prices and offering date referred to in Section 3(b)) of any Offering in which we are invited to participate. To the extent such supplementary terms and conditions are inconsistent with any provision herein, such terms and conditions shall supersede any such provision. Unless otherwise indicated in any such Written Communication, acceptances and other communications by us with respect to any Offering should be sent to UBS Securities LLC, 299 Park Avenue, New York, New York 10
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • November 9th, 2015 • Nuveen Short Duration Credit Opportunities Fund • New York
This agreement (this “Agreement”) is among Nuveen Fund Advisors, LLC (the “Adviser”), Nuveen Short Duration Credit Opportunities Fund (the “Fund”) and Morgan Stanley & Co. LLC (“Morgan Stanley”) with respect to the Fund’s Offering of Term Preferred Shares (each as defined below).
NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND Subscription AgreementSubscription Agreement • April 11th, 2011 • Nuveen Short Duration Credit Opportunities Fund
This Agreement made this March 17, 2011 by and between Nuveen Short Duration Credit Opportunities Fund, a Massachusetts business trust (the “Fund”), and Nuveen Fund Advisors, Inc. (the “Subscriber”);
AMENDED AND RESTATED MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • August 18th, 2015 • Nuveen Short Duration Credit Opportunities Fund • Massachusetts
AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Exhibit A And State Street Bank and Trust CompanyTransfer Agency and Service Agreement • November 9th, 2015 • Nuveen Short Duration Credit Opportunities Fund
This Amendment is made as of this day of November 2015, 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.
35,000 Shares NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND TERM PREFERRED SHARES, SERIES 2020 UNDERWRITING AGREEMENTInvestment Management Agreement • November 9th, 2015 • Nuveen Short Duration Credit Opportunities Fund • New York
change in the condition, financial or otherwise, earnings, business affairs or business prospects of the Sub-Adviser, materially and adversely affect the properties or assets of the Sub-Adviser or materially impair or adversely affect the ability of the Sub-Adviser to function as an investment adviser or perform its obligations under the Sub-Advisory Agreement, or which is required to be disclosed in the Registration Statement, the Time of Sale Prospectus and the Prospectus, which is not described as required.
AGREEMENT WITH RESPECT TO CERTAIN RECOVERY UNDER JOINT FIDELITY BONDAgreement • August 31st, 2016 • Nuveen Short Duration Credit Opportunities Fund
This Agreement, made this 13th day of July, 2016 by and between the undersigned corporations or business trusts (the “Funds”), each of which is a registered investment company managed by Nuveen Asset Management, LLC.
AGREEMENT WITH RESPECT TO CERTAIN RECOVERY UNDER JOINT FIDELITY BONDAgreement • December 19th, 2011 • Nuveen Short Duration Credit Opportunities Fund
This Agreement, made this 27th day of July, 2011 by and between the undersigned corporations or business trusts (the “Funds”), each of which is a registered investment company managed by Nuveen Asset Management, LLC.
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • May 24th, 2011 • Nuveen Short Duration Credit Opportunities Fund • New York
STRUCTURING FEE AGREEMENT (the “Agreement”), dated as of May [—], 2011 by and between Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”), and Nuveen Fund Advisors, Inc. (the “Adviser”).
