RAYMOND JAMES & ASSOCIATES, INC. MASTER AGREEMENT AMONG UNDERWRITERS REGISTERED SEC OFFERINGS (INCLUDING MULTIPLE SYNDICATE OFFERINGS) AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Agreement • June 18th, 2015 • Eagle Growth & Income Opportunities Fund • New York
This Master Agreement Among Underwriters (this “Master AAU”), dated as of July 22, 2014, is by and between Raymond James & Associates, Inc. (“Raymond James,” 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 have accepted an A
CUSTODY AGREEMENTCustody Agreement • June 18th, 2015 • Eagle Growth & Income Opportunities Fund • New York
AGREEMENT, dated as of September 3, 2013 by and between the investment company listed on the signature page hereto (the “Fund”, or if multiple investment companies, collectively the “Funds”) 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 One Wall Street, New York, New York 10286 (“Custodian”).
EAGLE GROWTH AND INCOME OPPORTUNITIES FUND Common Shares of Beneficial Interest $20.00 per Share UNDERWRITING AGREEMENTUnderwriting Agreement • June 18th, 2015 • Eagle Growth & Income Opportunities Fund • New York
Eagle Growth and Income Opportunities Fund, a Delaware statutory trust (the “Fund”), Four Wood Capital Advisors, LLC, a New York limited liability company (the “Adviser”), Eagle Asset Management, Inc. (“Eagle Asset”), a Florida corporation, and Recon Capital Partners, LLC, a Delaware limited liability company (“Recon Capital” and, together with Eagle Asset, the “Subadvisers” and each a “Subadviser”, and the Adviser together with the Subadvisers, the “Advisers”) confirm their respective agreements with Raymond James & Associates, Inc. (“Raymond James”) and each of the other Underwriters named in Exhibit A hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Raymond James and Stifel, Nicolaus & Company, Incorporated are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Fund of a total of [·] common shares of beneficial interes
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST of EAGLE GROWTH AND INCOME OPPORTUNITIES FUND (a Delaware statutory trust) Dated as of June 16, 2015Agreement and Declaration of Trust • June 18th, 2015 • Eagle Growth & Income Opportunities Fund
THIS AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST is made as of the date set forth below by the Trustees named hereunder for the purpose of forming a Delaware statutory trust in accordance with the provisions hereinafter set forth.
RAYMOND JAMES & ASSOCIATES, INC. MASTER SELECTED DEALERS AGREEMENT REGISTERED SEC OFFERINGS AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Selected Dealers Agreement • June 18th, 2015 • Eagle Growth & Income Opportunities Fund • New York
This Master Selected Dealers Agreement (this “Master SDA”), dated as of September 16, 2013, is by and between Raymond James & Associates, Inc. (including its successors and assigns) (“we,” “our,” “us” or the “Manager”) and the party named on the signature page hereof (a “Dealer,” “you” or “your”). From time to time, in connection with an offering and sale (an “Offering”) of securities (the “Securities”), managed solely by us or with one or more other managers or co-managers, we or one or more of our affiliates may offer you (and others) the opportunity to purchase as principal a portion of such securities on the terms set forth herein as a Selected Dealer (as defined below).
EAGLE GROWTH AND INCOME OPPORTUNITIES FUND ADVISORY AGREEMENTAdvisory Agreement • March 12th, 2019 • Eagle Growth & Income Opportunities Fund • New York
This Advisory Agreement is hereby made as of the 24th day of May, 2018 (the “Agreement”) between Eagle Growth and Income Opportunities Fund, a Delaware statutory trust (the “Fund”), and Four Wood Capital Advisors, LLC, a New York limited liability company (“FWCA” or the “Adviser”).
INVESTOR SUPPORT SERVICES AGREEMENTInvestor Support Services Agreement • June 18th, 2015 • Eagle Growth & Income Opportunities Fund • New York
This Investor Support Services Agreement (the “Agreement”) is made as of , 2015, by and among Eagle Growth and Income Opportunities Fund, a Delaware statutory trust (the “Fund”), and Four Wood Capital Partners, LLC, a New York limited liability company (“FWCP”).
MARKETING AGENT AGREEMENTMarketing Agent Agreement • June 18th, 2015 • Eagle Growth & Income Opportunities Fund • New York
This Marketing Agent Agreement (the “Agreement”) is effective as of May 18th, 2015 by and among Four Wood Capital Partners LLC (“FWCP”), a New York limited liability company and its registered broker-dealer relationships, Foreside Fund Services LLC (“FFS”) and MidAmerica Financial Services (“MFS”), herein collectively referred to as “BD Relationship” and/or “Selling Agent” and Four Wood Capital Advisors LLC (“FWCA”), the Investment Adviser to the Eagle Growth and Income Fund.
FOREIGN CUSTODY MANAGER AGREEMENTForeign Custody Manager Agreement • June 18th, 2015 • Eagle Growth & Income Opportunities Fund • New York
WHEREAS, BNY desires to serve as a Foreign Custody Manager and perform the duties set forth herein on the terms and conditions contained herein;
TRANSFER AGENCY AND REGISTRAR SERVICES AGREEMENTTransfer Agency and Registrar Services Agreement • June 18th, 2015 • Eagle Growth & Income Opportunities Fund • New York
This Transfer Agency and Registrar Services Agreement (this “Agreement”), dated as of May 14, 2015 is between Eagle Growth & Income Opportunities Fund, a Delaware statutory trust (the “Company”) and American Stock Transfer & Trust Company, LLC, a New York limited liability trust company (“AST”).
FORM OF STRUCTURING FEE AGREEMENTStructuring Fee Agreement • June 18th, 2015 • Eagle Growth & Income Opportunities Fund • New York
Reference is made to the Underwriting Agreement dated [·], 2015 (the “Underwriting Agreement”), by and among Eagle Growth and Income Opportunities Fund (the “Fund”), Four Wood Capital Advisors LLC (the “Investment Manager”), Eagle Asset Management, Inc. and Recon Capital Partners, 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 $0.001 (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.
FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • June 18th, 2015 • Eagle Growth & Income Opportunities Fund • New York
THIS AGREEMENT is made as of September 3, 2013, by and between the investment company listed on the signature page hereto (the “Fund”, or if multiple investment companies, collectively the “Funds”), and BNY Mellon Investment Servicing (US) Inc., a Massachusetts corporation (“BNY Mellon”).
FORM OF STRUCTURING FEE AGREEMENTForm of Structuring Fee Agreement • June 18th, 2015 • Eagle Growth & Income Opportunities Fund • New York
STRUCTURING FEE AGREEMENT (the “Agreement”), dated as of [·], 2015, between Raymond James & Associates, Inc. (“Qualifying Underwriter”) and Four Wood Capital Advisors LLC (the “Adviser”).
FUND CCO AGREEMENTFund Cco Agreement • June 18th, 2015 • Eagle Growth & Income Opportunities Fund • Delaware
AGREEMENT made as of August 22, 2013 by and among THL Credit Senior Loan Fund, a Delaware statutory trust, with its principal office and place of business 100 Wall Street, 11th Floor, New York, New York 10005 (the “Initial Fund”), and all subsequent funds managed by Four Wood Capital Advisors LLC (each a “Subsequent Fund”), as set forth in Appendix A hereto, provided that each Subsequent Fund has executed this Agreement (hereinafter the Initial Fund and each Subsequent Fund are each a “Fund Company”), and Foreside Compliance Services, LLC, a Delaware limited liability company, with its principal office and place of business at Three Canal Plaza, Portland, Maine 04101 (“Foreside”).
EAGLE GROWTH AND INCOME OPPORTUNITIES FUND INTERIM SUBADVISORY AGREEMENTInterim Subadvisory Agreement • March 11th, 2020 • Eagle Growth & Income Opportunities Fund • New York
This Interim Subadvisory Agreement, effective as of August 31, 2019 (the “Agreement”), between THL Credit Advisors LLC, a Delaware limited liability company (the “Adviser”), and Eagle Asset Management, Inc., a Florida corporation (the “Subadviser”).
SUBSCRIPTION AGREEMENTSubscription Agreement • June 18th, 2015 • Eagle Growth & Income Opportunities Fund
This Subscription Agreement is hereby made as of the day of , 2015, by and between Eagle Growth and Income Opportunities Fund, a Delaware statutory trust (“Trust”), and Eagle Asset Management, Inc. (“Subscriber”).
EAGLE GROWTH AND INCOME OPPORTUNITIES FUND OPTIONS STRATEGY EXECUTION AND SUBADVISORY AGREEMENTOptions Strategy Execution and Subadvisory Agreement • June 18th, 2015 • Eagle Growth & Income Opportunities Fund • New York
This Options Strategy Execution and Subadvisory Agreement, made as of the day of June, 2015 (the “Agreement”), between Four Wood Capital Advisors LLC, a New York limited liability company (the “Adviser”), and Recon Capital Partners, LLC, a Delaware limited liability company (the “Subadviser”).
EAGLE GROWTH AND INCOME OPPORTUNITIES FUND INTERIM ADVISORY AGREEMENTInterim Advisory Agreement • March 11th, 2020 • Eagle Growth & Income Opportunities Fund • New York
This Interim Advisory Agreement is hereby effective as of August 31, 2019 (the “Agreement”) between Eagle Growth and Income Opportunities Fund, a Delaware statutory trust (the “Fund”), and THL Credit Advisors LLC, a Delaware limited liability company (“THL Credit” or the “Adviser”).
EAGLE GROWTH AND INCOME OPPORTUNITIES FUND SUBADVISORY AGREEMENTSubadvisory Agreement • June 18th, 2015 • Eagle Growth & Income Opportunities Fund • New York
This Subadvisory Agreement, made as of the day of June, 2015 (the “Agreement”), between Four Wood Capital Advisors LLC, a New York limited liability company (the “Adviser”), and Eagle Asset Management, Inc., a Florida corporation (the “Subadviser”).
