CUSTODY AGREEMENTCustody Agreement • April 29th, 2020 • Ellington Income Opportunities Fund • Minnesota
THIS AGREEMENT is made and entered into as of the last date on the signature page, by and between ELLINGTON INCOME OPPORTUNITIES FUND, a Delaware statutory trust, (the “Fund”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America with its principal place of business at Minneapolis, Minnesota (the “Custodian”).
DISTRIBUTION AGREEMENTDistribution Agreement • April 29th, 2020 • Ellington Income Opportunities Fund • Delaware
THIS AGREEMENT is made and entered into as of this 10th day of June, 2019, by and among Ellington Income Opportunities Fund, a Delaware statutory trust (the “Fund”) and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”).
SUBADVISORY AGREEMENTSubadvisory Agreement • April 29th, 2020 • Ellington Income Opportunities Fund • Delaware
THIS SUBADVISORY AGREEMENT (this “Agreement”) is made and entered into as of October 17, 2018, by and between Princeton Fund Advisors, LLC (the “Adviser”), a Delaware limited liability company located at 1580 Lincoln Street, Suite 680, Denver, CO 80203 and registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and Ellington Global Asset Management, LLC (the “Subadviser”), a Delaware limited liability company located at 53 Forest Avenue, Suite 301, Old Greenwich, CT 06870 and also registered under the Advisers Act, with respect to Ellington Income Opportunities Fund, a Delaware statutory trust (the “Fund” or the “Trust”).
TRANSFER AGENT SERVICING AGREEMENTTransfer Agent Servicing Agreement • April 29th, 2020 • Ellington Income Opportunities Fund • Wisconsin
THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between Ellington Income Opportunities Fund, a Delaware statutory trust (the “Fund”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”).
CONSULTING AGREEMENTConsulting Agreement • April 29th, 2020 • Ellington Income Opportunities Fund • New York
THIS CONSULTING AGREEMENT (this “Agreement”) dated as of October 10, 2018 (the “Effective Date”), is entered into by and between ELLINGTON INCOME OPPORTUNITIES FUND, a Delaware statutory trust having its office and principal place of business at 8000 Norman Center Drive, Suite 630, Minneapolis, MN 55437 (the “Fund”), and NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company having its office and principal place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“NLCS”).
FORM OF DISTRIBUTION AGREEMENTForm of Distribution Agreement • April 17th, 2019 • Ellington Income Opportunities Fund • Delaware
THIS AGREEMENT is made and entered into as of this day of , 2019, by and among Ellington Income Opportunities Fund, a Delaware statutory trust (the “Fund”) and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”).
FORM OF CUSTODY AGREEMENTForm of Custody Agreement • October 18th, 2018 • Ellington Income Opportunities Fund • Minnesota
THIS AGREEMENT is made and entered into as of the last date on the signature page, by and between ELLINGTON INCOME OPPORTUNITIES FUND, a Delaware statutory trust, (the “Fund”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America with its principal place of business at Minneapolis, Minnesota (the “Custodian”).
FUND ACCOUNTING SERVICING AGREEMENTFund Accounting Servicing Agreement • April 29th, 2020 • Ellington Income Opportunities Fund • Wisconsin
THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between Ellington Income Opportunities Fund, a Delaware statutory trust (the “Fund”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”).
FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • April 29th, 2020 • Ellington Income Opportunities Fund • Wisconsin
THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between Ellington Income Opportunities Fund, a Delaware statutory trust (the “Fund”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”).
MANAGEMENT AGREEMENTManagement Agreement • April 29th, 2020 • Ellington Income Opportunities Fund • Delaware
The Trust has been organized to engage in the business of a closed-end management investment company under the laws of the State of Delaware. The Trust expects to offer multiple classes of shares to investors (subject to the receipt of appropriate exemptive relief from the Securities and Exchange Commission (“SEC”)).
FORM OF PRIVATE PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • October 18th, 2018 • Ellington Income Opportunities Fund • Delaware
THIS AGREEMENT made as of the day of October 2018, by and between the Ellington Income Opportunities Fund, a Delaware statutory trust (the “Fund”), and Foreside Fund Services, LLC, a Delaware limited liability company, with its principal office and place of business at Three Canal Plaza, Suite 100, Portland, Maine 04101 (“Placement Agent”).
FORM OF SUBADVISORY AGREEMENTForm of Subadvisory Agreement • October 18th, 2018 • Ellington Income Opportunities Fund • Delaware
THIS SUBADVISORY AGREEMENT (this “Agreement”) is made and entered into as of October, 2018, by and between Princeton Fund Advisors, LLC (the “Adviser”), a Delaware limited liability company located at 1580 Lincoln Street, Suite 680, Denver, CO 80203 and registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and Ellington Global Asset Management, LLC (the “Subadviser”), a Delaware limited liability company located at 53 Forest Avenue, Suite 301, Old Greenwich, CT 06870 and also registered under the Advisers Act, with respect to Ellington Income Opportunities Fund, a Delaware statutory trust (the “Fund” or the “Trust”).
FORM OF FUND ACCOUNTING SERVICING AGREEMENTAccounting Servicing Agreement • October 18th, 2018 • Ellington Income Opportunities Fund • Wisconsin
THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between Ellington Income Opportunities Fund, a Delaware statutory trust (the “Fund”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANCORP GLOBAL FUND SERVICES, a Wisconsin limited liability company (“USBGFS”).
FORM OF FUND ADMINISTRATION SERVICING AGREEMENTAdministration Servicing Agreement • October 18th, 2018 • Ellington Income Opportunities Fund • Wisconsin
THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between Ellington Income Opportunities Fund, a Delaware statutory trust (the “Fund”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANCORP GLOBAL FUND SERVICES, a Wisconsin limited liability company (“USBGFS”).
Amended and Restated Expense Limitation and Reimbursement AgreementLimitation and Reimbursement Agreement • April 29th, 2020 • Ellington Income Opportunities Fund • Delaware
Expense Limitation and Reimbursement AgreementLimitation and Reimbursement Agreement • April 29th, 2020 • Ellington Income Opportunities Fund • Delaware
You have engaged Princeton Fund Advisors, LLC (“we” or “us”) to act as the sole investment adviser to the Ellington Income Opportunities Fund (the “Trust” or the “Fund”), pursuant to a Management Agreement between us and the Fund dated on or about October 17, 2018 (“Management Agreement”).
Second Amended and Restated Expense Limitation and Reimbursement AgreementReimbursement Agreement • April 29th, 2020 • Ellington Income Opportunities Fund • Delaware
FORM OF CONSULTING AGREEMENTForm of Consulting Agreement • October 18th, 2018 • Ellington Income Opportunities Fund • New York
THIS CONSULTING AGREEMENT (this “Agreement”) dated [ ], 2018 (the “Effective Date”), is entered into by and between ELLINGTON INCOME OPPORTUNITIES FUND, a Delaware statutory trust having its office and principal place of business at [ ] (the “Fund”), and NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company having its office and principal place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“NLCS”).
FORM OF TRANSFER AGENT SERVICING AGREEMENTForm of Transfer Agent Servicing Agreement • October 18th, 2018 • Ellington Income Opportunities Fund • Wisconsin
THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between Ellington Income Opportunities Fund, a Delaware statutory trust (the “Fund”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANCORP GLOBAL FUND SERVICES, a Wisconsin limited liability company (“USBGFS”).
Subscription Agreement: Investor Application and Signature PagesEllington Income Opportunities Fund • April 17th, 2019
This investor application and signature pages (the “Signature Pages”) must be completed by the Subscriber and his/her financial advisor or registered representative (together “Financial Advisor” or “FA”) and submitted, along with the full subscription amount, at least five (5) business days prior to the close of the subscription period in order for the Subscriber’s subscription to invest in the Ellington Income Opportunities Fund (the “Fund”) to be processed. For timely approval and execution, please ensure all sections have been completed and signed properly.
