UBS SECURITIES LLC MASTER AGREEMENT AMONG UNDERWRITERS REGISTERED SEC OFFERINGS (INCLUDING MULTIPLE SYNDICATE OFFERINGS) AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Agreement • February 25th, 2020 • DoubleLine Yield Opportunities Fund • New York
This Master Agreement Among Underwriters (this “Master AAU”), dated as of June 6, 2014, is by and between UBS Securities LLC (“UBS,” or “we”) and the party named on the signature page hereto (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 AAU with respect to such O
DOUBLELINE YIELD OPPORTUNITIES FUND SECOND AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST February 20, 2020Agreement and Declaration of Trust • February 25th, 2020 • DoubleLine Yield Opportunities Fund • Massachusetts
This SECOND AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST is made this 20th day of February, 2020, by the Trustees hereunder, and by the holders of shares of beneficial interest to be issued hereunder as hereinafter provided.
SUB-PLACEMENT AGENT AGREEMENT Foreside Fund Services, LLC Three Canal Plaza, Suite 100 Portland, Maine 04101Sub-Placement Agent Agreement • October 4th, 2023 • DoubleLine Yield Opportunities Fund
UBS Securities LLC MASTER SELECTED DEALERS AGREEMENT REGISTERED SEC OFFERINGS AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Selected Dealers Agreement • February 25th, 2020 • DoubleLine Yield Opportunities Fund • New York
This Master Selected Dealers Agreement (this “Master SDA”), dated as of May 23, 2012, is by and between UBS Securities LLC (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).
DISTRIBUTION AGREEMENTDistribution Agreement • October 4th, 2023 • DoubleLine Yield Opportunities Fund • New York
This DISTRIBUTION AGREEMENT (this “Agreement”) made as of September 29, 2023 by and between DoubleLine Yield Opportunities Fund, a Massachusetts business trust (the “Fund”), and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”).
DoubleLine Yield Opportunities Fund [●] Common Shares of Beneficial Interest Par Value $0.00001 Per Share UNDERWRITING AGREEMENTUnderwriting Agreement • February 25th, 2020 • DoubleLine Yield Opportunities Fund • New York
INVESTMENT MANAGEMENT AGREEMENT DoubleLine Yield Opportunities FundInvestment Management Agreement • August 22nd, 2023 • DoubleLine Yield Opportunities Fund • Massachusetts
This Investment Management Agreement is executed as of December 5, 2019 by and between DOUBLELINE YIELD OPPORTUNITIES FUND, a Massachusetts business trust (the “Fund”), and DOUBLELINE CAPITAL LP, a Delaware limited partnership (the “Manager”).
CLOSED-END FUND DISTRIBUTION SERVICES AGREEMENTClosed-End Fund Distribution Services Agreement • December 20th, 2019 • DoubleLine Yield Opportunities Fund • New York
THIS CLOSED-END FUND DISTRIBUTION SERVICES AGREEMENT (this “Agreement”) is made, as of , 2019, by and between Vision 4 Fund Distributors, LLC (“Vision”) and DoubleLine Capital LP (the “Adviser”), relating to certain services to be provided by Vision to the Adviser with respect to a proposed closed-end investment company, to be registered and currently referred to as DoubleLine Yield Opportunities Fund (the “Fund”).
MASTER SERVICES AGREEMENT DOUBLELINE YIELD OPPORTUNITIES FUNDMaster Services Agreement • February 25th, 2020 • DoubleLine Yield Opportunities Fund • Wisconsin
FORM OF STRUCTURING FEE AGREEMENTFee Agreement • February 25th, 2020 • DoubleLine Yield Opportunities Fund • New York
This agreement is between DoubleLine Capital LP (the “Adviser”) and Morgan Stanley & Co. LLC (“Morgan Stanley”) with respect to DoubleLine Yield Opportunities Funds (the “Fund”).
CUSTODY AGREEMENT DOUBLELINE YIELD OPPORTUNITIES FUNDCustody Agreement • February 25th, 2020 • DoubleLine Yield Opportunities Fund • Minnesota
THIS CUSTODY AGREEMENT (the “Agreement”) is made and entered into this 3rd day of December 2019, by and between DOUBLELINE YIELD OPPORTUNITIES FUND, a Massachusetts business 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”).
COMMUNICATION ADMINISTRATION AGREEMENTCommunication Administration Agreement • February 25th, 2020 • DoubleLine Yield Opportunities Fund • Wisconsin
THIS AGREEMENT is made and entered into as of this 7th day of February 2020, by and between DOUBLELINE YIELD OPPORTUNITIES FUND (the “Fund”) and QUASAR DISTRIBUTORS, LLC, a Delaware limited liability company (“Quasar”).
ORGANIZATIONAL AND OFFERING EXPENSES AGREEMENTOrganizational and Offering Expenses Agreement • December 18th, 2019 • DoubleLine Yield Opportunities Fund • Massachusetts
AGREEMENT is made this ___ day of ______, 2019, by and between DOUBLELINE YIELD OPPORTUNITIES FUND, a Massachusetts business trust (the “Fund”), and DoubleLine Capital LP, a Delaware limited partnership (the “Adviser”).
FORM OF INVESTMENT MANAGEMENT AGREEMENT [DoubleLine Yield Opportunities Subsidiary Corp.]Investment Management Agreement • December 18th, 2019 • DoubleLine Yield Opportunities Fund • Massachusetts
This Investment Management Agreement is executed as of [●], 2019 by and between [DOUBLELINE YIELD OPPORTUNITIES SUBSIDIARY CORP.] (the “Company”), a [form of organization] and a wholly-owned subsidiary of DoubleLine Yield Opportunities Fund, a Massachusetts business trust (the “Fund”), and DOUBLELINE CAPITAL LP, a Delaware limited partnership (the “Manager”). The purpose of the Company is to facilitate the implementation of the Fund’s investment strategies.
FORM OF CLOSED-END FUND DISTRIBUTION SERVICES AGREEMENTFund Distribution Services Agreement • January 16th, 2020 • DoubleLine Yield Opportunities Fund • New York
THIS CLOSED-END FUND DISTRIBUTION SERVICES AGREEMENT (this “Agreement”) is made, as of , 2020, by and between Vision 4 Fund Distributors, LLC (“Vision”) and DoubleLine Capital LP (the “Adviser”), relating to certain services to be provided by Vision to the Adviser with respect to a proposed closed-end investment company, to be registered and currently referred to as DoubleLine Yield Opportunities Fund (the “Fund”).
FORM OF STRUCTURING FEE AGREEMENTFee Agreement • February 25th, 2020 • DoubleLine Yield Opportunities Fund • New York
Reference is made to the Underwriting Agreement dated February [•], 2020 (the “Underwriting Agreement”), by and among DoubleLine Yield Opportunities Fund (the “Fund”), DoubleLine Capital LP (the “Adviser”) 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, $0.00001 par value per share (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.
FORM OF STRUCTURING FEE AGREEMENTFee Agreement • February 25th, 2020 • DoubleLine Yield Opportunities Fund • New York
Reference is made to the Underwriting Agreement dated February [•], 2020 (the “Underwriting Agreement”), by and among DoubleLine Yield Opportunities Fund (the “Fund”), DoubleLine Capital LP (the “Adviser”) 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, $0.00001 par value per share (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.
FORM OF STRUCTURING FEE AGREEMENTFee Agreement • February 25th, 2020 • DoubleLine Yield Opportunities Fund • New York
Reference is made to the Underwriting Agreement dated February [•], 2020 (the “Underwriting Agreement”), by and among DoubleLine Yield Opportunities Fund (the “Fund”), DoubleLine Capital LP (the “Adviser”), Stifel, Nicolaus & Company, Incorporated (“Stifel”) and the several other Underwriters named therein, severally, with respect to the issue and sale of the Fund’s common shares of beneficial interest, $0.00001 par value per share (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.
FIRST AMENDMENT TO THE MASTER SERVICES AGREEMENT DOUBLELINE YIELD OPPORTUNITIES FUNDMaster Services Agreement • October 4th, 2023 • DoubleLine Yield Opportunities Fund
This FIRST AMENDMENT, dated as of the last date on the signature page hereto, to the Master Services Agreement Agreement dated January 20, 2020 (the “Agreement”), is entered into by and between DOUBLELINE YIELD OPPORTUNITIES FUND, a Massachusetts trust (the “Fund”) and U.S. BANCORP FUND SERVICES, LLC, d.b.a. U.S. Bank Global Fund Services, a Wisconsin limited liability company (“USBFS”).
FORM OF STRUCTURING FEE AGREEMENTFee Agreement • February 25th, 2020 • DoubleLine Yield Opportunities Fund • New York
This agreement (the “Agreement”) is between DoubleLine Capital LP (including any successor or assign by merger or otherwise, the “Company”) and UBS Securities LLC (“UBS”) with respect to the DoubleLine Yield Opportunities Fund (the “Fund”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement dated [●], 2020 by and among the Fund, the Company and the Underwriters named therein (the “Underwriting Agreement”).
FIRST AMENDMENT TO THE DOUBLELINE YIELD OPPORTUNITIES FUND CUSTODY AGREEMENTCustody Agreement • August 22nd, 2023 • DoubleLine Yield Opportunities Fund
This First Amendment, dated as of the last date on the signature page hereto, to the Custody Agreement dated December 3, 2019 (the “Agreement”), is entered into by and between DOUBLELINE YIELD OPPORTUNITIES FUND, a Massachusetts 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”).
FORM OF STRUCTURING FEE AGREEMENTForm of Structuring Fee Agreement • February 25th, 2020 • DoubleLine Yield Opportunities Fund • New York
STRUCTURING FEE AGREEMENT (the “Agreement”), dated as of February [●], 2020, by and between BofA Securities, Inc. (collectively with its affiliates, “BofA”) and DoubleLine Capital LP (“DoubleLine”).
DOUBLELINE YIELD OPPORTUNITIES FUND Subscription AgreementSubscription Agreement • February 25th, 2020 • DoubleLine Yield Opportunities Fund • Massachusetts
This Subscription Agreement made as of December 4, 2019, by and between DoubleLine Yield Opportunities Fund, a Massachusetts business trust (the “Fund”), and DoubleLine Asset Management Company LLC (the “Subscriber”).
FORM SALES INCENTIVE FEE AGREEMENTForm Sales Incentive Fee Agreement • February 25th, 2020 • DoubleLine Yield Opportunities Fund • New York
Reference is made to the Underwriting Agreement dated February [●], 2020 (the “Underwriting Agreement”), by and among DoubleLine Yield Opportunities Fund (the “Fund”), DoubleLine Capital LP (the “Adviser”) 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, $0.00001 par value per share (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.
