1 EXHIBIT 2(j) CUSTODY AGREEMENT AGREEMENT dated as of August 12, 1986 between THE GABELLI EQUITY TRUST INC. (the "Fund"), a Maryland Corporation, having its principal office and place of business at 8 Sound Shore Drive, Greenwich, Connecticut 06830,...Custody Agreement • April 7th, 1998 • Gabelli Equity Trust Inc • Massachusetts
1 EXHIBIT 2(h)(1) _________ Shares THE GABELLI EQUITY TRUST INC. ____% Cumulative Preferred Stock Liquidation Preference $25 Per Share UNDERWRITING AGREEMENTGabelli Equity Trust Inc • April 7th, 1998 • New York
between THE BANK OF NEW YORK as Auction Agent andBroker-Dealer Agreement • October 1st, 2003 • Gabelli Equity Trust Inc • New York
Morgan Stanley & Co. LLC MASTER AGREEMENT AMONG UNDERWRITERS REGISTERED SEC OFFERINGS (INCLUDING MULTIPLE SYNDICATE OFFERINGS) AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Agreement • December 11th, 2019 • Gabelli Equity Trust Inc • New York
This Master Agreement Among Underwriters (this “Master AAU”), dated as of December 4, 2019, is by and between Morgan Stanley & Co. LLC (“Morgan Stanley,” 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 AAU w
Exhibit 99(k)(ii) THE GABELLI EQUITY TRUST INC. _______________________________________________ AUCTION AGENCY AGREEMENT dated as of September __, 2003Auction Agency Agreement • October 1st, 2003 • Gabelli Equity Trust Inc • New York
THE GABELLI EQUITY TRUST INC. [ ] Shares, [ ]% Series H Cumulative Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • September 26th, 2012 • Gabelli Equity Trust Inc • New York
The Gabelli Equity Trust Inc., a Maryland corporation (the “Fund”), and Gabelli Funds, LLC, a limited liability company organized under the laws of the state of New York (the “Investment Adviser”), confirm their agreement with Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”) and each of the other Underwriters named in Schedule I hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Merrill Lynch is acting as Representative (in such capacity, the “Representative”), with respect to the issue and sale by the Fund and the purchase by the Underwriters, acting severally and not jointly, of the respective number of shares set forth in said Schedule I of an aggregate of [ ] shares of the Fund’s [ ]% Series H Cumulative Preferred Stock (the “Securities”). The Securities will be authorized by, and subject to the terms and conditions of, the Fund’s Articles of Incorporation an
UBS Securities LLC MASTER SELECTED DEALERS AGREEMENT REGISTERED SEC OFFERINGS AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Selected Dealers Agreement • March 29th, 2016 • Gabelli Equity Trust Inc • New York
This Master Selected Dealers Agreement (this “Master SDA”), dated as of May 12, 2014, 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).
2 3 to a particular offering of Securities, any such supplement or amendment to this Agreement shall be effective with respect to any offering of Securities to which this Agreement applies after this Agreement is so amended or supplemented.Master Agreement • April 7th, 1998 • Gabelli Equity Trust Inc • New York
TRANSFER AGENT AND REGISTRAR SERVICES FEE AGREEMENT FOR ALL GABELLI CLOSED-END FUNDS ONGOING TRANSFER AGENT FEES $6.00 per shareholder account per annum for open accounts and $4.00 per closed shareholder account per annum. Includes the issuance and...Gabelli Equity Trust Inc • October 13th, 1995
REGISTRAR, TRANSFER AGENCY AND SERVICE AGREEMENT betweenRegistrar, Transfer Agency and Service Agreement • October 13th, 1995 • Gabelli Equity Trust Inc • Massachusetts
THE GABELLI EQUITY TRUST INC. (a Maryland Corporation) 4,000,000 Shares of 5.00% Series K Cumulative Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • December 11th, 2019 • Gabelli Equity Trust Inc • New York
Subscription Agent Agreement Between The Gabelli Equity Trust Inc. and Computershare Trust Company, N.A., and Computershare Inc.Subscription Agent Agreement • June 3rd, 2021 • Gabelli Equity Trust Inc • New York
THIS SUBSCRIPTION AGENT AGREEMENT (the “Agreement”) is entered into as of this 2nd day of June 2021 (the “Effective Date”) by and among The Gabelli Equity Trust Inc., a corporation organized and existing under the laws of the State of Maryland (the "Company"), Computershare Inc. (“Computershare”), a Delaware corporation, and Computershare’s fully owned subsidiary Computershare Trust Company, N.A., a national banking association (the “Trust Company” and together with Computershare, the “Agent”).
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED MASTER SELECTED DEALERS AGREEMENT REGISTERED SEC OFFERINGS AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Selected Dealers Agreement • September 26th, 2012 • Gabelli Equity Trust Inc • New York
This Master Selected Dealers Agreement (this “Master SDA”), dated as of , 2011, is by and between Merrill Lynch, Pierce, Fenner & Smith Incorporated (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).
SUBSCRIPTION AGENT AGREEMENTSubscription Agent Agreement • September 19th, 2014 • Gabelli Equity Trust Inc • New York
This Subscription Agent Agreement (the “Agreement”) is made as of September , 2014, by and between The Gabelli Equity Trust, a closed-end investment company organized and existing under the laws of the State of Delaware, (the “Fund”), Computershare Inc., a Delaware corporation and its fully owned subsidiary Computershare Trust Company, N.A., a national banking company (collectively, the “Agent” or individually “Computershare” and the “Trust Company”, respectively). All terms not defined herein shall have the meaning given in the prospectus (the “Prospectus”) included in the Registration Statement on Form N-2, File Nos. 333-195247 and 811-04700, filed by the Fund with the Securities and Exchange Commission (“SEC”) on August 7, 2014, as supplemented or amended by any amendment filed with respect thereto (the “Registration Statement”).
Fourth Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • March 18th, 2016 • Gabelli Equity Trust Inc • Massachusetts
This Fourth Amendment (“Amendment”), effective as of , 2013 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company”).
Subscription Agent Agreement Between The Gabelli Equity Trust Inc. and Computershare Trust Company, N.A. and Computershare Inc.Agent Agreement • November 3rd, 2017 • Gabelli Equity Trust Inc • New York
THIS SUBSCRIPTION AGENT AGREEMENT (the “Agreement”) is entered into as of this day of October 2017 (the “Effective Date”) by and among The Gabelli Equity Trust Inc., a corporation organized and existing under the laws of the State of Maryland (the “Company”), and Computershare Trust Company, N.A., a national banking association (“Trust Company”), and Computershare Inc., a Delaware corporation (“Computershare” and, collectively with Trust Company, the “Agent”).
Seventh Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • August 29th, 2017 • Gabelli Equity Trust Inc • Massachusetts
This Seventh Amendment (“Amendment’’), effective as of May 10, 2016 (‘‘Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company’’).
Transfer Agency and Service Agreement Among Each of the Gabelli Closed End Investment Companies Listed on Exhibit A Hereto Computershare Trust Company, N.A. and Computershare Inc.Agreement • April 29th, 2011 • Gabelli Equity Trust Inc • Massachusetts
AGREEMENT made as of the 1st day of January, 2011 by and among each of the Gabelli closed-end investment companies listed on Exhibit A, a corporation, having its principal office and place of business at One Corporate Center, Rye, NY 10580 (the “Company”), and Computershare Inc., a Delaware corporation, and its fully owned subsidiary Computershare Trust Company, N.A., a federally chartered trust company, having its principal office and place of business at 250 Royall Street, Canton, Massachusetts 02021 (collectively, the “Transfer Agent” or individually, “Computershare” and the “Trust Company”, respectively).
Form of Fifth Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • March 18th, 2016 • Gabelli Equity Trust Inc • Massachusetts
This Fifth Amendment (“Amendment”), effective as of September , 2014 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company”).
Ninth Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • August 29th, 2017 • Gabelli Equity Trust Inc • Massachusetts
This Ninth Amendment (“Amendment’’), effective as of July 1, 2016 (‘‘Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, ”Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company’’).
The Gabelli Equity Trust Inc. Shares of Common Stock Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • November 3rd, 2017 • Gabelli Equity Trust Inc • New York
Morgan Stanley & Co. LLC MASTER SELECTED DEALERS AGREEMENT REGISTERED SEC OFFERINGS AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Selected Dealers Agreement • December 11th, 2019 • Gabelli Equity Trust Inc • New York
This Master Selected Dealers Agreement (this “Master SDA”), dated as of December 4, 2019, is by and between Morgan Stanley & Co. 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).
Sixth Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • March 29th, 2016 • Gabelli Equity Trust Inc • Massachusetts
This Sixth Amendment (“Amendment”), effective as of , 2016 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company”).
Eleventh Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • October 20th, 2017 • Gabelli Equity Trust Inc • Massachusetts
This Eleventh Amendment (“Amendment”), effective as of September 26, 2017 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company”).
Third Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • March 18th, 2016 • Gabelli Equity Trust Inc • Massachusetts
This Third Amendment (“Amendment”), effective as of June 19, 2013 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company”).
Fifteenth Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • December 11th, 2019 • Gabelli Equity Trust Inc • Massachusetts
This Fifteenth Amendment (“Amendment’’), effective as of , 2019 (‘‘Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent’’) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company’’).
THE GABELLI EQUITY TRUST INC. [ ] Shares, [ ] Series F Cumulative Preferred Stock FORM OF PURCHASE AGREEMENTPurchase Agreement • November 6th, 2006 • Gabelli Equity Trust Inc • New York
CITIGROUP GLOBAL MARKETS INC. MERRILL LYNCH & CO. MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED as Representatives of the several Underwriters c/o Merrill Lynch & Co. Merrill Lynch, Pierce, Fenner & Smith Incorporated 4 World Financial Center New York, New York 10080
SUBSCRIPTION AGENT AGREEMENTSubscription Agent Agreement • June 21st, 2012 • Gabelli Equity Trust Inc • New York
This Subscription Agent Agreement (the “Agreement”) is made as of June _, 2012 by and between The Gabelli Equity Trust Inc., a closed-end investment company organized and existing under the laws of the State of Maryland, (the “Fund”), Computershare Inc., a Delaware corporation and its fully owned subsidiary Computershare Trust Company, N.A., a national banking company (collectively, the “Agent” or individually “Computershare” and the “Trust Company”, respectively). All terms not defined herein shall have the meaning given in the prospectus (the “Prospectus”) included in the Registration Statement on Form N-2, File No. 333-173819 filed by the Fund with the Securities and Exchange Commission (“SEC”) on May 31, 2012, as supplemented or amended by any amendment filed with respect thereto (the “Registration Statement”).
September 27, 2017 The Gabelli Equity Trust Inc. One Corporate Center Rye, NY 10580-1422Gabelli Equity Trust Inc • November 3rd, 2017
This letter will serve as the agreement under which you will retain Morrow Sodali LLC (“Morrow” or “us”) to perform search and distribution services in connection with the Rights Offering by The Gabelli Equity Trust Inc. to its holders of the Fund’s existing Common Stock (“the Offer”).
The Gabelli Equity Trust Inc. Series G Cumulative Preferred Stock Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • June 21st, 2012 • Gabelli Equity Trust Inc • New York
Each of The Gabelli Equity Trust Inc., a Maryland corporation (the “Fund”), and Gabelli Funds, LLC, a New York limited liability company (the “Investment Advisor”), hereby confirms the agreement with and appointment of Gabelli & Company Inc. to act as dealer manager (the “Dealer Manager”) in connection with the issuance by the Fund to its preferred shareholders of record (the “Record Date Preferred Stockholders”) at the close of business on the record date set forth in the Prospectus (as defined herein) (the “Record Date”) transferable rights entitling such Record Date Preferred Stockholders to subscribe for up to 5,850,402 shares of Series G Preferred Stock (the “Preferred Shares”) of the Fund (the “Offer”). Pursuant to the terms of the Offer, the Fund is issuing each Record Date Preferred Stockholder one transferable right (each a “Right” and, collectively, the “Rights”) for each share of existing Series F Cumulative Preferred Stock (the “Existing Preferred Stock”) held by such Recor
The Gabelli Equity Trust Inc. POS EXGabelli Equity Trust Inc • June 3rd, 2021
This letter will serve as the agreement under which you will retain Morrow Sodali LLC ("Morrow" or "us") to perform search and distribution services in connection with the Rights Offering by The Gabelli Equity Trust to holders of the Fund's existing Common Shares ("the Offer").
First Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • September 26th, 2012 • Gabelli Equity Trust Inc • Massachusetts
This First Amendment (“Amendment”), effective as of August 1, 2012 (“Effective Date”), is to the Transfer Agency and Service Agreement (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., formerly known as Computershare Shareholder Services, Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company”).
Thirteenth Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • September 24th, 2019 • Gabelli Equity Trust Inc • Massachusetts
This Thirteenth Amendment (“Amendment”), effective as of June 7, 2019 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the Gabelli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company”).
Tenth Amendment to Transfer Agency and Service AgreementAgency and Service Agreement • October 20th, 2017 • Gabelli Equity Trust Inc • Massachusetts
This Tenth Amendment (“Amendment”), effective as of September 2, 2016 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Computershare Trust Company, N.A. (collectively, “Transfer Agent”) and each of the GabeIli Closed-End Investment Companies listed on Exhibit A attached to the Agreement (each, a “Company” and collectively the “Company”).
] SharesUnderwriting Agreement • June 25th, 2002 • Gabelli Equity Trust Inc • New York
