Common Contracts
4 similar Agent Agreement contracts by Avenue Income Credit Strategies Fund, DNP Select Income Fund Inc, Japan Smaller Capitalization Fund Inc, Source Capital Inc /De/
DEALER MANAGER AGREEMENT New York, New York September [19], 2019Agent Agreement • September 6th, 2019 • Source Capital Inc /De/ • New York
Each of Source Capital, Inc., a Delaware corporation (the “Fund”), and First Pacific Advisors, LP, a Delaware limited partnership (the “Adviser”), hereby confirms the agreement with and appointment of UBS Securities LLC to act as dealer manager (the “Dealer Manager”) in connection with the issuance by the Fund to the holders of record (the “Record Date Shareholders”) 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 Shareholders to subscribe for up to [·] shares (each a “Share” and, collectively, the “Shares”) of common stock, par value $1.00 per share (the “Common Shares”), of the Fund (the “Offer”). Pursuant to the terms of the Offer, the Fund is issuing each Record Date Shareholder one transferable right (each a “Right” and, collectively, the “Rights”) for each Common Share held by such Record Date Shareholder on the Record Date. Such Rights entitle their holders to acquire d
·] Shares of Beneficial Interest Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENTAgent Agreement • April 15th, 2013 • Avenue Income Credit Strategies Fund • New York
•] Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares FORM OF DEALER MANAGER AGREEMENTAgent Agreement • August 13th, 2012 • DNP Select Income Fund Inc • New York
Each of DNP Select Income Fund Inc., a Maryland corporation (the “Fund”), and Duff & Phelps Investment Management Co., an Illinois corporation (the “Adviser”), hereby confirms the agreement with and appointment of UBS Securities LLC to act as dealer manager (the “Dealer Manager”) in connection with the issuance by the Fund to the holders of record (the “Record Date Shareholders”) 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 Shareholders to subscribe for up to [•] shares (each a “Share” and, collectively, the “Shares”) of common stock, par value $.001 per share (the “Common Shares”), of the Fund (the “Offer”). Pursuant to the terms of the Offer, the Fund is issuing each Record Date Shareholder one transferable right (each a “Right” and, collectively, the “Rights”) for each Common Share held by such Record Date Shareholder on the Record Date. Such Rights entitle their holders
7,091,723 Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares FORM OF DEALER MANAGER AGREEMENTAgent Agreement • June 16th, 2011 • Japan Smaller Capitalization Fund Inc • New York
Each of Japan Smaller Capitalization Fund, Inc., a Maryland corporation (the “Fund”), and Nomura Asset Management U.S.A. Inc., a New York corporation (the “Manager”), hereby confirms the agreement with and appointment of UBS Securities LLC to act as dealer manager (the “Dealer Manager”) in connection with the issuance by the Fund to the holders of record (the “Record Date 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 Stockholders to subscribe for up to 7,091,723 shares (each a “Share” and, collectively, the “Shares”) of common stock, par value $0.10 per share (the “Common Shares”), of the Fund (the “Offer”). Pursuant to the terms of the Offer, the Fund is issuing each Record Date Stockholder one transferable right (each a “Right” and, collectively, the “Rights”) for each Common Share held by such Record Date Stockholder on the Record Date. Such Rights entitle
