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 • June 25th, 2020 • Angel Oak Dynamic Financial Strategies Income Term Trust • New York
This Master Agreement Among Underwriters (this “Master AAU”), dated as of January 2, 2019, is by and between UBS Securities LLC (“we”) and the party named on the signature page hereto (an “Underwriter,” as defined in Section 1.1 hereof, or “you”).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • June 25th, 2020 • Angel Oak Dynamic Financial Strategies Income Term Trust • New York
Reference is made to the Underwriting Agreement dated [ ], 2020 (the “Underwriting Agreement”), by and among Angel Oak Dynamic Financial Strategies Income Term Trust (the “Fund”), Angel Oak Capital Advisors, LLC (the “Investment Manager”) 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 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.
ANGEL OAK DYNAMIC FINANCIAL STRATEGIES INCOME TERM TRUST [ ] Common Shares of Beneficial Interest Par Value $0.001 Per Share UNDERWRITING AGREEMENTUnderwriting Agreement • June 25th, 2020 • Angel Oak Dynamic Financial Strategies Income Term Trust • New York
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • June 25th, 2020 • Angel Oak Dynamic Financial Strategies Income Term Trust • New York
This agreement (the “Agreement”) is between Angel Oak Capital Advisors, LLC (including any successor or assign by merger or otherwise, the “Company”) and UBS Securities LLC (“UBS”) with respect to the Angel Oak Dynamic Financial Strategies Income Term Trust (the “Fund”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement dated [ ], 2020 (the “Underwriting Agreement”), by and among the Fund, the Company, and each of the Underwriters named therein, severally, with respect to the issuance and sale of the Fund’s common shares of beneficial interest, par value $0.001 per share (the “Common Shares”), as described therein (the “Offering”) .
SECONDARY MARKET SUPPORT SERVICES AGREEMENTSecondary Market Support Services Agreement • June 25th, 2020 • Angel Oak Dynamic Financial Strategies Income Term Trust • Delaware
This Agreement is made as of January 27, 2020, by and among Angel Oak Dynamic Financial Strategies Income Term Trust, a closed-end investment company registered under the Investment Company Act of 1940, as amended (the “1940 Act”), and organized as a Delaware statutory trust (“Fund”), Angel Oak Capital Advisors, LLC, a Delaware limited liability company (“Adviser”), and Destra Capital Advisors LLC, a Delaware limited liability company (“Destra”).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • June 25th, 2020 • Angel Oak Dynamic Financial Strategies Income Term Trust • New York
Reference is made to the Underwriting Agreement, dated [ ], 2020, by and among Angel Oak Dynamic Financial Strategies Income Term Trust (the “Fund”), Angel Oak Capital Advisors, LLC and each of the respective underwriters named therein (the “Underwriting Agreement”) relating to the Offering (as defined below). This agreement (the “Agreement”) is between Angel Oak Capital Advisors, LLC (including any successor or assign by merger or otherwise, the “Company”) and each qualifying underwriter listed on Schedule I hereto (each a “Qualifying Underwriter”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
UBS SECURITIES LLC MASTER SELECTED DEALERS AGREEMENT REGISTERED SEC OFFERINGS AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Selected Dealers Agreement • June 25th, 2020 • Angel Oak Dynamic Financial Strategies Income Term Trust • New York
This Master Selected Dealers Agreement (this “Master SDA”), dated as of January 4, 2019, 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).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • June 25th, 2020 • Angel Oak Dynamic Financial Strategies Income Term Trust • New York
This agreement (the “Agreement”) is between Angel Oak Capital Advisors, LLC (including any successor or assign by merger or otherwise, the “Company”) and Oppenheimer & Co. Inc. (“Oppenheimer”) with respect to the Angel Oak Dynamic Financial Strategies Income Term Trust (the “Fund”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement dated [ ], 2020 (the “Underwriting Agreement”), by and among the Fund, the Company and each of the Underwriters named therein, severally, with respect to the issuance and sale of the Fund’s common shares of beneficial interest, par value $0.001 per share (the “Common Shares”), as described therein (the “Offering”).
DISTRIBUTION ASSISTANCE AGREEMENTDistribution Assistance Agreement • June 25th, 2020 • Angel Oak Dynamic Financial Strategies Income Term Trust • Delaware
This Distribution Assistance Agreement (the “Agreement”) is made as of January 14th, 2020, by and among Angel Oak Capital Advisors, LLC, a Delaware limited liability company (the “Adviser”), and Destra Capital Investments LLC, a Delaware limited liability company (“Destra”).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • June 25th, 2020 • Angel Oak Dynamic Financial Strategies Income Term Trust • New York
Reference is made to the Underwriting Agreement dated [ ], 2020 (the “Underwriting Agreement”), by and among Angel Oak Dynamic Financial Strategies Income Term Trust (the “Fund”), Angel Oak Capital Advisors, LLC (the “Company”) and each of the Underwriters named therein, with respect to the issue and sale of the Fund’s common shares of beneficial interest, $0.001 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.
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • June 25th, 2020 • Angel Oak Dynamic Financial Strategies Income Term Trust • New York
Reference is made to the Underwriting Agreement dated [ ], 2020 (the “Underwriting Agreement”), by and among Angel Oak Dynamic Financial Strategies Income Term Trust (the “Fund”), Angel Oak Capital Advisors, LLC (the “Adviser”), Keefe, Bruyette & Woods, Inc. (“KBW”) and the several other Underwriters named therein, severally, with respect to the issue and sale of the Fund’s common shares of beneficial interest, $0.001 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.
Amended and Restated Consulting AgreementConsulting Agreement • June 25th, 2020 • Angel Oak Dynamic Financial Strategies Income Term Trust
THIS CONSULTING AGREEMENT (the “Agreement”) is made and entered into as of the 11th day of March, 2020, by and between ANGEL OAK CAPITAL ADVISORS, LLC, a Delaware limited liability company with its principal place of business located at 3344 Peachtree Rd, Suite 1725, Atlanta, GA 30326 (“Angel Oak”), ARBOR LANE ADVISORS, INC., a New York corporation, with its principal place of business located at 15 Arbor Lane, Dix Hills, NY 11746 (“Consultant”), and CLICKIPO SECURITIES, LLC, a Nevada limited liability company with its principal place of business located at 8601 N. Scottsdale Road, Suite 335, Scottsdale, Arizona 85253 (“ClickIPO”), and sets forth the terms and conditions governing the relationship between Angel Oak and the Consultant. This Agreement amends and restates that certain Consulting Agreement, dated as of March 8, 2019, by and between Angel Oak and the Consultant (the “Prior Agreement”).
