pos-ex Sample Contracts

Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto. (March 4th, 2021)

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto. (March 4th, 2021)

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto. (March 4th, 2021)

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

Vertical Capital Income Fundtransfer agency and registrar services agreement (March 3rd, 2021)

This Transfer Agency and Registrar Services Agreement (this “Agreement”), dated as of April 24, 2019 (the “Effective Date”), is entered into by and between Vertical Capital Income Fund, a Delaware statutory trust (the “Company”), and American Stock Transfer & Trust Company, LLC, a New York limited liability trust company (“AST”; together with the Company, the “Parties”; each, the “Party”).

Arca U.S. Treasury FundFUND SERVICES AGREEMENT between (March 3rd, 2021)

THIS FUND SERVICES AGREEMENT (this “Agreement”) dated the 18th day of October, 2019 (the “Effective Date”), is entered into by and between ARCA U.S. TREASURY FUND, a Delaware statutory trust having its principal office and place of business at 4151 Redwood Ave., Suite 206, Los Angeles, CA 90066 (the "Trust") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 17645 Wright Street, Suite 200, Omaha, Nebraska 68130 (“GFS”). This Agreement replaces and supersedes all prior understandings and agreements between the parties hereto for the services described below.

Arca U.S. Treasury FundTRANSFER AGENCY AND SERVICE AGREEMENT (March 3rd, 2021)

This TRANSFER AGENCY AND SERVICE AGREEMENT (“TA Agreement”) is entered into on January 30, 2020 (the “Effective Date”) between DTAC LLC, a Delaware limited liability company with a place of business at 655 Montgomery Street, San Francisco, CA 94111 (“DTAC”), and Arca U.S. Treasury Fund with a place of business at the address listed on the Order Form (“Customer”). This TA Agreement includes and incorporates the above Order Form, as well as the attached General Terms and Conditions and any attached applicable Exhibits and contains, among other things, warranty disclaimers, liability limitations and use limitations. In the event of any conflicting or differing terms in the foregoing, the order of precedence will be first any exhibits expressly setting forth terms for any Services (as defined in Exhibit A), second the General Terms and Conditions, and third the Order Form. There shall be no force or effect to any different terms of any related purchase order or similar form even if signed

Vertical Capital Income FundLIMITED PURPOSE TRI-PARTY CUSTODIAN AGREEMENT (March 3rd, 2021)

THIS AGREEMENT, is made as of December 7, 2020, between Statebridge Company, LLC ("Statebridge"), Community Banks of Colorado, a division of NBH Bank, N.A. ("CBC" or "Custodian"), and Vertical Capital Income Fund ("Fund").

Vertical Capital Income FundVERTICAL CAPITAL INCOME FUND OPERATING EXPENSES LIMITATION AGREEMENT (March 3rd, 2021)

THIS OPERATING EXPENSES LIMITATION AGREEMENT (the "Agreement"), which supersedes any prior operating expense limitation agreements, is effective as of October 1, 2020, by and between VERTICAL CAPITAL INCOME FUND, a Delaware statutory trust (the "Fund"), and the Advisor of such Fund, OAKLINE ADVISORS, LLC (the "Advisor").

Arca U.S. Treasury FundEXPENSE LIMITATION AGREEMENT (March 3rd, 2021)

THIS EXPENSE LIMITATION AGREEMENT, effective as of January 30, 2020 (the “Agreement”), is between ARCA U.S. TREASURY FUND (the “Fund”) and ARCA CAPITAL MANAGEMENT, LLC (the “Adviser”).

Vertical Capital Income FundBy-Laws of VERTICAL CAPITAL INCOME FUND (March 3rd, 2021)
Arca U.S. Treasury FundCOMPLIANCE SERVICES AGREEMENT (March 3rd, 2021)

Arca U.S. Treasury Fund (the “Fund”), a Delaware statutory trust, and Cipperman Compliance Services, LLC (“CCS”), a Pennsylvania limited liability company.

Arca U.S. Treasury FundBLOCKCHAIN ADMINISTRATION AND DEVELOPMENT AGREEMENT BETWEEN ARCA U.S. TREASURY FUND AND ARCA CAPITAL MANAGEMENT, LLC (March 3rd, 2021)

This Agreement ("Agreement") is made as of January 30, 2020 by and between ARCA U.S. TREASURY FUND, a Delaware statutory trust (the "Fund"), and ARCA CAPITAL MANAGEMENT, LLC, a Delaware limited liability company (the "Blockchain Administrator").

Arca U.S. Treasury FundDISTRIBUTION AGREEMENT (March 3rd, 2021)

THIS DISTRIBUTION AGREEMENT (the “Agreement”) is made as of this 24th day of February, 2021, by and between Arca U.S. Treasury Fund, a Delaware statutory trust (the “Trust”), and UMB Distribution Services, LLC, a Wisconsin limited liability company ("Provider").

Nuveen AMT-Free Quality Municipal Income FundNUVEEN AMT-FREE QUALITY MUNICIPAL INCOME FUND UNDERWRITING AGREEMENT (THE “AGREEMENT”) (MFP Shares) (February 19th, 2021)
BlackRock Taxable Municipal Bond TrustDISTRIBUTION AGREEMENT (February 18th, 2021)

This DISTRIBUTION AGREEMENT (the “Agreement”) is made as of February 17, 2021 by and between BlackRock Taxable Municipal Bond Trust, a Delaware statutory trust (the “Trust”), and BlackRock Investments, LLC, a Delaware limited liability company (the “Distributor”).

BlackRock Taxable Municipal Bond TrustSUB-PLACEMENT AGENT AGREEMENT BlackRock Investments, LLC (February 18th, 2021)

From time to time BlackRock Investments, LLC (the “Distributor,” “we” or “us”) will act as manager of registered at-the-market offerings by BlackRock Taxable Municipal Bond Trust, a Delaware statutory trust (the “Trust”), of up to 20,000,000 common shares (the “Shares”) of beneficial interest, par value $0.001 per share, of the Trust (the “Common Shares”). In the case of such offerings, the Trust has agreed with the Distributor to issue and sell through or to the Distributor, as sales agent and/or principal, the Shares (the “Distribution Agreement”).

BlackRock Taxable Municipal Bond TrustAMENDMENT NO. 1 TO THE AMENDED AND RESTATED BYLAWS OF BLACKROCK TAXABLE MUNICIPAL BOND TRUST (February 18th, 2021)

This Amendment No. 1 (this “Amendment”) to the Amended and Restated Bylaws of BlackRock Taxable Municipal Bond Trust effective as of October 28, 2016 (the “Bylaws”) is made as of November 19, 2020 in accordance with Article VII, Section 1 of the Bylaws. Capitalized terms used herein and not otherwise herein defined are used as defined in the Bylaws.

BLACK CREEK INDUSTRIAL REIT IV Inc.BLACK CREEK INDUSTRIAL REIT IV INC. ​ FORM OF SELECTED DEALER AGREEMENT (February 17th, 2021)

Black Creek Capital Markets, LLC, as the dealer manager (the “Dealer Manager”) for Black Creek Industrial REIT IV Inc. (the “Company”), a Maryland corporation that intends to qualify to be taxed as a real estate investment trust, invites you (the “Dealer”) to participate in the distribution of Class T shares (the “Class T Shares”), Class W shares (the “Class W Shares”) and Class I shares (the “Class I Shares”) of common stock, $0.01 par value per share (the Class T Shares, the Class W Shares and the Class I Shares collectively, the “Shares”) of the Company subject to the following terms:

Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto. (February 4th, 2021)

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto. (February 4th, 2021)

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto. (February 4th, 2021)

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

Guggenheim Strategic Opportunities FundGUGGENHEIM STRATEGIC OPPORTUNITIES FUND COMMON SHARES (PAR VALUE $0.01 PER SHARE) FIRST AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT February 1, 2021 (February 2nd, 2021)

THIS FIRST AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of February 1, 2021, by and among Guggenheim Strategic Opportunities Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (“CF&Co”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.

Guggenheim Credit Allocation FundGUGGENHEIM CREDIT ALLOCATION FUND COMMON SHARES (PAR VALUE $0.01 PER SHARE) FIRST AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT February 1, 2021 (February 2nd, 2021)

THIS FIRST AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of February 1, 2021, by and among Guggenheim Credit Allocation Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (“CF&Co”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.

Guggenheim Taxable Municipal Bond & Investment Grade Debt TrustGUGGENHEIM TAXABLE MUNICIPAL BOND & INVESTMENT GRADE DEBT TRUST COMMON SHARES (PAR VALUE $0.01 PER SHARE) FIRST AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT February 1, 2021 (February 2nd, 2021)

THIS FIRST AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of February 1, 2021, by and among Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (“CF&Co”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.

Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto. (January 28th, 2021)

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto. (January 28th, 2021)

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto. (January 28th, 2021)

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto. (January 22nd, 2021)

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto. (January 22nd, 2021)

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto. (January 22nd, 2021)

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto. (January 22nd, 2021)

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto. (January 14th, 2021)

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto. (January 14th, 2021)

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto. (January 14th, 2021)

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).

Prospect Capital CorpSUPPLEMENTAL INDENTURE between PROSPECT CAPITAL CORPORATION and as Trustee Dated as of the date set forth on Exhibit B hereto. (January 14th, 2021)

THIS SUPPLEMENTAL INDENTURE (this "Supplemental Indenture"), which shall be deemed the enumerated supplemental indenture as stated in Exhibit B hereto, is between Prospect Capital Corporation, a Maryland corporation (the "Company"), and U.S. Bank National Association, as trustee (the "Trustee"). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).