SUB-PLACEMENT AGENT AGREEMENTSub-Placement Agent Agreement • February 22nd, 2024 • Neuberger Berman High Yield Strategies Fund Inc.
Contract Type FiledFebruary 22nd, 2024 CompanyFrom time to time Neuberger Berman BD LLC (the “Distributor,” “we” or “us”) will act as manager of registered at-the-market offerings by Neuberger Berman High Yield Strategies Fund Inc., a Maryland corporation (the “Fund”), of up to $109,000,000 of shares (the “Shares”) of common stock, par value $0.0001 per share, of the Fund (the “Common Shares”). In the case of such offerings, the Fund 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”).
SUB-PLACEMENT AGENT AGREEMENTSub-Placement Agent Agreement • August 16th, 2019 • Agility Multi-Asset Income Fund • Delaware
Contract Type FiledAugust 16th, 2019 Company JurisdictionThis SUB-PLACEMENT AGENT AGREEMENT (the “Agreement”) dated as of July 1, 2019 is by and between Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC, both Delaware limited liability companies registered with the U.S. Securities and Exchange Commission as a broker-dealers and investment advisers (the “Sub-Placement Agent”) and UMB Distribution Services, LLC, a limited liability company organized under the laws of the State of Wisconsin and registered with the U.S. Securities and Exchange Commission as a broker-dealer (“UMBDS”).
AMENDMENT NO. 1 TO SUB-PLACEMENT AGENT AGREEMENTSub-Placement Agent Agreement • November 24th, 2021 • Reaves Utility Income Fund • New York
Contract Type FiledNovember 24th, 2021 Company Jurisdiction
SUB-PLACEMENT AGENT AGREEMENT ALPS Distributors, Inc.Sub-Placement Agent Agreement • April 2nd, 2024 • Rivernorth Opportunities Fund, Inc.
Contract Type FiledApril 2nd, 2024 CompanyFrom time to time ALPS Distributors, Inc. (the “Distributor,” “we” or “us”) will act as manager of registered at-the-market offerings by RiverNorth Opportunities Fund, Inc., a Maryland corporation (the “Fund”), of up to 15,000,000 shares (the “Shares”) of common stock, $0.0001 par value per share, of the Fund (the “Common Shares”). In the case of such offerings, the Fund has agreed with the Distributor to issue and sell through the Distributor, as sales agent, the Shares (the “Distribution Agreement”).
SUB-PLACEMENT AGENT AGREEMENT ALPS Distributors, Inc.Sub-Placement Agent Agreement • April 9th, 2024 • RiverNorth Managed Duration Municipal Income Fund II, Inc.
Contract Type FiledApril 9th, 2024 CompanyFrom time to time ALPS Distributors, Inc. (the "Distributor", "we" or "us") will act as manager of registered at-the-market offerings by RiverNorth Managed Duration Municipal Income Fund II, Inc., a Maryland corporation (the "Fund"), of up to 3,000,000 shares (the "Shares") of common stock, $0.0001 par value, of the Fund (the "Common Shares"). In the case of such offerings, the Fund has agreed with the Distributor to issue and sell through the Distributor, as sales agent, the Shares (the "Distribution Agreement").
ALPS DISTRIBUTORS, INC. AMENDMENT NO. 1 TO SUB-PLACEMENT AGENT AGREEMENTSub-Placement Agent Agreement • September 21st, 2021 • Rivernorth Opportunities Fund, Inc.
Contract Type FiledSeptember 21st, 2021 Company
ALPS DISTRIBUTORS, INC. AMENDMENT NO. 3 TO SUB-PLACEMENT AGENT AGREEMENTSub-Placement Agent Agreement • December 23rd, 2022 • Rivernorth Opportunities Fund, Inc.
Contract Type FiledDecember 23rd, 2022 Company
WITNESSETH:Sub-Placement Agent Agreement • March 21st, 2003 • Acp Funds Trust • Delaware
Contract Type FiledMarch 21st, 2003 Company Jurisdiction