MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED MASTER AGREEMENT AMONG UNDERWRITERS REGISTERED SEC OFFERINGS (INCLUDING MULTIPLE SYNDICATE OFFERINGS) AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Agreement • June 26th, 2012 • MainStay DefinedTerm Municipal Opportunities Fund • New York
This Master Agreement Among Underwriters (this “Master AAU”), dated as of October 5, 2009, is by and between Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch” 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
UNDERWRITING AGREEMENTUnderwriting Agreement • June 26th, 2012 • MainStay DefinedTerm Municipal Opportunities Fund • New York
MainStream DefinedTerm Municipal Opportunities Fund, a Delaware statutory trust (the "Fund") and the Fund's manager, New York Life Investment Management LLC, a Delaware limited liability company (the "Manager") and its investment sub-advisor, MacKay Shields LLC, a Delaware limited liability company (the "Sub-Advisor" and together with the Manager, the "Advisers") each confirms its agreement with Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch"), [NAME OF OTHER LISTED UNDERWRITERS] ("[ABBREVIATED NAME OF EACH OTHER REPRESENTATIVE]") and each of the other Underwriters named in Schedule A hereto (collectively, the "Underwriters," which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Merrill Lynch, [ABBREVIATED NAME OF EACH OTHER REPRESENTATIVE] are acting as representatives (in such capacity, the "Representative(s)"), with respect to (i) the sale by the Fund and the purchase by the Underwriters, acting severall
Merrill Lynch & Co. Merrill Lynch, Pierce, Fenner & Smith Incorporated Merrill Lynch World Headquarters New York, N.Y. 10800 FORM OF STANDARD DEALER AGREEMENTDealer Agreement • June 26th, 2012 • MainStay DefinedTerm Municipal Opportunities Fund • New York
In connection with public offerings of securities underwritten by us, or by a group of underwriters (the “Underwriters”) represented by us, you may be offered the opportunity to purchase a portion of such securities, as principal, at a discount from the offering price representing a selling concession or reallowance granted as consideration for services rendered by you in the sale of such securities. We request that you agree to the following terms and provisions, and make the following representations, which, together with any additional terms and provisions set forth in any wire or letter sent to you in connection with a particular offering, will govern all such purchases of securities and the reoffering thereof by you.
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST of MainStay DefinedTerm Municipal Opportunities Fund (a Delaware Statutory Trust) Dated as of May 16, 2012Agreement and Declaration • May 25th, 2012 • MainStay DefinedTerm Municipal Opportunities Fund
THIS AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST is made as of the date set forth below by the Trustees named hereunder for the purpose of forming a Delaware statutory trust in accordance with the provisions hereinafter set forth.
MAINSTAY DEFINEDTERM MUNICIPAL OPPORTUNITIES FUND FORM OF SUBADVISORY AGREEMENTForm of Subadvisory Agreement • May 25th, 2012 • MainStay DefinedTerm Municipal Opportunities Fund • New York
This Subadvisory Agreement, made as of the ____ day of June, 2012 (the “Agreement”), between New York Life Investment Management LLC, a Delaware limited liability company (the “Manager”) and MacKay Shields LLC, a Delaware limited liability company (the “Subadvisor”).
MainSTay DEFINEDTERM MUNICIPAL Opportunities FUND FORM OF MANAGEMENT AGREEMENTManagement Agreement • May 25th, 2012 • MainStay DefinedTerm Municipal Opportunities Fund • New York
This Management Agreement is hereby made as of the ____ day of June, 2012 (the “Agreement”) between MainStay DefinedTerm Municipal Opportunities Fund, a Delaware statutory trust (the “Fund”) and New York Life Investment Management LLC, a Delaware limited liability company (“NYLIM” or the “Manager”).
Form of Transfer Agency and Service Agreement Between MainStay DefinedTerm Municipal Opportunities Fund and Computershare Trust Company, N.A. and Computershare Inc.Agreement • May 25th, 2012 • MainStay DefinedTerm Municipal Opportunities Fund • Massachusetts
AGREEMENT effective as of the ____day of _____________, 2012 by and between MainStay DefinedTerm Municipal Opportunities Fund, a Delaware statutory trust, having its principal office and place of business at 51 Madison Avenue, New York, NY 10010 (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).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • June 26th, 2012 • MainStay DefinedTerm Municipal Opportunities Fund • New York
STRUCTURING FEE AGREEMENT (the "Agreement"), dated as of June [●], 2012, by and among Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") and New York Life Investment Management LLC (the "Manager") and MacKay Shields LLC (the "Sub-Advisor," and rogether with the Manager, the "Advisers".
FORM N -CEN Item G.1.b.i.Agreement and Declaration • August 11th, 2020 • MainStay MacKay DefinedTerm Municipal Opportunities Fund
THIS AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST is made as of the date set forth below by the Trustees named hereunder for the purpose of forming a Delaware statutory trust in accordance with the provisions hereinafter set forth.
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • June 26th, 2012 • MainStay DefinedTerm Municipal Opportunities Fund • New York
This agreement is between New York Life Investment Management LLC (the "Manager"), MacKay Shields LLC (the "Sub-Advisor," and together with the Manager, the "Advisers") and Morgan Stanley & Co. LLC (“Morgan Stanley”) with respect to the MainStay DefinedTerm Municipal Opportunities Fund (the “Fund”).
Form of Third Amendment to Amended and Restated Master Custodian AgreementMaster Custodian Agreement • May 25th, 2012 • MainStay DefinedTerm Municipal Opportunities Fund
This Third Amendment to Amended and Restated Master Custodian Agreement (the “Amendment”) is made and entered into as of May [ ], 2012, by and among each registered investment company identified on the signature page hereto (each such registered investment company shall hereinafter be referred to as a “Fund” and collectively the “Funds”), and State Street Bank and Trust Company, a Massachusetts trust company (the “Bank”).
SALES INCENTIVE FEE AGREEMENTSales Incentive Fee Agreement • June 26th, 2012 • MainStay DefinedTerm Municipal Opportunities Fund • New York
SALES INCENTIVE FEE AGREEMENT (the “Agreement”), dated as of [—], 2012, between Barclays Capital Inc. (“Barclays”), New York Life Investment Management LLC (the "Manager") and MacKay Shields LLC (the “Advisers,” and together with the Manager, the "Advisers").
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST of MainStay MacKay DefinedTerm Municipal Opportunities Fund (a Delaware Statutory Trust) Dated as of June 10, 2022And Restated Agreement and Declaration of Trust • August 8th, 2022 • MainStay MacKay DefinedTerm Municipal Opportunities Fund
THIS AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST is made as of the date set forth below by the Trustees named hereunder for the purpose of forming a Delaware statutory trust in accordance with the provisions hereinafter set forth.
SUBSCRIPTION AGREEMENTSubscription Agreement • May 25th, 2012 • MainStay DefinedTerm Municipal Opportunities Fund
This Subscription Agreement is hereby made as of the 11th day of May, 2012, by and between MainStay DefinedTerm Municipal Opportunities Fund, a Delaware statutory trust (“Trust”) and New York Life Investment Management Holdings LLC (“Subscriber”).
STRUCTURING FEE AGREEMENTUnderwriting Agreement • June 26th, 2012 • MainStay DefinedTerm Municipal Opportunities Fund • New York
Reference is made to the Underwriting Agreement dated June [●], 2012 (the "Underwriting Agreement"), by and among MainStay DefinedTerm Municipal Opportunities Fund (the "Fund"), New York Life Investment Management LLC (the "Manager"), MacKay Shields LLC (the "Sub-Advisor," and together with the Manager, the "Advisers") 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 (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 26th, 2012 • MainStay DefinedTerm Municipal Opportunities Fund • New York
STRUCTURING FEE AGREEMENT (the "Agreement"), dated as of June [●], 2012, between Raymond James & Associates, Inc. ("Qualifying Underwriter"), New York Life Investment Management LLC (the "Manager"), MacKay Shields LLC (the "Sub-Advisor," and together with the Manager, the "Advisers").
FORM N-SAR EXHIBITS 77Q1(E) MAINSTAY DEFINEDTERM MUNICIPAL OPPORTUNITIES FUND MANAGEMENT AGREEMENTManagement Agreement • January 28th, 2015 • MainStay DefinedTerm Municipal Opportunities Fund • New York
This Management Agreement is hereby made as of the 26th day of June, 2012 (the “Agreement”) between MainStay DefinedTerm Municipal Opportunities Fund, a Delaware statutory trust (the “Fund”) and New York Life Investment Management LLC, a Delaware limited liability company (“NYLIM” or the “Manager”).
FORM N-SAR Exhibit 77Q1e MAINSTAY MACKAY DEFINEDTERM MUNICIPAL OPPORTUNITIES FUND 811-22551 For Period Ended 5/31/18 Investment Advisory Contracts 1. Amendment dated February 28, 2018 to the Management Agreement 2. Form of Amendment dated February 28,...MainStay MacKay DefinedTerm Municipal Opportunities Fund • July 27th, 2018
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • June 26th, 2012 • MainStay DefinedTerm Municipal Opportunities Fund • New York
Reference is made to the Underwriting Agreement dated June [•], 2012 (the "Underwriting Agreement"), by and among MainStay DefinedTerm Municipal Opportunities Fund (the "Fund"), the Fund's manager, New York Life Investment Management LLC (the "Manager"), the Fund's sub-advisor, MacKay Shields LLC (the "Sub-Advisor," and together with the Manager, the "Advisers"), and each of the Underwriters named in Schedule I thereto, with respect to the issue and sale of the Fund’s Common Shares (as defined below) (the "Offering"), as described therein. Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
