Common Contracts
68 similar Underwriting Agreement contracts by Nuveen California Dividend Advantage Municipal Fund 3, Nuveen Ohio Dividend Advantage Municipal Fund, Nuveen Pennsylvania Dividend Advantage Municipal Fund 2, others
COHEN & STEERS REAL ESTATE OPPORTUNITIES AND INCOME FUND [•] Shares COMMON SHARES OF BENEFICIAL INTEREST (Par Value $0.001 per Share) UNDERWRITING AGREEMENTUnderwriting Agreement • February 23rd, 2022 • Cohen & Steers Real Estate Opportunities & Income Fund • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • October 28th, 2021 • Guggenheim Active Allocation Fund • New York
Guggenheim Active Allocation Fund, a statutory trust duly formed under the laws of the State of Delaware (the “Fund”), the Fund’s investment adviser, Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Investment Advisor”) and the Fund’s investment sub-adviser, Guggenheim Partners Investment Management, LLC, a limited liability company organized under the laws of Delaware (the “Sub-Advisor” and, together with the Investment Advisor, the “Advisors” and each, an “Advisor”) each confirms its agreement with BofA Securities, Inc. (“BofA Securities”), [•] and [•] 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 BofA Securities, [•] and [•] 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 s
UNDERWRITING AGREEMENTUnderwriting Agreement • May 25th, 2021 • Neuberger Berman Next Generation Connectivity Fund Inc. • New York
Neuberger Berman Next Generation Connectivity Fund Inc., a Maryland corporation (the “Fund”), and the Fund’s investment adviser, Neuberger Berman Investment Advisers LLC, a Delaware limited liability company (the “Adviser”), each confirms its agreement with BofA Securities, Inc. (“BofA Securities”), [ ] 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 BofA Securities and [ ] are acting as representatives (in such capacity, the “Representatives”), with respect to (i) the sale by the Fund and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of shares of common stock, par value $0.0001 per share, of the Fund (“Common Stock”) set forth in Schedule A hereto, and (ii) with respect to the grant by the Fund to the Underwriters, acting severally and not jointly, of the option described in Se
ALLIANZGI DIVERSIFIED INCOME & CONVERTIBLE FUND [NUMBER OF FIRM SHARES] Shares COMMON SHARES OF BENEFICIAL INTEREST (Par Value $.00001 per Share) UNDERWRITING AGREEMENTUnderwriting Agreement • April 22nd, 2015 • AllianzGI Diversified Income & Convertible Fund • New York
AllianzGI Diversified Income & Convertible Fund, a Massachusetts business trust (the “Fund”) and the Fund’s investment manager, Allianz Global Investors Fund Management LLC, a Delaware limited liability company (the “Investment Manager”) and its investment sub-adviser, Allianz Global Investors U.S. LLC, a Delaware limited liability company (the “Sub-Adviser” and together with the Investment 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
ARES MULTI-STRATEGY CREDIT FUND, INC. [·] Shares COMMON STOCK (Par Value $.001 per Share) FORM OF UNDERWRITING AGREEMENT October [·], 2013Underwriting Agreement • October 22nd, 2013 • Ares Multi-Strategy Credit Fund, Inc. • New York
Ares Multi-Strategy Credit Fund, Inc., a Maryland corporation (the “Fund”) and the Fund’s investment adviser, Ares Capital Management II LLC, a Delaware limited liability company (the “Adviser”), each confirms its agreement with Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”), [other Representatives] 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 and [other Representatives] are acting as representatives (in such capacity, the “Representatives”), with respect to (i) the sale by the Fund and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of shares of common stock, par value $.001 per share, of the Fund (“Common Stock”) set forth in Schedule A hereto, and (ii) with respect to the grant by the Fund to the Underwriters, acting severally and not join
CLEARBRIDGE AMERICAN ENERGY MLP FUND INC. [—] Shares of Common Stock (Par Value $0.001 per Share) UNDERWRITING AGREEMENTUnderwriting Agreement • June 21st, 2013 • Clearbridge American Energy MLP Fund Inc. • New York
ClearBridge American Energy MLP Fund Inc., a Maryland corporation (the “Fund”) and the Fund’s investment adviser, Legg Mason Partners Fund Advisor, LLC, a Delaware limited liability company (the “Investment Adviser”) and its investment sub-adviser, ClearBridge Investments, LLC, a Delaware limited liability company (the “Sub-Adviser” and together with the Investment Adviser, 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 Un
EATON VANCE FLOATING-RATE INCOME PLUS FUND [NUMBER OF FIRM SHARES] Common Shares of Beneficial Interest (Par Value $0.01 per Share) UNDERWRITING AGREEMENTUnderwriting Agreement • May 23rd, 2013 • Eaton Vance Floating-Rate Income Plus Fund • New York
Eaton Vance Floating-Rate Income Plus Fund, a Massachusetts business trust (the “Fund”) and the Fund’s investment adviser, Eaton Vance Management, a Massachusetts business trust (the “Adviser”), 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 severally and not jointly, of the respective numbers of common shares of beneficial interest, par value $0.01 per share, of the Fund (“Common Shares”) set forth in Schedule A here
IVY HIGH INCOME OPPORTUNITIES FUND [—] Common Shares of Beneficial Interest (Par Value $.001 per Share) UNDERWRITING AGREEMENTUnderwriting Agreement • April 24th, 2013 • Ivy High Income Opportunities Fund • New York
Ivy High Income Opportunities Fund, a Delaware statutory trust (the “Fund”) and the Fund’s investment adviser, Ivy Investment Management Company, a Delaware Corporation (the “Adviser”), 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 severally and not jointly, of the respective numbers of common shares of beneficial interest, par value $.001 per share, of the Fund (“Common Shares”) set forth in Schedule A hereto, and (
Nuveen Intermediate Duration Quality Municipal Term Fund (a Massachusetts business trust) [—] Shares (Par Value $.01 per Share) UNDERWRITING AGREEMENTUnderwriting Agreement • February 6th, 2013 • Nuveen Intermediate Duration Quality Municipal Term Fund • New York
Nuveen Intermediate Duration Quality Municipal Term Fund, a Massachusetts business trust (the “Fund”), its investment adviser, Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”), its subadviser, Nuveen Asset Management, LLC, a Delaware limited liability company (the “Subadviser” and together with the Adviser, the “Advisers”), confirm their agreement with Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”), [OTHER REPRESENTATIVES] 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, [—] and Nuveen Securities, LLC (“Nuveen”) are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Fund and the purchase by the Underwriters, acting severally and not jointly, of the respective number of shares of the Fund (“Shares”) se
PRUDENTIAL GLOBAL SHORT DURATION HIGH YIELD FUND, INC. [·] Shares of Common Stock (Par Value .001 per Share) UNDERWRITING AGREEMENTUnderwriting Agreement • November 21st, 2012 • Prudential Global Short Duration High Yield Fund, Inc. • New York
Prudential Global Short Duration High Yield Fund, Inc., a Maryland corporation (the “Fund”), the Fund’s investment manager, Prudential Investments LLC, a New York limited liability company (the “Manager”) and its investment subadviser, Prudential Investment Management, Inc., a New Jersey corporation (the “Subadviser” 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
UNDERWRITING AGREEMENTUnderwriting Agreement • November 15th, 2012 • Nuveen California Amt-Free Municipal Income Fund • New York
THE GABELLI EQUITY TRUST INC. [ ] Shares, [ ]% Series H Cumulative Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • September 26th, 2012 • Gabelli Equity Trust Inc • New York
The Gabelli Equity Trust Inc., a Maryland corporation (the “Fund”), and Gabelli Funds, LLC, a limited liability company organized under the laws of the state of New York (the “Investment Adviser”), confirm their agreement with Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”) and each of the other Underwriters named in Schedule I hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom Merrill Lynch is acting as Representative (in such capacity, the “Representative”), with respect to the issue and sale by the Fund and the purchase by the Underwriters, acting severally and not jointly, of the respective number of shares set forth in said Schedule I of an aggregate of [ ] shares of the Fund’s [ ]% Series H Cumulative Preferred Stock (the “Securities”). The Securities will be authorized by, and subject to the terms and conditions of, the Fund’s Articles of Incorporation an
BABSON CAPITAL GLOBAL SHORT DURATION HIGH YIELD FUND Common Shares of Beneficial Interest (Par Value $.00001 per Share) UNDERWRITING AGREEMENT [DATE OF EXECUTION]Underwriting Agreement • September 24th, 2012 • Babson Capital Global Short Duration High Yield Fund • New York
Babson Capital Global Short Duration High Yield Fund, a Massachusetts business trust (the “Fund”), the Fund’s manager, Babson Capital Management LLC, a Delaware limited liability company (the “Manager”) and its investment subadviser, Babson Capital Global Advisors Limited, a private limited company incorporated under the laws of England and Wales (the “Subadviser” 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 t
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
SALIENT MIDSTREAM & MLP FUND (a Delaware Statutory Trust) Common Shares of Beneficial Interest (Par Value $0.01 per Share) UNDERWRITING AGREEMENTUnderwriting Agreement • May 24th, 2012 • Salient Midstream & MLP Fund • New York
Salient Midstream & MLP Fund, a Delaware statutory trust (the “Fund”) and the Fund’s investment adviser, Salient Capital Advisors, LLC, a Texas limited liability company (the “Adviser”) 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 severally and not jointly, of the respective numbers of common shares of beneficial interest, par value $0.01 per share, of the Fund (“Common Shares”) set forth in Schedule A hereto, and (
LEGG MASON BW GLOBAL INCOME OPPORTUNITIES FUND INC. [NUMBER OF FIRM SHARES] Shares COMMON STOCK ($.001 PAR VALUE) UNDERWRITING AGREEMENT March [—], 2012Underwriting Agreement • March 27th, 2012 • Legg Mason BW Global Income Opportunities Fund Inc. • New York
Legg Mason BW Global Income Opportunities Fund Inc., a Maryland corporation (the “Fund”) and the Fund’s investment manager, Legg Mason Partners Fund Advisor, LLC, a Delaware limited liability company (the “LMPFA”) and its investment sub-adviser, Brandywine Global Investment Management, LLC, a Delaware limited liability company (the “Sub-Adviser” and together with the LMPFA, the “Advisers”) each confirms its agreement with Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”), [NAME OF OTHER REPRESENTATIVE] (“[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 “Representatives”), with respect to (i) the sale by the Fund and the purchase by the Underwrit
BROOKFIELD GLOBAL LISTED INFRASTRUCTURE INCOME FUND INC. [·] Shares COMMON STOCK ($[·] PAR VALUE) FORM OF UNDERWRITING AGREEMENTUnderwriting Agreement • August 17th, 2011 • Brookfield Global Listed Infrastructure Income Fund Inc. • New York
Brookfield Global Listed Infrastructure Income Fund Inc., a Maryland corporation (the “Fund”), the Fund’s investment adviser, Brookfield Investment Management Inc., a Delaware corporation (the “Investment Adviser”) and the Fund’s investment sub-adviser, AMP Capital Brookfield (US) LLC, a Delaware limited liability company (the “Sub-Adviser” and together with the Investment Adviser, the “Advisers”) each confirms its agreement with Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”) and [Names of Other Co-Leads] 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 for in Section 10), for whom Merrill Lynch and [Names of Other Co-Leads] are acting as representatives (in such capacity, the “Representatives”), with respect to (i) the sale by the Fund and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of
UNDERWRITING AGREEMENTUnderwriting Agreement • May 31st, 2011 • Nuveen California Dividend Advantage Municipal Fund 3 • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • April 4th, 2011 • Nuveen California Dividend Advantage Municipal Fund 3 • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • March 30th, 2011 • Nuveen Ohio Dividend Advantage Municipal Fund 3 • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • March 14th, 2011 • Nuveen Ohio Dividend Advantage Municipal Fund • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • January 24th, 2011 • Nuveen Arizona Dividend Advantage Municipal Fund 3 • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • January 13th, 2011 • Nuveen Massachusetts Premium Income Municipal Fund • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • December 9th, 2010 • Nuveen Connecticut Premium Income Municipal Fund • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • December 7th, 2010 • Nuveen North Carolina Premium Income Municipal Fund • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • November 12th, 2010 • Nuveen Ohio Dividend Advantage Municipal Fund • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • November 8th, 2010 • Nuveen Michigan Dividend Advantage Municipal Fund • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • October 26th, 2010 • Nuveen Texas Quality Income Municipal Fund • New York
Western Asset High Yield Defined Opportunity Fund Inc. (a Maryland corporation) [•] Shares of Common Stock (Par Value $0.001 per Share) UNDERWRITING AGREEMENTUnderwriting Agreement • October 20th, 2010 • Western Asset High Yield Defined Opportunity Fund Inc. • New York
Western Asset High Yield Defined Opportunity Fund Inc., a Maryland corporation (the “Fund”), the Fund’s investment manager, Legg Mason Partners Fund Advisor, LLC, a Delaware limited liability company (“LMPFA”) and the Fund’s subadviser, Western Asset Management Company, a California corporation (the “Subadviser” and, together with LMPFA, the “Advisers” and each an “Adviser”), each confirms its agreement with Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”) and[other Underwriters] 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 and [other co-leads] are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Fund and the purchase by the Underwriters, acting severally and not jointly, of the respective number of shares of common stock, par v
UNDERWRITING AGREEMENTUnderwriting Agreement • October 20th, 2010 • Nuveen Pennsylvania Dividend Advantage Municipal Fund 2 • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • October 13th, 2010 • Nuveen California Dividend Advantage Municipal Fund 2 • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • October 12th, 2010 • Nuveen Arizona Dividend Advantage Municipal Fund • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • September 28th, 2010 • Nuveen Pennsylvania Dividend Advantage Municipal Fund 2 • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • September 27th, 2010 • Nuveen New Jersey Dividend Advantage Municipal Fund 2 • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • September 16th, 2010 • Nuveen California Premium Income Municipal Fund • New York
