Pre-Effective Amendment to Registration Statement of a Closed-End Investment Company — Form N-2
Filing Table of Contents
Document/Exhibit Description Pages Size
1: N-2/A Amendment to Registration 106 553K
2: EX-99.D Form of Share Certificate 3 13K
3: EX-99.E Terms & Conditions of Dividend Reinvestment Plan 4 20K
4: EX-99.G.1 Investment Management Agreement 8 31K
5: EX-99.G.2 Management Fee Waiver Agreement 2 13K
6: EX-99.H.1 Form of Underwriting Agreement 35 127K
7: EX-99.H.2 Form of Standard Dealer Agreement 6 29K
8: EX-99.H.3 Form of Master Agreement Among Underwriters 24 93K
9: EX-99.J.1 Custody Agreement 24 83K
10: EX-99.J.2 Foreign Custody Management Agreement 7 22K
11: EX-99.K.1 Stock Transfer Agency Agreement 17 47K
12: EX-99.K.2 Fund Accounting Service Agreement 11 38K
13: EX-99.L.1 Opinion of Vedder, Price, Kaufman and Kammholz 3 16K
14: EX-99.L.2 Opinion of Morris, Nichols, Arght and Tunnell 3 18K
15: EX-99.N Consent of Auditors 1 8K
16: EX-99.P Subscription Agreement 3 13K
17: EX-99.R Code of Ethics 25 78K
18: EX-99.S Powers of Attorney 5 13K
EX-99.D — Form of Share Certificate
| EX-99.D | 1st Page of 3 | TOC | ↑Top | Previous | Next | ↓Bottom | Just 1st |
|---|
EXHIBIT d
CALAMOS CONVERTIBLE AND HIGH INCOME FUND
A STATUTORY BUSINESS TRUST (THE "TRUST")
FORM OF SPECIMEN CERTIFICATE
[Download Table]
NUMBER SHARES
______
THIS CERTIFICATE IS
TRANSFERABLE IN
NEW YORK
CUSIP NO. [____________]
SEE REVERSE FOR CERTAIN
DEFINITIONS
FULLY PAID AND NON-ASSESSABLE COMMON SHARES OF BENEFICIAL INTEREST, NO PAR
VALUE, OF
Calamos Convertible and High Income Fund, a series of the Trust, transferable on
the books of the Trust by the holder hereof in person or by duly authorized
attorney upon surrender of this Certificate properly endorsed. This Certificate
and the shares represented hereby are issued and shall be subject to all of the
provisions of the Agreement and Declaration of Trust and By-Laws of the Trust,
each as from time to time amended, to all of which the holder by acceptance
hereof assents. This Certificate is not valid until countersigned and registered
by the Transfer Agent and Registrar.
Witness the facsimile signatures of its duly authorized officers
DATED:
_______________________________ _______________________________
James S. Hamman, Jr. John P. Calamos
Secretary President
COUNTERSIGNED AND REGISTERED;
THE BANK OF NEW YORK
TRANSFER AGENT AND REGISTRAR
BY ____________________________
AUTHORIZED SIGNATURE
CALAMOS CONVERTIBLE AND HIGH INCOME FUND
The following abbreviations, when used in the inscription on the face on
this certificate, shall be construed as though they were written out in full
according to applicable laws or regulations;
[Enlarge/Download Table]
TEN COM - as tenants in common UNIF GIFT MIN ACT - ____ Custodian _____
(Cust) (Minor)
TEN ENT - as tenants by the entireties under Uniform Gifts to Minors
Act__________________________
(State)
JT TEN - as joint tenants with right
of survivorship and not as
tenants in common
Additional abbreviations may also be used though not in the above list.
For value received, _______________ hereby sell, assign and transfer unto
PLEASE INSERT SOCIAL SECURITY OR OTHER
IDENTIFYING NUMBER OF ASSIGNEE
__________________________________________
________________________________________________________________________________
(PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS INCLUDING ZIP CODE OF ASSIGNEE)
________________________________________________________________________________
________________________________________________________________________________
_________________________________________________________________________ Shares
of Beneficial Interest represented by the within certificate and do hereby
irrevocably constitute and appoint _____________________________________________
________________________________________________________________________________
Attorney to transfer the said Shares of Beneficial Ownership on the books of the
within named Trust with full power of substitution in the premises.
Dated:________________________________
____________________________________
Signature
NOTICE: THE SIGNATURE(S) TO THIS
ASSIGNMENT MUST CORRESPOND WITH THE
NAME AS WRITTEN UPON THE FACE OF THE
CERTIFICATE IN EVERY PARTICULAR,
WITHOUT ALTERATION OR ENLARGEMENT,
OR ANY CHANGE WHATEVER.
Signature(s) Guaranteed:
By _____________________________________________________________________________
THE SIGNATURE(S) SHOULD BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION
(BANKS, STOCKHOLDERS, SAVINGS AND LOAN ASSOCIATIONS AND CREDIT UNIONS WITH
MEMBERSHIP IN AN APPROVED SIGNATURE GUARANTEE MEDALLION PROGRAM), PURSUANT TO
S.E.C. RULE 17 AD-15.
3 Subsequent Filings that Reference this Filing
↑Top
Filing Submission 0000950137-03-003174 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help —
Mon., May 6, 11:01:34.1pm ET 