EXHIBIT 13.1 SUBSCRIPTION AGREEMENT HX Funds, Inc. San Francisco, California Gentlemen: The undersigned hereby subscribes to 10,000 shares of the Common Stock, $.0001 par value per share, of HX Funds, consisting of 3,333 shares of the Micro Cap Fund,...Subscription Agreement • December 4th, 1995 • Van Wagoner Funds Inc
The undersigned hereby subscribes to 10,000 shares of the Common Stock, $.0001 par value per share, of HX Funds, consisting of 3,333 shares of the Micro Cap Fund, 3,334 shares of the Emerging Growth Fund and 3,333 shares of the Mid-Cap Fund, in consideration for which the undersigned agrees to transfer to you upon demand cash in the amount of $100,000 ($10 per share of each Fund). It is understood that upon receipt by you of payment therefor, said shares shall be issued and shall be deemed to be fully paid and nonassessable.
Investment Advisory Agreement INVESTMENT ADVISORY AGREEMENT Agreement made this 31st day of December, 1997 between Van Wagoner Funds, Inc., a Maryland corporation (the "Company"), and Van Wagoner Capital Management, Inc., a California corporation (the...Investment Advisory Agreement • October 17th, 1997 • Van Wagoner Funds Inc
EXHIBIT 6 DISTRIBUTION AGREEMENT THIS AGREEMENT is made as of this 31st day of December, 1995, by and between Van Wagoner Funds, Inc., a Maryland corporation (the "Corporation") and Sunstone Financial Group, Inc., a Wisconsin corporation (the...Distribution Agreement • December 4th, 1995 • Van Wagoner Funds Inc • Wisconsin
CUSTODY AGREEMENT BETWEEN THE HUNTINGTON NATIONAL BANK EMBARCADERO FUNDS INC.Custody Agreement • April 27th, 2009 • Embarcadero Funds Inc • Ohio
ARTICLE ITransfer Agency Agreement • October 17th, 1997 • Van Wagoner Funds Inc • Wisconsin
EXHIBIT 1 ---------Agreement • February 24th, 2000 • Van Wagoner Funds Inc • Services-prepackaged software
AGREEMENT, dated as of February 24, 2000, by and among Van Wagoner Capital Management, Inc., a Delaware corporation and Van Wagoner Funds, Inc., a Maryland corporation.
AMENDED APPENDIX B - CUSTODY AGREEMENTCustody Agreement • October 17th, 1997 • Van Wagoner Funds Inc
WITNESSETH:Investment Advisory Agreement • April 29th, 2004 • Van Wagoner Funds Inc • California
EXHIBIT 4 ---------Voting Agreement • February 24th, 2000 • Van Wagoner Funds Inc • Services-prepackaged software • Washington
WITNESSETH:Investment Advisory Agreement • April 29th, 2004 • Van Wagoner Funds Inc • California
RECITALS:Accounting Services Agreement • April 27th, 2009 • Embarcadero Funds Inc • Ohio
TRANSFER AGENCY SERVICES AGREEMENT THIS AGREEMENT is made as of December 9, 2000 by and between PFPC INC., a Massachusetts corporation ("PFPC"), and VAN WAGONER FUNDS, INC., a Maryland corporation (the "Fund"). W I T N E S S E T H: WHEREAS, the Fund...Transfer Agency Services Agreement • April 30th, 2001 • Van Wagoner Funds Inc
Exhibit 23(d)(2) Form of Investment Advisory Agreement FORM OF INVESTMENT ADVISORY AGREEMENT THIS INVESTMENT ADVISORY AGREEMENT (the "Agreement") is made as of the ___ day of ________, 200_, by and between VAN WAGONER FUNDS, INC., a Maryland...Investment Advisory Agreement • December 18th, 2002 • Van Wagoner Funds Inc • California
EXHIBIT 9.1 ADMINISTRATION AND FUND ACCOUNTING AGREEMENT THIS AGREEMENT is made as of this 31st day of December, 1995, by and between Van Wagoner Funds, Inc., a Maryland Corporation (the "Corporation"), and Sunstone Financial Group, Inc., a Wisconsin...Administration and Fund Accounting Agreement • December 4th, 1995 • Van Wagoner Funds Inc • Wisconsin
EXHIBIT 5 INVESTMENT ADVISORY AGREEMENT Agreement made this _____ day of December, 1995 between Van Wagoner Funds, Inc., a Maryland corporation (the "Company"), and Van Wagoner Capital Management, Inc., a California corporation (the "Adviser"). W I T...Investment Advisory Agreement • December 4th, 1995 • Van Wagoner Funds Inc
EXHIBIT 13.2 ORGANIZATIONAL EXPENSES AGREEMENT HX Funds, Inc., a Maryland corporation (the "Company") and Van Wagoner Capital Management, Inc., a California corporation (the "Adviser"), in consideration for the engagement by the Adviser as the...Organizational Expenses Agreement • December 4th, 1995 • Van Wagoner Funds Inc
FORM OF INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • February 26th, 2010 • Embarcadero Funds Inc
AGREEMENT (“Agreement”), made this ____ day of ______, 2009, between Embarcadero Funds, Inc., a Maryland corporation (the “Company”), and Van Wagoner Capital Management, Inc., a Delaware corporation (the “Adviser”).
CUSTODY AGREEMENT Dated October 2, 2009 Between UMB BANK, N.A. and EMBARCADERO FUNDSCustody Agreement • February 26th, 2010 • Embarcadero Funds Inc
AMENDED AND RESTATED SCHEDULE A TO THE ADMINISTRATION AND FUND ACCOUNTING AGREEMENT BY AND BETWEEN VAN WAGONER FUNDS, INC. AND SUNSTONE FINANCIAL GROUP, INC.Administration and Fund Accounting Agreement • October 17th, 1997 • Van Wagoner Funds Inc
INVESTMENT ADVISORY AGREEMENT AGREEMENT ("Agreement"), made this twenty sixth day of September, 2008, between Van Wagoner Funds, Inc., a Maryland corporation (the "Company"), and Van Wagoner Capital Management, Inc., a Delaware corporation (the...Investment Advisory Agreement • February 26th, 2009 • Embarcadero Funds Inc
AGREEMENT ("Agreement"), made this twenty sixth day of September, 2008, between Van Wagoner Funds, Inc., a Maryland corporation (the "Company"), and Van Wagoner Capital Management, Inc., a Delaware corporation (the "Adviser"). W I T N E S S E T H : WHEREAS, the Company is currently registered with the Securities and Exchange Commission under the Investment Company Act of 1940 (the "Act") as an open-end management investment company. The Company's authorized shares are divided into series, including the Small-Cap Growth Fund (the "Fund"); WHEREAS, the Adviser, which is an investment adviser registered under the Investment Advisers Act of 1940, provides investment advisory services to the Fund, pursuant to a separate investment advisory agreement; and WHEREAS, the Company and the Adviser desire to enter into a new investment advisory agreement with respect to the Fund. NOW, THEREFORE, the Company and the Adviser do mutually promise and agree as follows: 1. Employment. The Company hereby
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • April 28th, 2006 • Van Wagoner Funds Inc • California
THIS INVESTMENT ADVISORY AGREEMENT (the “Agreement”) is made as of the 1st day of September, 2003, by and between VAN WAGONER FUNDS, INC., a Maryland corporation (the “Company”), on behalf of the Van Wagoner Emerging Growth Fund (the “Fund”) and VAN WAGONER CAPITAL MANAGEMENT, INC., a California corporation (the “Adviser”).
AMENDMENT TO INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • April 28th, 2006 • Van Wagoner Funds Inc
THIS AMENDMENT TO INVESTMENT ADVISORY AGREEMENT (the “Amendment”) is made as of the 1st day of January, 2006, by and between VAN WAGONER FUNDS, INC., a Maryland corporation (the “Company”), on behalf of Van Wagoner Emerging Growth Fund (the “Fund”) and VAN WAGONER CAPITAL MANAGEMENT, INC., a California corporation (the “Adviser”).
SUBADVISORY AGREEMENT BETWEEN VAN WAGONER CAPITAL MANAGEMENT, INC. ANDSubadvisory Agreement • February 26th, 2010 • Embarcadero Funds Inc • Delaware
AGREEMENT made as of the [ ] day of [ ], 2009, by and between Van Wagoner Capital Management, Inc., a Delaware corporation with its principal office and place of business at 3 Embarcadero Center, Suite 1120, San Francisco, CA, 94111 (the “Adviser”) and [ ], a [ ] with its principal office and place of business at [ ] (the “Subadviser”).
RECITALS:Transfer Agent Agreement • April 27th, 2009 • Embarcadero Funds Inc • Ohio
DISTRIBUTION AGREEMENT THIS AGREEMENT is made as of April 4, 2009 between the Embarcadero Funds (" Company"), a Maryland corporation, and Rafferty Capital Markets, LLC, ("RCM"), a corporation organized and existing under the laws of the State of New...Distribution Agreement • April 27th, 2009 • Embarcadero Funds Inc • New York
DAVID JONES & ASSOC., P.C. Law FirmAgreement and Plan of Reorganization • November 17th, 2010 • Tanaka Funds Inc
ARTICLE ITransfer Agency Agreement • December 4th, 1995 • Van Wagoner Funds Inc • Wisconsin
AMENDMENT TO INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • April 28th, 2006 • Van Wagoner Funds Inc
THIS AMENDMENT TO INVESTMENT ADVISORY AGREEMENT (the “Amendment”) is made as of the 1st day of January, 2006, by and between VAN WAGONER FUNDS, INC., a Maryland corporation (the “Company”), on behalf of Van Wagoner Small-Cap Growth Fund (the “Fund”) and VAN WAGONER CAPITAL MANAGEMENT, INC., a California corporation (the “Adviser”).
Exhibit (e) UNDERWRITING AGREEMENT THIS AGREEMENT is made as of January 1, 2004 by and between PFPC DISTRIBUTORS, INC., a Massachusetts corporation ("PFPC Distributors"), and Van Wagoner Funds, Inc., a Maryland corporation (the "Fund"). W I T N E S S...Underwriting Agreement • April 29th, 2004 • Van Wagoner Funds Inc
AMENDED AND RESTATED EXHIBIT AUnderwriting Agreement • April 11th, 2008 • Van Wagoner Funds Inc
This Amended and Restated Exhibit A, dated as of April 11, 2008, is the Amended and Restated Exhibit A to that certain Underwriting Agreement dated as of January 1, 2004, between PFPC Distributors, Inc. and Van Wagoner Funds, Inc. for the addition of Van Wagoner Post Venture Fund, Van Wagoner Mid-Cap Growth Fund and Van Wagoner Technology Fund.
ContractTransfer Agency Services Agreement • April 27th, 2007 • Van Wagoner Funds Inc
This SECTION 312 “FOREIGN FINANCIAL INSTITUTION’ SPECIAL DUE DILIGENCE ANTI-MONEY LAUNDERING AMENDMENT (this “Amendment”) amends as of June 21, 2006 (the “Effective Date”), the Transfer Agency Services Agreement, dated as of December 9, 2000, between Van Wagoner Funds, Inc. (the “Company” or the “Fund”) and PFPC Inc. (“PFPC”) (the “Agreement”).
OPERATING EXPENSES LIMITATION AGREEMENTOperating Expenses Limitation Agreement • February 26th, 2010 • Embarcadero Funds Inc • California
THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is made as of October 23, 2009, by and between Embarcadero Funds, Inc., a Maryland corporation (the “Company”) on behalf of the Funds listed on Schedule A of this Agreement, each Fund a series of the Company, and the investment adviser of the Funds, Van Wagoner Capital Management, Inc. (the “Adviser”).
VAN WAGONER ALL-CAP GROWTH AND SMALL-CAP GROWTH FUNDSSub-Advisory Agreement • February 26th, 2009 • Embarcadero Funds Inc
AGREEMENT (this “Agreement”) made this 1ST day of October, 2008, by and among Van Wagoner Funds, Inc., a Maryland corporation (the “Company”), Van Wagoner Capital Management, Inc., a Delaware corporation (the “Adviser”), and Husic Capital Management, a California limited partnership (the “Portfolio Manager”).
SECTION 403(B)(7) CUSTODIAL ACCOUNT AGREEMENT (LOGO) VAN WAGONER ----------- FUNDS INTRODUCTIONCustodial Account Agreement • April 28th, 1998 • Van Wagoner Funds Inc • Missouri
SUB-ADVISORY AGREEMENT VAN WAGONER ALL-CAP GROWTH AND SMALL-CAP GROWTH FUNDS AGREEMENT (this "Agreement") made this 1ST day of October, 2008, by and among Van Wagoner Funds, Inc., a Maryland corporation (the "Company"), Van Wagoner Capital Management,...Sub-Advisory Agreement • February 26th, 2009 • Embarcadero Funds Inc
