ARTICLE I DEFINITIONSCustody Agreement • June 15th, 2001 • 1 800 Mutuals Advisor Series • Ohio
AMENDED AND RESTATED DISTRIBUTION AGREEMENTDistribution Agreement • July 27th, 2012 • Usa Mutuals • Wisconsin
THIS AGREEMENT is made and entered into as of this 24th day of July, 2012, by and between USA MUTUALS, a Delaware business trust (the “Trust”) acting for and on behalf of each series as are currently authorized and issued by the Trust or may be authorized and issued by the Trust subsequent to the date of this Agreement (each a “Fund” and collectively the “Funds”) and QUASAR DISTRIBUTORS, LLC, a Delaware limited liability company (the “Distributor”). MUTUALS ADVISORS, INC., the investment advisor to the Trust (the “Advisor”), is a party hereto with respect to Section 5 only.
FUND ACCOUNTING SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of this 23rd day of May, 2001, by and between 1-800-MUTUALS Advisor Series, a business trust organized under the laws of the State of Delaware (hereinafter referred to as...Fund Accounting Servicing Agreement • June 15th, 2001 • 1 800 Mutuals Advisor Series • Wisconsin
INVESTMENT ADVISORY AGREEMENT 1-800-MUTUALS ADVISOR SERIES AGREEMENT made this 14th day of June, 2001, by and between 1-800-MUTUALS Advisor Series, a Delaware business trust (the "Trust"), and 1-800-Mutuals, Inc., or MUTUALS.com, Inc., a Texas...Investment Advisory Agreement • June 15th, 2001 • 1 800 Mutuals Advisor Series • Delaware
TRANSFER AGENT SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of this 23rd day of May, 2001, by and between 1-800-MUTUALS Advisor Series, a business trust organized under the laws of the State of Delaware (hereinafter referred to as...Transfer Agent Servicing Agreement • June 15th, 2001 • 1 800 Mutuals Advisor Series • Wisconsin
Page 1 FUND ADMINISTRATION SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of this 23rd day of May, 2001, by and between 1-800-MUTUALS Advisor Series, a business trust organized under the laws of the State of Delaware (hereinafter...Fund Administration Servicing Agreement • June 15th, 2001 • 1 800 Mutuals Advisor Series • Wisconsin
AMENDED AND RESTATED FUND ACCOUNTING SERVICING AGREEMENTFund Accounting Servicing Agreement • July 27th, 2012 • Usa Mutuals • Wisconsin
THIS AGREEMENT is made and entered into as of this 24th day of July, 2012, by and between USA MUTUALS, a Delaware business trust (the “Trust”), acting for and on behalf of each series as are currently authorized and issued by the Trust or may be authorized and issued by the Trust subsequent to the date of this Agreement (each a “Fund” and collectively the “Funds”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”).
DISTRIBUTION AGREEMENTDistribution Agreement • July 26th, 2018 • Usa Mutuals • Delaware
THIS AGREEMENT is made and entered into as of this 4th day of April, 2018 by and between USA Mutuals, a Delaware statutory trust (the “Client”) and Compass Distributors, LLC, a Delaware limited liability company (the “Distributor”).
FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • July 29th, 2010 • Usa Mutuals • Wisconsin
THIS AGREEMENT is made and entered into this 29 day of August, 2005, by and between MUTUALS.COM, a Delaware statutory trust (the "Trust") and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”).
EXPENSE WAIVER AND REIMBURSEMENT AGREEMENT AGREEMENT made this 14th day of June 2001, between 1-800-MUTUALS Advisor Series, a Delaware business trust (the "Trust"), on behalf of each series of the Trust (the "Funds") and 1-800-Mutuals, Inc., or...Expense Waiver and Reimbursement Agreement • June 15th, 2001 • 1 800 Mutuals Advisor Series
AMENDED AND RESTATED TRANSFER AGENT SERVICING AGREEMENTTransfer Agent Servicing Agreement • July 27th, 2012 • Usa Mutuals • Wisconsin
THIS AGREEMENT is made and entered into as of this 24th day of July, 2012, by and between USA MUTUALS, a Delaware business trust (the “Trust”), acting for and on behalf of each series as are currently authorized and issued by the Trust or may be authorized and issued by the Trust subsequent to the date of this Agreement (each a “Fund” and collectively the “Funds”), and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”).
USA MUTUALS AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT with USA MUTUALS ADVISORS, INC.Investment Advisory Agreement • July 25th, 2014 • Usa Mutuals • Delaware
THIS AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT (the “Agreement”) is made as of the 29th day of July, 2014, by and between USA Mutuals, a Delaware statutory trust (the “Trust”), on behalf of each series of the Trust listed in Schedule A attached hereto, as may be amended from time to time (each, a “Fund” and together, the “Funds”), and USA Mutuals Advisors, Inc., a Texas corporation (the “Advisor”).
MUTUALS.COM ADDENDUM TO THE FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • July 29th, 2010 • Usa Mutuals
THIS ADDENDUM dated as of the 26TH Day of January, 2007, to the Fund Administration Servicing Agreement, dated as of August 29, 2005 (the "Agreement"), is entered by and between MUTUALS.COM, a Delaware statutory trust (the "Trust") and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company ("USBFS").
AMENDED AND RESTATED CUSTODY AGREEMENTCustody Agreement • July 27th, 2012 • Usa Mutuals • Minnesota
THIS AGREEMENT is made and entered into as of the 24th day of July, 2012, by and between USA MUTUALS, a Delaware business trust (the “Trust”), acting for and on behalf of each series as are currently authorized and issued by the Trust or may be authorized and issued by the Trust subsequent to the date of this Agreement (each a “Fund” and collectively the “Funds”) and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America (the “Custodian”).
Distribution agreement THIS AGREEMENT is made and entered into as of this 23rd day of May, 2001, by and among 1-800-MUTUALS Advisor Series, a Delaware business trust ("Trust"), MUTUALS.com, Inc., a corporation organized under the laws of the State of...Distribution Agreement • June 15th, 2001 • 1 800 Mutuals Advisor Series • Wisconsin
SECURITIES LENDING AGREEMENTSecurities Lending Agreement • July 26th, 2019 • Usa Mutuals • Minnesota
THIS SECURITIES LENDING AGREEMENT (“Agreement”) is made and entered into effective as of 1/22/19, 2019, by and between U.S. BANK NATIONAL ASSOCIATION (“Bank”) and USA MUTUALS, on behalf of each respective series identified in Exhibit A attached hereto and made a pa1t hereof (each such series hereinafter referred to as a separate “Customer”).
USA MUTUALS SUB-ADVISORY AGREEMENTSub-Advisory Agreement • October 16th, 2017 • Usa Mutuals • Texas
This SUB-ADVISORY AGREEMENT (the “Agreement”) is entered into as of the 16th day of October, 2017 by and between USA Mutuals Advisors, Inc., a Texas corporation (the “Advisor”), and WaveFront Global Asset Management Corporation, a Canadian corporation (the “Sub-advisor”) (and together with the Advisor, referred to herein as the “parties”).
GLOBAL CUSTODY AGREEMENTGlobal Custody Agreement • July 29th, 2010 • Usa Mutuals • Ohio
THIS AGREEMENT is made and entered into as of this 22nd day of May, 2007, by and between MUTUALS.COM, a Delaware statutory trust (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America with its principal place of business at Cincinnati, Ohio (the “Custodian”).
USA MUTUALS AMENDMENT TO THE FUND ACCOUNTING SERVICING AGREEMENTFund Accounting Servicing Agreement • July 29th, 2010 • Usa Mutuals
THIS AMENDMENT dated as of the 16th day of February, 2009, to the Fund Accounting Servicing Agreement dated as of August 29, 2005, as amended (the "Agreement"), is entered into by and between USA MUTUALS, a Delaware business trust (the "Trust") and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company ("USBFS").
AMENDED AND RESTATED EXPENSE WAIVER AND REIMBURSEMENT AGREEMENTExpense Waiver and Reimbursement Agreement • July 31st, 2006 • Mutuals Com
AGREEMENT made this 31st day of July, 2006, between MUTUALS.com, a Delaware business trust (the “Trust”), on behalf of each series of the Trust (the “Funds”), and Mutuals Advisors, Inc., a Texas Corporation (the “Advisor”).
USA MUTUALS EXPENSE WAIVER AND REIMBURSEMENT AGREEMENT with USA MUTUALS ADVISORS, INC.Expense Waiver and Reimbursement Agreement • July 29th, 2016 • Usa Mutuals
This EXPENSE WAIVER AND REIMBURSEMENT AGREEMENT (“Agreement”) is made this 27th day of May, 2016, by and between USA MUTUALS, a Delaware statutory trust (the “Trust”), on behalf of each series of the Trust (each, a Fund,” and collectively, the “Funds”), as indicated on Schedule A to this Agreement, as may be amended from time to time, and USA Mutuals Advisors, Inc., a Texas corporation (the “Advisor”).
THIRD AMENDMENT TO THE USA MUTUALS AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT with USA MUTUALS ADVISORS, INC.Investment Advisory Agreement • December 29th, 2015 • Usa Mutuals
THIS THIRD AMENDMENT dated as of December 11, 2015, to the Amended and Restated Investment Advisory Agreement, dated as of July 29, 2014 (the “Agreement”), is entered into by and between USA MUTUALS (the “Trust”), on behalf of the series of the Trust as indicated on Amended Schedule A to the Agreement, as may be amended from time to time (each, a “Fund,” and collectively, the “Funds”), and USA Mutuals Advisors, Inc. (hereinafter called the “Adviser”).
USA MUTUALS AMENDMENT TO THE AMENDED AND RESTATED CUSTODY AGREEMENTCustody Agreement • July 29th, 2020 • Usa Mutuals
THIS AMENDMENT effective as of the 1st day of February 2020, to the Amended and Restated Custody Agreement as amended (the “Agreement”), is entered into by and between USA MUTUALS, a Delaware business trust (the “Trust” or “Company”) and U.S. BANK, N.A., a national banking association (the “Custodian”).
SECOND AMENDMENT TO THE USA MUTUALS EXPENSE WAIVER AND REIMBURSEMENT AGREEMENT with MUTUALS ADVISORS, INC.Expense Waiver and Reimbursement Agreement • July 29th, 2013 • Usa Mutuals
THIS SECOND AMENDMENT dated as of July 25, 2013, to the Expense Waiver and Reimbursement Agreement, dated as of July 21, 2011, as amended December 6, 2011 (the “Agreement”), is entered into by and between USA MUTUALS (the “Trust”), on behalf of each series of the Trust as indicated on Schedule A to the Agreement, as may be amended from time to time (each, a “Fund,” and collectively, the “Funds”), and Mutuals Advisors, Inc. (hereinafter called the “Advisor”).
USA MUTUALS AMENDMENT TO THE AMENDED AND RESTATED FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • July 29th, 2020 • Usa Mutuals
THIS AMENDMENT effective as of the 1st day of February 2020, to the Amended and Restated Fund Administration Servicing Agreement as amended (the “Agreement”), is entered into by and between USA MUTUALS, a Delaware business trust (the “Trust” or “Company”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”).
FIRST AMENDMENT TO THE USA MUTUALS AMENDED AND RESTATED EXPENSE WAIVER AND REIMBURSEMENT AGREEMENT with USA MUTUALS ADVISORS, INC.Expense Waiver and Reimbursement Agreement • May 5th, 2015 • Usa Mutuals
THIS FIRST AMENDMENT dated as of April 29, 2015, to the Amended and Restated Expense Limitation Agreement, dated as of July 29, 2014 (the “Agreement”), is entered into by and between USA MUTUALS (the “Trust”), on behalf of the series of the Trust as indicated on Amended Schedule A to the Agreement, as may be amended from time to time (each, a “Fund,” and collectively, the “Funds”), and USA Mutuals Advisors, Inc. (hereinafter called the “Adviser”).
AGREEMENT AND PLAN OF REORGANIZATIONAgreement and Plan of Reorganization • June 8th, 2005 • Mutuals Com • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION (this “Agreement”) is made as of this __th day of ________, 2005, by MUTUALS.com, a Delaware statutory trust, for itself and on behalf of the Generation Wave Aggressive Growth Fund and Generation Wave Alternative Growth Fund, (the “Acquired Funds”) and on behalf of the Generation Wave Growth Fund (the “Acquiring Fund”), each a series of MUTUALS.com, and, Mutuals Advisors, Inc. (the “Advisor”), a Delaware corporation for certain requirements as set for the below.
USA MUTUALS AMENDMENT TO THE AMENDED AND RESTATED TRANSFER AGENT SERVICING AGREEMENTTransfer Agent Servicing Agreement • July 27th, 2015 • Usa Mutuals
THIS AMENDMENT dated as of the 10th day of June, 2015, to the Amended and Restated Transfer Agent Servicing Agreement originally made and entered into as of August 29, 2005, amended and restated as of July 24, 2012 and further amended June 11, 2013 (the "Agreement"), is entered into by and between USA MUTUALS, a Delaware business trust (the "Trust" or “Company”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company ("USBFS").
EXPENSE WAIVER AND REIMBURSEMENT AGREEMENTExpense Waiver and Reimbursement Agreement • July 23rd, 2009 • Usa Mutuals
AGREEMENT made this 31st day of July, 2009, between USA MUTUALS, a Delaware statutory trust (the “Trust”), on behalf of each series of the Trust (each, a Fund,” and collectively, the “Funds”), and Mutuals Advisors, Inc., a Texas Corporation (the “Advisor”).
USA MUTUALS AMENDMENT TO THE AMENDED AND RESTATED CUSTODY AGREEMENTCustody Agreement • July 27th, 2015 • Usa Mutuals
THIS AMENDMENT dated as of the 10th day of June, 2015, to the Amended and Restated Custody Agreement originally made and entered into as of May 22, 2007, amended and restated as of July 24, 2012 and further amended June 11, 2013 (the "Agreement"), is entered into by and between USA MUTUALS, a Delaware business trust (the "Trust" or “Company”) and U.S. BANK, N.A., a national banking association (the "Custodian").
USA MUTUALS AMENDMENT TO THE AMENDED AND RESTATED DISTRIBUTION AGREEMENTDistribution Agreement • July 27th, 2017 • Usa Mutuals
THIS AMENDMENT effective as of March 1, 2017, to the Amended and Restated Distribution Agreement as of July 24, 2012 (the “Agreement”), is entered into by and among USA MUTUALS, a Delaware business trust, (the “Trust”), QUASAR DISTRIBUTORS, LLC, (the “Distributor”) and USA MUTUALS ADVISORS, INC. (the “Advisor”).
USA MUTUALS AMENDMENT TO THE AMENDED AND RESTATED FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • July 27th, 2015 • Usa Mutuals
THIS AMENDMENT dated as of the 10th day of June, 2015, to the Amended and Restated Fund Administration Servicing Agreement originally made and entered into as of August 29, 2005, amended and restated as of July 24, 2012, and further amended June 11, 2013 (the "Agreement"), is entered into by and between USA MUTUALS, a Delaware business trust (the "Trust" or “Company”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company ("USBFS").
USA MUTUALS PARTNERS, INC. SECOND AMENDMENT TO THE TRANSFER AGENT SERVICING AGREEMENTTransfer Agent Servicing Agreement • July 29th, 2010 • Usa Mutuals
THIS SECOND AMENDMENT dated as of the 4th day of May, 2010, to the Transfer Agent Servicing Agreement dated as of May 29, 2009, as amended August 3, 2009 (the "Agreement"), is entered into by and between USA MUTUALS PARTNERS, INC., a Texas corporation (the "Company") and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company ("USBFS").
USA MUTUALS AMENDMENT TO THE AMENDED AND RESTATED TRANSFER AGENT SERVICING AGREEMENTTransfer Agent Servicing Agreement • July 29th, 2020 • Usa Mutuals
THIS AMENDMENT effective as of the 1st day of February 2020, to the Amended and Restated Transfer Agent Servicing Agreement as amended (the “Agreement”), is entered into by and between USA MUTUALS, a Delaware business trust (the “Trust” or “Company”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”).
SECOND AMENDMENT TO DISTRIBUTION AGREEMENTDistribution Agreement • July 29th, 2020 • Usa Mutuals • Delaware
This second amendment (this “ Amendment”) to the Distribution Agreement dated as of April 4, 2018 (the “Agreement”) by and between USA Mutuals (the “Client”) and Compass Distributors , LLC (“Foreside”) is entered into with an effective date of September 30, 2019 (the “Effective Date”).
