EXHIBIT (e.6) DISTRIBUTION AGREEMENT AGREEMENT made as of the 1st day of January, 2002, between Heartland Group, Inc. ("HGI"), having its principal place of business at 789 N. Water Street, Milwaukee, Wisconsin 53202, and Heartland Investor Services...Distribution Agreement • March 1st, 2002 • Heartland Group Inc • Ohio
CUSTODIAN CONTRACT Between HEARTLAND GROUP, INC and FIRST WISCONSIN TRUST COMPANYCustodian Contract • October 13th, 1998 • Heartland Group Inc • Wisconsin
EXHIBIT (h.2) TRANSFER AGENCY AGREEMENT AGREEMENT made this 22nd day of October, 2001, between HEARTLAND GROUP, INC. (the "Company") having its principal place of business at 789 N. Water Street, Milwaukee, Wisconsin 53202, and BISYS FUND SERVICES...Transfer Agency Agreement • March 1st, 2002 • Heartland Group Inc • Ohio
EXHIBIT (h.6) -------------Fund Accounting Agreement • March 2nd, 2001 • Heartland Group Inc • Ohio
INVESTMENT MANAGEMENT AGREEMENT This Agreement is made this 29/th/ day of December, 1998, by and between Heartland Group, Inc. ("HGI"), a Maryland corporation registered under the Investment Company Act of 1940 ("1940 Act") as an open-end management...Investment Management Agreement • December 28th, 1998 • Heartland Group Inc • Wisconsin
INVESTMENT ADVISORY AGREEMENT BETWEEN HEARTLAND GROUP, INC. AND HEARTLAND ADVISORS, INC.Investment Advisory Agreement • October 13th, 1998 • Heartland Group Inc
Heartland Funds Logo HEARTLAND INVESTOR SERVICES, LLC 3435 Stelzer Road Columbus, Ohio 43219-3035 DEALER AGREEMENT Ladies and Gentlemen: As the principal underwriter of the shares ("Shares") of certain mutual fund portfolios ("Funds") of Heartland...Dealer Agreement • March 1st, 2002 • Heartland Group Inc • Ohio
EXHIBIT (g) CUSTODIAN AGREEMENT THIS AGREEMENT, dated as of November 17, 2003, between HEARTLAND GROUP, INC., an open-end management investment company organized under the laws of the State of Maryland and registered with the Commission under the 1940...Custodian Agreement • February 27th, 2004 • Heartland Group Inc • New York
Exhibit (e)(5) DISTRIBUTION AGREEMENT This Agreement is made this 29/th/ day of December, 1998, by and between Heartland Group, Inc. ("HGI"), a Maryland corporation registered under the Investment Company Act of 1940 (the "1940 Act") as an open-end...Distribution Agreement • December 28th, 1998 • Heartland Group Inc • Wisconsin
US$25,000,000 CREDIT AGREEMENTCredit Agreement • March 1st, 2005 • Heartland Group Inc • New York
Exhibit (h)(4) ADMINISTRATIVE AGREEMENT This Agreement is made this 29/th/ day of December, 1998, by and between Heartland Group, Inc. ("HGI"), a Maryland corporation registered under the Investment Company Act of 1940 ("1940 Act") as an open-end...Administrative Agreement • December 28th, 1998 • Heartland Group Inc • Wisconsin
HEARTLAND Sub-Transfer Agency Agreement For EMPLOYEE BENEFIT PLAN SERVICES Dated_______________________________ With __________________________ (Supplemented By Fund/SERV Agreement Dated _____________)Sub-Transfer Agency Agreement • March 1st, 2002 • Heartland Group Inc • Wisconsin
Date: __________________Distribution Agreement • October 13th, 1998 • Heartland Group Inc • Wisconsin
Distribution Agreement ---------------------- (under Rule 12b-1)Distribution Agreement • February 26th, 1999 • Heartland Group Inc • Wisconsin
Exhibit 14(c) [Logo] Heartland Funds ---------------------- AMERICA'S VALUE INVESTOR SECTION 403(b)(7) CUSTODIAL ACCOUNT AGREEMENT GENERAL PROCEDURE To establish a Heartland Funds 403(b)(7) Custodial Account, complete the following: - 403(b)(7)...Custodial Account Agreement • March 31st, 1997 • Heartland Group Inc • Wisconsin
EXHIBIT (e.8) HEARTLAND INVESTOR SERVICES, LLC 3435 Stelzer Road Columbus, Ohio 43219-3035 SHAREHOLDER SERVICES AGREEMENT Ladies and Gentlemen: As the principal underwriter of the shares ("Shares") of certain mutual fund portfolios ("Funds") of...Shareholder Services Agreement • March 1st, 2002 • Heartland Group Inc • Ohio
DISTRIBUTION AGREEMENTDistribution Agreement • July 20th, 2007 • Heartland Group Inc • Colorado
DISTRIBUTION AGREEMENT (“Agreement”) dated as of July 12, 2007, between Heartland Group, Inc. (the “Fund”), an open-end, management investment company organized as a corporation under the laws of the State of Maryland, and ALPS Distributors, Inc., a Colorado corporation and a registered broker-dealer under the Securities Exchange Act of 1934, as amended (the “Distributor”).
SHAREHOLDER SERVICING AGREEMENTShareholder Servicing Agreement • February 28th, 2008 • Heartland Group Inc • Colorado
THIS SHAREHOLDER SERVING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and _________________________________________, a _______________________________ company having its principal place of business at______________________________, _________________, _______________(hereinafter “Servicer”).
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • February 28th, 2008 • Heartland Group Inc • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and____________________________________, a _________________________ company having its principal place of business ________________________________________________________ (hereinafter “Broker/Dealer”).
Exhibit (h)(5) ACCOUNTING AND BOOKKEEPING AGREEMENT This Agreement is made this 29/th/ day of December, 1998, by and between Heartland Group, Inc. ("HGI"), a Maryland corporation registered under the Investment Company Act of 1940 ("1940 Act") as an...Accounting and Bookkeeping Agreement • December 28th, 1998 • Heartland Group Inc • Wisconsin
AGREEMENT AND PLAN OF REORGANIZATIONAgreement and Plan of Reorganization • January 28th, 2014 • Heartland Group Inc • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION (the “Agreement”) is made as of this 30th day of September, 2013, by and among Trust for Professional Managers (“TPM”), a Delaware statutory trust, with its principal place of business at 615 East Michigan Street, Milwaukee, WI 53202, with respect to the Heartland International Value Fund, a separate series of TPM (the “Acquired Fund”), Heartland Group, Inc. (“Heartland Group, Inc.”), a Maryland Corporation, with its principal place of business at 789 North Water Street, Suite 500, Milwaukee, WI 53202, with respect to the Heartland International Value Fund, a separate series of Heartland Group, Inc. (the “Acquiring Fund” and, collectively with the Acquired Fund, the “Funds”) and Heartland Advisors, Inc. (the “Advisor”), the investment advisor to the Acquired Fund, located at 789 North Water Street, Suite 500, Milwaukee, WI 53202 (with respect to Paragraphs 6.5 and 9.1 only). Each of the Funds is sometimes referred to herein individually as a “F
EXHIBIT (m.1) HEARTLAND GROUP, INC. AMENDED AND RESTATED RULE 12b-1 PLAN AND AGREEMENT (as of March 1, 1999)Rule 12b-1 Plan and Agreement • February 26th, 1999 • Heartland Group Inc
HEARTLAND GROUP, INC. AMENDED AND RESTATED OPERATING EXPENSE LIMITATION AGREEMENT with HEARTLAND ADVISORS, INC.Operating Expense Limitation Agreement • April 28th, 2023 • Heartland Group Inc • Wisconsin
THIS AMENDED AND RESTATED OPERATING EXPENSE LIMITATION AGREEMENT (the “Agreement”) is entered into effective March 9, 2023 (the “Effective Date”), by and between Heartland Group, Inc. (the “Fund Company”), a Maryland corporation, on behalf of the series of the Fund Company listed in Schedule A hereto, as may be amended from time to time (the “Fund”), and the investment advisor to the Fund, Heartland Advisors, Inc. (the “Advisor”), a Wisconsin corporation.
HEARTLAND GROUP, INC. OPERATING EXPENSE LIMITATION AGREEMENT with HEARTLAND ADVISORS, INC.Operating Expense Limitation Agreement • January 28th, 2014 • Heartland Group Inc • Wisconsin
THIS OPERATING EXPENSE LIMITATION AGREEMENT (the “Agreement”) is made as of the 16 day of May, 2013, by and between Heartland Group, Inc. (the “Fund Company”), a Maryland Corporation, on behalf of the series of the Fund Company listed in Schedule A hereto, as may be amended from time to time (the “Fund”), and the investment advisor to the Fund, Heartland Advisors, Inc. (the “Advisor”), a Wisconsin corporation.
HEARTLAND GROUP, INC. AMENDED AND RESTATED OPERATING EXPENSE LIMITATION AGREEMENT with HEARTLAND ADVISORS, INC.Operating Expense Limitation Agreement • April 28th, 2020 • Heartland Group Inc • Wisconsin
THIS AMENDED AND RESTATED OPERATING EXPENSE LIMITATION AGREEMENT (the “Agreement”) is entered into effective March 16, 2020 (the “Effective Date”), by and between Heartland Group, Inc. (the “Fund Company”), a Maryland corporation, on behalf of the series of the Fund Company listed in Schedule A hereto, as may be amended from time to time (the “Fund”), and the investment advisor to the Fund, Heartland Advisors, Inc. (the “Advisor”), a Wisconsin corporation.
DISTRIBUTION AGREEMENTDistribution Agreement • April 25th, 2006 • Heartland Group Inc • New York
WHEREAS, the Company is an open-end management investment company, organized as a Maryland corporation and registered with the Securities and Exchange Commission (the “Commission”) under the Investment Company Act of 1940, as amended (the “1940 Act”); and
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • April 28th, 2022 • Heartland Group Inc • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203, and ____________________________________, a _______________________ company having its principal place of business at __________________________________________________________ (hereinafter “Broker/Dealer”).
AMENDMENT 10Administration, Bookkeeping and Pricing Services Agreement • April 28th, 2023 • Heartland Group Inc
Except as amended hereby, all terms of the Existing Agreement remain in full force and effect. This Amendment includes the amendments in Schedule A and general terms in Schedule B.
AMENDMENT TO TRANSFER AGENCY AGREEMENT FUND ACCOUNTING AGREEMENT AND BLUE SKY SERVICES AGREEMENTTransfer Agency Agreement, Fund Accounting Agreement, Blue Sky Services Agreement • April 25th, 2006 • Heartland Group Inc
This Amendment, dated as of September 1, 2005 (the “Amendment”), amends the Fund Accounting Agreement dated as of June 30, 2000 (as amended to date, the “Fund Accounting Agreement”), the Transfer Agency Agreement dated as of October 22, 2001 (as amended to date, the “TA Agreement”), and the Blue Sky Services Agreement dated as of October 22, 2001 (as amended to date, the “Blue Sky Agreement,” and together with the Fund Accounting Agreement and the TA Agreement, the “Agreements”), each between Heartland Group, Inc., a Maryland corporation (the “Company”), and BISYS Fund Services Ohio, Inc., an Ohio corporation (“BISYS”).
HEARTLAND GROUP, INC. ACKNOWLEDGEMENT OF CHANGE OF CONTROAL AND ASSIGNMENT OF SERVICE AGREEMENTSAcknowledgement of Change of Control and Assignment of Service Agreements • April 30th, 2012 • Heartland Group Inc
This Acknowledgement of Change of Control and Assignment of Service Agreements is made this 1st day of November, 2011, between Heartland Group, Inc., a Maryland corporation (the “Fund”), and ALPS Fund Services, Inc., a Colorado corporation (“AFSI”).
Mutual Consent to Add Series to Heartland Group, Inc. Investment Advisory Agreement Dated January 12, 1987Investment Advisory Agreement • July 18th, 2013 • Heartland Group Inc • Wisconsin
This Mutual Consent (the “Consent”) by and between Heartland Group, Inc., a Maryland corporation (the “Fund Company”), and Heartland Advisors, Inc., a Wisconsin corporation (the “Advisor”), is made this 16th day of May, 2013, and modifies the Investment Advisory Agreement by and between the Fund Company and the Advisor dated January 12, 1987 (the “Agreement”) in accordance with the terms thereof.
FOURTH AMENDMENT TO FUND ACCOUNTING AGREEMENTFund Accounting Agreement • February 28th, 2008 • Heartland Group Inc • Ohio
This Fourth Amendment to Fund Accounting Agreement (this “Amendment”), dated as of February ___, 2008, amends that certain Fund Accounting Agreement, dated as of June 30, 2000 (the “Agreement”), as previously amended on September 1, 2005, November 25, 2005, and on November 14, 2007 (the “Prior Amendments”), and is entered into between Heartland Group Inc., a Maryland corporation (the “Fund Company”), and Citi Fund Services Ohio, Inc., an Ohio corporation, formerly known as BISYS Fund Services Ohio, Inc. (“Citi”).
Mutual Consent to Add Series to Heartland Group, Inc. Investment Advisory Agreement Dated January 12, 1987Investment Advisory Agreement • January 28th, 2014 • Heartland Group Inc • Wisconsin
This Mutual Consent (the “Consent”) by and between Heartland Group, Inc., a Maryland corporation (the “Fund Company”), and Heartland Advisors, Inc., a Wisconsin corporation (the “Advisor”), is made this 16th day of May, 2013, and modifies the Investment Advisory Agreement by and between the Fund Company and the Advisor dated January 12, 1987 (the “Agreement”) in accordance with the terms thereof.
Transfer Agent Interactive Client Services AgreementTransfer Agent Interactive Client Services Agreement • April 28th, 2017 • Heartland Group Inc
This Amendment No. 5 to Transfer Agency Interactive Client Services Agreement (the “Amendment”), is made this August 22, 2016, between Heartland Group, Inc., a Maryland corporation (the “Fund”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
Exhibit (h.15): Securities Lending Agency Agreement between Heartland Group, Inc. and Brown Brothers Harriman & Co.Securities Lending Agency Agreement • April 30th, 2012 • Heartland Group Inc • New York
SECURITIES LENDING AGENCY AGREEMENT dated as of November 30, 2011 among Heartland Group, Inc., a registered investment company organized under the laws of Maryland (“Heartland Group”), and Brown Brothers Harriman & Co., a New York limited partnership with an office in Boston, Massachusetts ("BBH&Co."), as acknowledged and agreed by Heartland Advisors Inc., investment advisor to the Funds (defined below).
