AMENDMENT TO SERVICES AGREEMENT BY AND AMONG NATIONAL FINANCIAL SERVICES LLC, FIDELITY BROKERAGE SERVICES LLC, FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, INC., NORTHERN LIGHTS DISTRIBUTORS, LLC, AND TRIBUTARY CAPITAL MANAGEMENT, LLC
AMENDMENT TO SERVICES AGREEMENT BY AND AMONG NATIONAL FINANCIAL SERVICES LLC, FIDELITY BROKERAGE SERVICES LLC, FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, INC., NORTHERN LIGHTS DISTRIBUTORS, LLC, AND TRIBUTARY CAPITAL MANAGEMENT, LLC
THIS AMENDMENT, effective as of the third day of May, 2010, is by and among National Financial Services LLC (“NFS”), Fidelity Brokerage Services LLC (“FBS”), Fidelity Investments Institutional Operations Company, Inc. (“FIIOC”), Northern Lights Distributors, LLC (“Distributor”) and Tributary Capital Management, LLC (“Adviser”) (collectively the Distributor and Adviser shall be referred to as “Fund/Agent” who are jointly and severally bound under the terms of the Agreement).
WITNESSETH:
WHEREAS, NFS, FBS, FIIOC, Distributor, FNB Fund Advisers and Tributary Capital Management, LLC entered into a Services Agreement dated August 1, 2009 (the “Agreement”), with regard to certain administrative services provided to beneficial owners of shares of mutual funds or other investment products associated with Fund/Agent;
WHEREAS, effective May 3, 2010, FNB Fund Advisers has merged with and into Tributary Capital Management, LLC and the parties wish to reflect and consent to the assignment of the rights and responsibilities of FNB Fund Advisers under the Agreement;
WHEREAS, the parties now desire to amend the Agreement as provided for in the relevant sections thereof.
NOW THEREFORE, in consideration of the above premises the parties now amend the Agreement by:
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(1)
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Replacing all references to “Adviser” as “FNB Fund Advisers and Tributary Capital Management, LLC” with “Tributary Capital Management, LLC”.
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IN WITNESS WHEREOF, the parties have executed this amendment as of the date first
written above.
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Tributary Capital Management, LLC
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National Financial Services, LLC
Member NYSE, SIPC
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By:
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/s/ Xxxxx Xxxxxx |
By:
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/s/ Xxxxx Xxxx | |
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Name:
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Xxxxx Xxxxxx |
Name:
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Xxxxx Xxxx | |
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Title:
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President |
Title:
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Vice President | |
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Date:
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5/20/10 |
Date:
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June 03, 2010 | |
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Fidelity Brokerage Services LLC
Member NYSE, SIPC
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Fidelity Investments Institutional
Operations Company, Inc.
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By:
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/s/ Xxxxx Xxxx |
By:
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/s/ Xxxx Xxxxx | |
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Name:
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Xxxxx Xxxx |
Name:
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Xxxx Xxxxx | |
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Title:
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Vice President |
Title:
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Senior Vice President | |
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Date:
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June 03, 2010 |
Date:
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5/27/10 | |
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Northern Lights Distributors, LLC
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By:
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/s/ Xxxx Xxxxxxx |
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Name:
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Chief Compliance Officer |
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Title:
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May 11, 2010 |
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Date:
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