FIRST AMENDMENT TO DISTRIBUTION AGREEMENT
FIRST AMENDMENT TO
This first amendment (“Amendment”) to the Distribution Agreement (the “Agreement”) dated as of January 1, 2020 by and between Driehaus Mutual Funds (the “Client”) and Foreside Financial Services, LLC (“Distributor”) is entered into as of April 10, 2020 (the “Effective Date”).
WHEREAS, Client and Distributor (“Parties”) desire to amend Exhibit A of the Agreement to reflect the addition of one Fund; and
WHEREAS, Section 18 of the Agreement requires that all amendments and modifications to the Agreement be in writing and executed by the Parties.
NOW THEREFORE, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Parties hereby agree as follows:
| 1. | Capitalized terms not otherwise defined herein shall have the meanings set forth in Agreement. |
| 2. | Exhibit A of the Agreement is hereby deleted in its entirety and replaced by the Exhibit A attached hereto which reflects the addition of Driehaus Small/Mid Cap Growth Fund. |
| 3. | Except as expressly amended hereby, all of the provisions of the Agreement shall remain unamended and in full force and effect to the same extent as if fully set forth herein. |
| 4. | This Amendment shall be governed by, and the provisions of this Amendment shall be construed and interpreted under and in accordance with, the laws of the State of Delaware. |
IN WITNESS WHEREOF, the Parties hereto have caused this Amendment to be executed in their names and on their behalf by and through their duly authorized officers, as of the Effective Date.
| DRIEHAUS MUTUAL FUNDS | FORESIDE FINANCIAL SERVICES, LLC | ||||
| By: | /s/ Xxxxx XxXxxxxxxx | By: | /s/Xxxx Xxxxxxxxx | ||
| Xxxxx XxXxxxxxxx | Xxxx X. Xxxxxxxxx, Vice President |
||||
| Chief Legal Officer | |||||
EXHIBIT A
Fund Names
Alternative Funds
NSCC number: 5923
Transfer Agent: UMB Fund Services, Inc.
| Name | Symbol | Cusip # | Share Class |
|
Driehaus Active Income Fund (640) |
LCMAX | 262028855 | N/A |
| Driehaus Event Driven Fund (643) | DEVDX | 262028814 |
N/A |
| Driehaus Multi-Asset Growth Economies Fund (644) | DMAGX | 262028764 |
N/A |
Equity Funds
NSCC number: 6642
Transfer Agent: BNY Mellon Asset Servicing
| Name | Symbol | Cusip # | Share Class |
|
Driehaus Emerging Markets Growth Fund (03) |
DREGX | 262028301 | Investor |
|
Driehaus Emerging Markets Growth Fund (23) |
DIEMX | 262028756 | Institutional |
|
Driehaus Emerging Markets Small Cap Growth Fund (13) |
DRESX | 262028830 | N/A |
|
Driehaus International Small Cap Growth Fund (09) |
DRIOX | 262028806 | N/A |
| Driehaus Micro Cap Growth Fund (14) | DMCRX | 262028798 | N/A |
| Driehaus Small Cap Growth Fund (16) | DVSMX | 262028749 |
Investor |
| Driehaus Small Cap Growth Fund (36) | DNSMX | 262028731 |
Institutional |
| Driehaus Small/Mid Cap Growth Fund | DSMDX | 262028723 | Institutional |
