AMENDMENT AGREEMENT
Exhibit 99.28(e)(4)
THIS AMENDMENT AGREEMENT (this “Amendment”) is effective as of this [ ] day of [ ], by and between Investment Managers Series Trust III (formerly, FPA Funds Trust), a Delaware statutory trust (the “Trust”), on behalf of each of the separate investment funds listed on Appendix D hereto (the “Funds”), First Pacific Advisors, LP (f/k/a First Pacific Advisors, LLC), a Delaware limited partnership (the “Advisor”), UMB Fund Services, Inc., a Wisconsin corporation (“UMBFS”), UMB Distribution Services, LLC, a Wisconsin limited liability company (“UMBDS”) and UMB Bank, N.A., a national banking Association (the “Bank”).
WHEREAS, the Trust and UMBFS have entered into a Transfer Agency Agreement (the “TA Agreement”) dated as of November 7, 2011;
WHEREAS, the Trust and UMBDS have entered into a Distribution Agreement dated as of September 28, 2012 (the “Distribution Agreement”);
WHEREAS, the Advisor and UMBDS have entered into two agreements, each dated as of September 28, 2012 (the “Side Agreement” and the “Xxxxxxx Indemnification Agreement”) and an Inbound Call Management and Fulfillment Agreement dated November 7, 2011 (the “Call Management Agreement”) (the TA Agreement, Distribution Agreement, Side Agreement, Xxxxxxx Indemnification Agreement, and Call Management Agreement collectively referred to herein as the “Agreements”);
WHEREAS, UMBFS, the Bank and the Trust have entered into a Retirement Plan Agreement dated December 1, 2011 (the “Retirement Plan Agreement”); and
WHEREAS, the parties wish to amend the Agreements as set forth herein by entering into this Amendment.
NOW THEREFORE, for and in consideration of the mutual promises hereinafter set forth, and such other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto agree as follows:
1. Schedule A to each of the Agreements shall be hereby amended, restated and superseded in its entirely by the respective amended Schedule A attached hereto.
2. Appendix D to the Retirement Plan Agreement shall be hereby amended, restated and superseded in its entirety by Appendix D attached hereto.
4. Any reference to any Agreement shall be a reference to such Agreement as amended hereby. All rights, obligations and liabilities in respect of the Agreements shall continue to exist save as varied herein. In the event of any conflict or inconsistency between the provisions of this Amendment and the Agreements, the terms of this Amendment shall prevail.
5. This Amendment may be executed in any number of counterparts, each of which shall constitute an original but all of which together shall constitute one instrument.
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6. This Amendment shall be governed by and construed in accordance with the laws of the State of Wisconsin, excluding the laws on conflicts of laws.
[SIGNATURE PAGES FOLLOW]
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IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed in counterparts by their respective officers, thereunto duly authorized, as of the date first above written.
| INVESTMENT MANAGERS SERIES TRUST III | ||
| (the “Trust”) | ||
| By: | ||
| Xxxxxxx Xxxxx | ||
| President | ||
| FIRST PACIFIC ADVISORS, LP | ||
| (The “Advisor”) | ||
| By: | ||
| X. Xxxxxxx Xxxxxx | ||
| Director of FPA GP, Inc. | ||
| General Partner of the Advisor | ||
| UMB FUND SERVICES, INC. | ||
| (“UMBFS”) | ||
| By: | ||
| Xxxxxxx X. Xxxxx | ||
| Executive Vice President | ||
| UMB DISTRIBUTION SERVICES, LLC | ||
| (“UMBDS”) | ||
| By: | ||
| Xxxxx Xxxxxxxxxxx | ||
| President | ||
| UMB BANK, N.A. | ||
| (the “Bank”) | ||
| By: | ||
| Xxxxx Xxxxxxx | ||
| Senior Vice President | ||
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Fourth Amended and Restated
Schedule A
to the
Transfer Agency Agreement
by and between
Investment Managers Series Trust III
and
UMB Fund Services, Inc.
NAMES OF FUNDS
FPA Crescent Fund
FPA Flexible Fixed Income Fund
FPA New Income Fund
FPA Queens Road Value Fund
FPA Queens Road Small Cap Value Fund
FPA Global Equity Fund
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Third Amended and Restated
Schedule A
to the
Distribution Agreement
by and between
the Funds
and
UMB Distribution Services, LLC
NAMES OF FUNDS
FPA Crescent Fund
FPA Flexible Fixed Income Fund
FPA New Income Fund
FPA Queens Road Value Fund
FPA Queens Road Small Cap Value Fund
FPA Global Equity Fund
FPA Global Equity ETF
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Third Amended and Restated
Schedule A
to the
Agreement
(“Side Agreement”)
by and between
First Pacific Advisors, LP
(f/k/a First Pacific Advisors, LLC)
and
UMB Distribution Services, LLC
FUNDS
FPA New Income Fund
FPA Crescent Fund
FPA Flexible Fixed Income Fund
FPA Queens Road Value Fund
FPA Queens Road Small Cap Value Fund
FPA Global Equity Fund
FPA Global Equity ETF
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Third Amended and Restated
Schedule A
to the
Agreement
(“Xxxxxxx Indemnification Agreement”)
by and between
First Pacific Advisors, LP
(f/k/a First Pacific Advisors, LLC)
and
UMB Distribution Services, LLC
FUNDS
FPA New Income Fund
FPA Crescent Fund
FPA Flexible Fixed Income Fund
FPA Queens Road Value Fund
FPA Queens Road Small Cap Value Fund
FPA Global Equity Fund
FPA Global Equity ETF
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Third Amended and Restated
Schedule A
to the
Inbound Call Management and Fulfillment Services Agreement
by and between
First Pacific Advisors, LP
(f/k/a First Pacific Advisors, LLC)
and
UMB Distribution Services, LLC
NAMES OF FUNDS
FPA New Income Fund
FPA Crescent Fund
FPA Flexible Fixed Income Fund
FPA Queens Road Value Fund
FPA Queens Road Small Cap Value Fund
FPA Global Equity Fund
FPA Global Equity ETF
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Appendix D
FUNDS
FPA New Income Fund
FPA Crescent Fund
FPA Flexible Fixed Income Fund
FPA Queens Road Value Fund
FPA Queens Road Small Cap Value Fund
FPA Global Equity Fund
FPA Global Equity ETF
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