Amendment No. 1 To Transfer Agency And Shareholder Services Agreement
Exhibit 99.(h)(i)(B)
Amendment No. 1
To
Transfer Agency And Shareholder Services Agreement
This Amendment No. 1 To Transfer Agency And Shareholder Services Agreement, dated as of December 31, 2018 ("Amendment Effective Date"), is being entered into by and between BNY Mellon Investment Servicing (US) Inc. ("BNYM") and FundVantage Trust (the "Trust"), on its own behalf and on behalf of each Fund listed on Exhibit A to the Amended Agreement (as defined below) (“Amendment”).
Background
BNYM and the Trust previously entered into the Transfer Agency And Shareholder Services Agreement made as of October 23, 2018 ("Original Agreement") The parties wish to amend the Original Agreement as set forth in this Amendment.
Terms
In consideration of the mutual promises contained herein and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties, intending to be legally bound, agree to all statements made above and as follows:
1. Modifications to Original Agreement. The Original Agreement is hereby amended by deleting Schedule B in its entirety and replacing it with the Schedule B attached to this Amendment, dated December 31, 2018, between BNYM and the Trust.
2. Adoption of Amended Agreement by New Funds. Each Fund that has been added to Schedule B by virtue of this Amendment acknowledges and agrees that (i) by virtue of its execution of this Amendment, it becomes and is a party to the Original Agreement as amended by this Amendment ("Amended Agreement") as of the date first written above, or if BNYM commenced providing services to the Fund prior to the date first written above, as of the date BNYM first provided services to the Fund, and (ii) it is bound by all terms and conditions of the Amended Agreement as of such date. The term "Fund" has the same meaning in this Amendment as it has in the Current Agreement.
3. Remainder of Original Agreement. Except as specifically modified by this Amendment, all terms and conditions of the Original Agreement shall remain in full force and effect.
4. Governing Law. The governing law provision of the Original Agreement shall be the governing law provision of this Amendment.
5. Entire Agreement. This Amendment constitutes the final, complete, exclusive and fully integrated record of the agreement of the parties with respect to the subject matter herein and the amendment of the Original Agreement with respect to such subject matter, and supersedes all prior and contemporaneous proposals, agreements, contracts, representations and understandings, whether written, oral or electronic, between the parties with respect to the same subject matter.
6. Facsimile Signatures; Counterparts. This Amendment may be executed in one more counterparts; such execution of counterparts may occur by manual signature, facsimile signature, manual signature transmitted by means of facsimile transmission or manual signature contained in an imaged document attached to an email transmission; and each such counterpart executed in accordance with the foregoing shall be deemed an original, with all such counterparts together constituting one and the same instrument. The exchange of executed copies of this Amendment or of executed signature pages to this Amendment by facsimile transmission or as an imaged document attached to an email transmission shall constitute effective execution and delivery hereof and may be used for all purposes in lieu of a manually executed copy of this Amendment.
Page 1
IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed by their duly authorized officers, as of the day and year first above written.
BNY Mellon Investment Servicing (US) Inc.
| By: | /s/ Xxxxxxx X. XxXxxxx | |
| Name: | Xxxxxxx X. XxXxxxx | |
| Title: | Director |
On its own behalf and on behalf of each Fund in its individual
and separate capacity, and not on behalf of any other Fund
| By: | /s/ Xxxx Xxxxx | |
| Name: | Xxxx Xxxxx | |
| Title: | President |
Page 2
SCHEDULE B
(Dated: December 31, 2018)
This SCHEDULE B is Schedule B to that certain Transfer Agency And Shareholder Services Agreement dated as of October 23, 2018, between BNY Mellon Investment Servicing (US) Inc. and each of FundVantage Trust and the Portfolios listed below.
Portfolios
| Fund Name | Share Class | |
| Arabesque Systematic Fund | Institutional | |
| (formerly, Arabesque Systematic International Fund) | ||
| (Registration effective April 21, 2017; services not yet commenced) | ||
| Arabesque Systematic Fund | Investor | |
| (formerly,Arabesque Systematic International Fund) | ||
| (Registration effective April 21, 2017; services not yet commenced) | ||
| Arabesque Systematic USA Fund | Institutional | |
| Arabesque Systematic USA Fund | Investor | |
| DuPont Capital Emerging Markets Debt Fund | Class I | |
| DuPont Capital Emerging Markets Fund | Class I | |
| EIC Value Fund | Class A | |
| EIC Value Fund | Class C | |
| EIC Value Fund | Retail | |
| EIC Value Fund | Institutional | |
| Gotham Absolute 500 Fund | Institutional | |
| Gotham Absolute 500 Core Fund | Institutional | |
| Gotham Absolute Return Fund | Institutional | |
| Gotham Defensive Long Fund | Institutional | |
| Gotham Defensive Long 500 Fund | Institutional | |
| Gotham Enhanced 500 Fund | Institutional | |
| Gotham Enhanced 500 Core Fund | Institutional | |
| Gotham Enhanced Return Fund | Institutional | |
| Gotham Enhanced S&P 500 Index Fund | Institutional | |
| Gotham ESG Large Value Fund1 | Institutional | |
| Gotham Hedged Core Fund | Institutional | |
| Gotham Hedged Plus Fund | Institutional | |
| Gotham Enhanced Index Plus Fund | Institutional | |
| Gotham Index Plus All-Cap Fund | Institutional | |
| Gotham Index Plus Fund | Institutional | |
| Gotham Index Plus Fund | Investor | |
| Gotham Institutional Value Fund | Institutional | |
| Gotham Master Index Plus Fund | Institutional | |
| Gotham Master Neutral Fund | Institutional | |
| Gotham Neutral Fund | Institutional | |
| Gotham Neutral 500 Fund | Institutional | |
| Gotham Short Strategies Fund | Institutional | |
| Gotham Total Return Fund | Institutional | |
| Gotham Total Return Fund | Investor | |
| Gryphon International Equity Fund2 | Institutional |
1 BNYM expected to commence servicing on or about December 28, 2018.
2 BNYM expected to commence servicing on or about March 1, 2019.
Page 3
| Lateef Focused Growth Fund | Class A | |
| Lateef Focused Growth Fund | Class I | |
| Lateef Focused Growth Fund | Class C | |
| Mount Xxxxx U.S. Focused Equity Fund | Class I | |
| Mount Xxxxx U.S. Focused Equity Fund | Class II | |
| Pacific Capital Tax-Free Securities Fund | Class Y | |
| Pacific Capital Tax-Free Short Intermediate Securities Fund | Class Y | |
| Pacific Capital U.S. Government Money Market Fund | Investor Class | |
| Xxxxx Global Growth Fund | Investor Class | |
| Xxxxx Global Growth Fund | Institutional Class | |
| Xxxxx Growth Fund | Investor Class | |
| Xxxxx Growth Fund | Institutional Class | |
| Xxxxx International Growth Fund | Investor Class | |
| Xxxxx International Growth Fund | Institutional Class | |
| Xxxxx International Small Company Growth Fund3 | Investor Class | |
| Xxxxx International Small Company Growth Fund3 | Institutional Class | |
| Xxxxx U.S. Small Company Growth Fund | Investor Class | |
| Xxxxx U.S. Small Company Growth Fund | Institutional Class | |
| Private Capital Management Value Fund | Class A | |
| Private Capital Management Value Fund | Class C | |
| Private Capital Management Value Fund | Class I | |
| Private Capital Management Value Fund | Class R | |
| Quality Dividend Fund | Class A | |
| Quality Dividend Fund | Class C | |
| Quality Dividend Fund | Institutional Class | |
| Sirios Long/Short Fund | Institutional Class | |
| SkyBridge Dividend Value Fund | Class A | |
| SkyBridge Dividend Value Fund | Class C | |
| SkyBridge Dividend Value Fund | Class I | |
| TOBAM Emerging Markets Fund | Class I | |
| TOBAM Emerging Markets Fund | Class A | |
| TOBAM Emerging Markets Fund | Class C | |
| Verplanck Balanced Fund |
3 BNYM expected to commence servicing on or about December 31, 2018.
Page 4
