FIRST AMENDMENT TO THE CUSTODY AGREEMENT
FIRST AMENDMENT TO THE
THIS FIRST AMENDMENT effective as of the last date on the signature block to the Custody Agreement, dated as of October 24, 2013, as amended (the “Agreement”), is entered into by and between TRUST FOR PROFESSIONAL MANAGERS, a Delaware business trust, (the “Trust”) on behalf of its series named in Exhibit C hereto, (each a “Fund” and collectively the “Funds”) and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America (the “Custodian”).
RECITALS
WHEREAS, the parties have entered into the Agreement; and
WHEREAS, the Trust and the Custodian desire to amend Exhibit C of the Agreement to add the Rockefeller Climate Solutions Fund; and
WHEREAS, Section 15.02 of the Agreement allows for its amendment by a written instrument executed by both parties.
NOW, THEREFORE, the parties agree as follows:
Exhibit C of the Agreement is hereby superseded and replaced with Exhibit C attached hereto.
Except to the extent amended hereby, the Agreement shall remain in full force and effect.
IN WITNESS WHEREOF, the parties hereto have caused this First Amendment to be executed by a duly authorized officer on one or more counterparts as of the date and year last written below.
| TRUST FOR PROFESSIONAL MANAGERS | U.S. BANK, NATIONAL ASSOCIATION | |||||||
By: /s/ Xxxx X. Xxxxxx | By: /s/ Xxxxx Xxxxxxxxx | |||||||
| Printed Name: Xxxx X. Xxxxxx | Printed Name: Xxxxx Xxxxxxxxx | |||||||
| Title: President | Title: Senior Vice President | |||||||
| Date: 6/14/21 | Date: 6/30/21 | |||||||
Rockefeller 1
EXHIBIT C
Fund Names
Name of Series
Rockefeller Core Taxable Bond Fund
Rockefeller Equity Allocation Fund
Rockefeller Intermediate Tax Exempt National Bond Fund
Rockefeller Intermediate Tax Exempt New York Bond Fund
Rockefeller Climate Solutions Fund
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Exhibit D to the Trust for Professional Managers Custody Agreement – Rockefeller & Co
Multiple Series Trust DOMESTIC CUSTODY SERVICES FEE SCHEDULE AT OCTOBER 2013 | ||
| Annual Fee Based Upon Market Value Per Fund* | ||
| ____ basis point on average daily market value | ||
| Minimum annual fee per fund - $____ | ||
| Plus portfolio transaction fees | ||
| Portfolio Transaction Fees | ||
| $____ /book entry DTC transaction/Federal Reserve transaction/principal paydown | ||
| $____ /U.S. Bank repo agreement transaction | ||
| $____ /short sale | ||
| $____ /option/future contract written, exercised or expired | ||
| $____ /mutual fund trade/Fed wire/margin variation Fed wire | ||
| $____ /physical transaction | ||
| $____ /segregated account per year | ||
| A transaction is a purchase/sale of a security, free receipt/free delivery, maturity, tender or exchange. | ||
| No charge for the initial conversion free receipt. | ||
| Overdrafts - charged to the account at prime interest rate plus ____. | ||
| Out-Of-Pocket Expenses | ||
| Including but not limited to expenses incurred in the safekeeping, delivery and receipt of securities, shipping, transfer fees, deposit withdrawals at custodian (DWAC) fees, and extraordinary expenses based upon complexity. | ||
| *Subject to annual CPI increase, Milwaukee MSA. | ||
| Fees are billed monthly. | ||
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Exhibit D (continued) to the Trust for Professional Managers Custody Agreement – Rockefeller & Co
GLOBAL SUB-CUSTODIAL SERVICES ANNUAL FEE SCHEDULE AT OCTOBER 2013 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Country | Instrument | Safekeeping (BPS) | Transaction Fee | Country | Instrument | Safekeeping (BPS) | Transaction Fee | Country | Instrument | Safekeeping (BPS) | Transaction Fee | Country | Instrument | Safekeeping (BPS) | Transaction Fee | |||||||||||||||||||||||||||||||||||||||||
Argentina | All | ____ | $____ | Estonia | All | ____ | $____ | Luxembourg | All | ____ | $____ | Slovak Republic | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Australia | All | ____ | $____ | Euromarkets** | All | ____ | $____ | Malaysia | All | ____ | $____ | Slovenia | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Austria | All | ____ | $____ | Finland | All | ____ | $____ | Malta | All | ____ | $____ | South Africa | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Bahrain | All | ____ | $____ | France | All | ____ | $____ | Mauritius | All | ____ | $____ | South Korea | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Bangladesh | All | ____ | $____ | Germany | All | ____ | $____ | Mexico | All | ____ | $____ | Spain | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Belgium | All | ____ | $____ | Ghana | All | ____ | $____ | Morocco | All | ____ | $____ | Sri Lanka | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Bermuda | All | ____ | $____ | Greece | All | ____ | $____ | Namibia | All | ____ | $____ | Swaziland | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Botswana | All | ____ | $____ | Hong Kong | All | ____ | $____ | Netherlands | All | ____ | $____ | Sweden | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Brazil | All | ____ | $____ | Hungary | All | ____ | $____ | New Zealand | All | ____ | $____ | Switzerland | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Bulgaria | All | ____ | $____ | Iceland | All | ____ | $____ | Nigeria | All | ____ | $____ | Taiwan | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Canada | All | ____ | $____ | India | All | ____ | $____ | Norway | All | ____ | $____ | Thailand | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Cayman Islands* | All | ____ | $____ | Indonesia | All | ____ | $____ | Oman | All | ____ | $____ | Trinidad & Tobago* | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Channel Islands* | All | ____ | $____ | Ireland | All | ____ | $____ | Pakistan | All | ____ | $____ | Tunisia | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Chile | All | ____ | $____ | Israel | All | ____ | $____ | Palestinian Autonomous Area* | All | ____ | $____ | Turkey | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
China “A” Shares | All | ____ | $____ | Italy | All | ____ | $____ | Peru | All | ____ | $____ | UAE | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
China “B” Shares | All | ____ | $____ | Jamaica* | All | ____ | $____ | Philippines | All | ____ | $____ | United Kingdom | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Columbia | All | ____ | $____ | Japan | All | ____ | $____ | Poland | All | ____ | $____ | Ukraine | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Costa Rica | All | ____ | $____ | Jordan | ____ | $____ | Portugal | All | ____ | $____ | Uruguay | All | ____ | $____ | ||||||||||||||||||||||||||||||||||||||||||
Croatia | All | ____ | $____ | Kazakhstan | All | ____ | $____ | Qatar | All | ____ | $____ | Venezuela | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Cyprus* | All | ____ | $____ | Kenya | All | ____ | $____ | Romania | All | ____ | $____ | Vietnam* | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Czech Republic | All | ____ | $____ | Latvia | Equities | ____ | $____ | Russia | Equities | ____ | $____ | Zambia | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||
Denmark | All | ____ | $____ | Latvia | Bonds | ____ | $____ | Russia | MINFINs | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||||||
Ecuador | All | ____ | $____ | Lebanon | All | ____ | $____ | Serbia* | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||||||
Egypt | All | ____ | $____ | Lithuania | All | ____ | $____ | Singapore | All | ____ | $____ | |||||||||||||||||||||||||||||||||||||||||||||
*Additional customer documentation and indemnification will be required prior to establishing accounts in these markets.
**Tiered by market value: < $5 billion: 1 bp, > $5 billion and < $10 billion: .75 bps, > $10 billion: .50 bps.
Base Fee - A monthly charge per account (fund) will apply based on the number of foreign securities held.
•1-25 foreign securities: $____
•26-50 foreign securities: $____
•Over 50 foreign securities: $____
•Euroclear – Eurobonds only. Eurobonds are held in Euroclear at a standard rate, but other types of securities (including but not limited to equities, domestic market debt and mutual funds) will be subject to a surcharge. In addition, certain transactions that are delivered within Euroclear or from a Euroclear account to a third party depository or settlement system, will be subject to a surcharge.
•For all other markets specified above, surcharges may apply if a security is held outside of the local market.
Cash Transactions:
•3rd Party Foreign Exchange – a Foreign Exchange transaction undertaken through a 3rd party will be charged $____.
Tax Reclamation Services: Tax reclaims that have been outstanding for more than 6 (six) months with the client will be charged $____ per claim.
Out of Pocket Expenses
◦Charges incurred by U.S. Bank, N.A. for local taxes, stamp duties or other local duties and assessments, stock exchange fees, postage and insurance for shipping, facsimile reporting, extraordinary telecommunications fees, proxy services and other shareholder communications or other expenses which are unique to a country in which the client or its clients is investing will be passed along as incurred.
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◦A surcharge may be added to certain out-of-pocket expenses listed herein to cover handling, servicing and other administrative costs associated with the activities giving rise to such expenses. Also, certain expenses are charged at a predetermined flat rate.
◦SWIFT reporting and message fees.
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