AMENDMENT NO. 4 TO AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • February 28th, 2014 • Westcore Trust
This Amendment No. 4 dated as of the 19th day of December, 2013 is entered into between WESTCORE TRUST, Massachusetts business trust (the “Trust”) and DENVER INVESTMENT ADVISORS LLC, a Colorado limited liability company (the “Adviser”).
AGREEMENT AND PLAN OF REORGANIZATIONAgreement and Plan of Reorganization • February 28th, 2014 • Westcore Trust • Colorado
THIS AGREEMENT AND PLAN OF REORGANIZATION (the “Agreement”) is made as of this 12th day of November, 2013, by Westcore Trust, a Massachusetts trust (the “Trust”), on behalf of the Westcore Small-Cap Value Dividend Fund (the “Acquiring Fund”) and the Westcore Small-Cap Opportunity Fund (the “Selling Fund”) (the Acquiring Fund and Selling Fund referred to herein as a “Fund” and collectively, the “Funds”); Denver Investment Advisers, LLC, the investment adviser to the Acquiring Fund and the Selling Fund (“Adviser”) (for purposes of Sections 5.11 and 9.1 of the Agreement only). The principal place of business of the Trust and the Adviser is 1225 Seventeenth Street, 26th Floor, Denver, Colorado 80202.
ContractWestcore Trust • February 28th, 2014
On September 9, 2013, the Board of Trustees of the Westcore Trust (the “Trust”) approved the Agreement and Plan of Reorganization pursuant to which the Westcore Small-Cap Opportunity Fund (the “Selling Fund”) would transfer all of its assets to the Westcore Small-Cap Value Dividend Fund (the “Acquiring Fund”), each of which is a series of the Trust (the “Reorganization”). The Board of Trustees of the Trust determined that the Reorganization was in the best interests of the Selling Fund and that the interests of the existing shareholders of the Selling Fund would not be diluted as a result of the Reorganization. The Reorganization consisted of: (i) the transfer of all the assets of the Selling Fund to the Acquiring Fund, in exchange solely for voting shares of beneficial interest, no par value per share, of the Acquiring Fund and the assumption by the Acquiring Fund of all the liabilities of the Selling Fund; followed by (ii) the distribution, at or after the closing, of the shares of t
