AGREEMENT AND PLAN OF REORGANIZATIONAgreement and Plan of Reorganization • January 28th, 2014 • Heartland Group Inc • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION (the “Agreement”) is made as of this 30th day of September, 2013, by and among Trust for Professional Managers (“TPM”), a Delaware statutory trust, with its principal place of business at 615 East Michigan Street, Milwaukee, WI 53202, with respect to the Heartland International Value Fund, a separate series of TPM (the “Acquired Fund”), Heartland Group, Inc. (“Heartland Group, Inc.”), a Maryland Corporation, with its principal place of business at 789 North Water Street, Suite 500, Milwaukee, WI 53202, with respect to the Heartland International Value Fund, a separate series of Heartland Group, Inc. (the “Acquiring Fund” and, collectively with the Acquired Fund, the “Funds”) and Heartland Advisors, Inc. (the “Advisor”), the investment advisor to the Acquired Fund, located at 789 North Water Street, Suite 500, Milwaukee, WI 53202 (with respect to Paragraphs 6.5 and 9.1 only). Each of the Funds is sometimes referred to herein individually as a “F
HEARTLAND GROUP, INC. OPERATING EXPENSE LIMITATION AGREEMENT with HEARTLAND ADVISORS, INC.Operating Expense Limitation Agreement • January 28th, 2014 • Heartland Group Inc • Wisconsin
THIS OPERATING EXPENSE LIMITATION AGREEMENT (the “Agreement”) is made as of the 16 day of May, 2013, by and between Heartland Group, Inc. (the “Fund Company”), a Maryland Corporation, on behalf of the series of the Fund Company listed in Schedule A hereto, as may be amended from time to time (the “Fund”), and the investment advisor to the Fund, Heartland Advisors, Inc. (the “Advisor”), a Wisconsin corporation.
Mutual Consent to Add Series to Heartland Group, Inc. Investment Advisory Agreement Dated January 12, 1987Investment Advisory Agreement • January 28th, 2014 • Heartland Group Inc • Wisconsin
This Mutual Consent (the “Consent”) by and between Heartland Group, Inc., a Maryland corporation (the “Fund Company”), and Heartland Advisors, Inc., a Wisconsin corporation (the “Advisor”), is made this 16th day of May, 2013, and modifies the Investment Advisory Agreement by and between the Fund Company and the Advisor dated January 12, 1987 (the “Agreement”) in accordance with the terms thereof.
