DISTRIBUTION AGREEMENTDistribution Agreement • July 31st, 2007 • Trust for Professional Managers • Wisconsin
THIS AGREEMENT is made and entered into as of the 26th day of June, 2007, by and between the TRUST FOR PROFESSIONAL MANAGERS, a Delaware statutory trust (the “Trust”) on behalf of its series, Seascape Focus Growth Funds, and QUASAR DISTRIBUTORS, LLC, a Delaware limited liability company (the “Distributor”). SEASCAPE CAPITAL MANAGEMENT, LLC, a limited liability company and the investment advisor to the Trust (the “Advisor”), is a party hereto with respect to Section 5 only.
TRUST FOR PROFESSIONAL MANAGERS INVESTMENT ADVISORY AGREEMENT SEASCAPE FOCUS GROWTH FUNDInvestment Advisory Agreement • July 31st, 2007 • Trust for Professional Managers • Wisconsin
THIS INVESTMENT ADVISORY AGREEMENT is made as of the 26th day of June, 2007, by and between Trust for Professional Managers, (hereinafter called the “Trust”), on behalf of the Seascape Focus Growth Fund (the “Fund”), a series of the Trust, and Seascape Capital Management, LLC (hereinafter called the “Adviser;”).
FUND ACCOUNTING SERVICING AGREEMENTFund Accounting Servicing Agreement • July 31st, 2007 • Trust for Professional Managers • Wisconsin
THIS AGREEMENT is made and entered into as of this 26th day of June, 2007, by and between the TRUST FOR PROFESSIONAL MANAGERS, a Delaware statutory trust, (the “Trust”), on behalf of its series named in Exhibit A hereto, (each a “Fund”, and collectively the “Funds”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”).
TRANSFER AGENT SERVICING AGREEMENTTransfer Agent Servicing Agreement • July 31st, 2007 • Trust for Professional Managers • Wisconsin
THIS AGREEMENT is made and entered into as of this 26th day of June, 2007, by and between the TRUST FOR PROFESSIONAL MANAGERS, a Delaware statutory trust, (the “Trust”) on behalf of its series named in Exhibit A hereto, (each a “Fund”, and collectively the “Funds”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”).
FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • July 31st, 2007 • Trust for Professional Managers • Wisconsin
THIS AGREEMENT is made and entered into as of this 26th day of June, 2007, by and between the TRUST FOR PROFESSIONAL MANAGERS, a Delaware statutory trust, (the “Trust”) on behalf of its series named in Exhibit A hereto, (each a “Fund”, and collectively the “Funds”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”).
CUSTODY AGREEMENTCustody Agreement • July 31st, 2007 • Trust for Professional Managers • Ohio
Annual fee based upon market value per fund*: 1 basis point on fund assets Minimum annual fee per fund - $6,000 Portfolio Transaction Fees $ 7.00 per US Bank repurchase agreement transaction $ 7.00 per book entry security (depository or Federal Reserve system) and non-US Bank repurchase agrmt $25.00 per portfolio transaction processed through our New York custodian definitive security (physical) $ 8.00 per principal paydown $15.00 per option/future contract written, exercised or expired $50.00 per Cedel/Euroclear transaction $15.00 per mutual fund trade $15.00 per Fed Wire $15.00 per margin variation Fed wire $ 6.00 per short sale ReportSource - $150 /month – Web reporting · 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 2. · Plus out-of-pocket expenses, and extraordinary expenses based upon complexity, includi
TRUST FOR PROFESSIONAL MANAGERS OPERATING EXPENSE LIMITATION AGREEMENT SEASCAPE FOCUS GROWTH FUNDOperating Expense Limitation Agreement • July 31st, 2007 • Trust for Professional Managers • Wisconsin
THIS OPERATING EXPENSE LIMITATION AGREEMENT (the “Agreement”) is effective as of the 26th day of June, 2007, by and between Trust for Professional Managers, (the “Trust”), on behalf of the Seascape Focus Growth Fund (the “Fund”), a series of the Trust, and Seascape Capital Management, LLC, the investment adviser to the Fund (the “Adviser”).
