DISTRIBUTION AGREEMENTDistribution Agreement • December 11th, 2008 • Trust for Professional Managers • Wisconsin
THIS AGREEMENT is made and entered into as of this 4th day of November, 2008, by and between the TRUST FOR PROFESSIONAL MANAGERS, a Delaware statutory trust (the “Trust”) on behalf of its series, the NEWGATE EMERGING MARKETS FUND, the NEWGATE GLOBAL RESOURCES FUND, and QUASAR DISTRIBUTORS, LLC, a Delaware limited liability company (the “Distributor”). NEWGATE 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.
FUND ACCOUNTING SERVICING AGREEMENTFund Accounting Servicing Agreement • December 11th, 2008 • Trust for Professional Managers • Wisconsin
THIS AGREEMENT is made and entered into as of this 4th day of November, 2008, 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 • December 11th, 2008 • Trust for Professional Managers • Wisconsin
Charges Paid by Investors – Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees ● $____ /qualified plan acct (Cap at $30.00/SSN) ● $____ /Coverdell ESA acct (Cap at $30.00/SSN) ● $____ /transfer to successor trustee ● $____ /participant distribution (Excluding SWPs) ● $____ /refund of excess contribution ● $____ /reconversion/recharacterization Additional Shareholder Paid Fees ● $____ /outgoing wire transfer ● $____ /overnight delivery ● $ ___ /telephone exchange ● $____ /return check or ACH ● $____ /stop payment ● $ ___ /research request per account (Cap at $____/request) (For requested items of the second calendar year [or previous] to the request)
FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • December 11th, 2008 • Trust for Professional Managers • Wisconsin
THIS AGREEMENT is made and entered into as of this 4th day of November, 2008, 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”).
TRUST FOR PROFESSIONAL MANAGERS INVESTMENT ADVISORY AGREEMENT NEWGATE FUNDSInvestment Advisory Agreement • December 11th, 2008 • Trust for Professional Managers • Wisconsin
THIS INVESTMENT ADVISORY AGREEMENT is made as of the 4th day of November, 2008, by and between Trust for Professional Managers, (hereinafter called the “Trust”), on behalf of each series of the Trust as listed in Schedule A attached hereto (each a “Fund” and together the “Funds”), and Newgate Capital Management, LLC (hereinafter called the “Adviser”).
CUSTODY AGREEMENTCustody Agreement • December 11th, 2008 • Trust for Professional Managers • Ohio
THIS AGREEMENT is made and entered into as of this 4th day of November, 2008, by and between TRUST FOR PROFESSIONAL MANAGERS, Delaware statutory trust (the “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”).
TRUST FOR PROFESSIONAL MANAGERS OPERATING EXPENSE LIMITATION AGREEMENT NEWGATE FUNDSOperating Expense Limitation Agreement • December 11th, 2008 • Trust for Professional Managers • Wisconsin
THIS OPERATING EXPENSE LIMITATION AGREEMENT (the “Agreement”) is effective as of the 4th day of November, 2008, by and between Trust for Professional Managers, (the “Trust”), on behalf of each series of the Trust as listed in Appendix A attached hereto (each a “Fund” and together the “Funds”), and Newgate Capital Management, LLC, the investment adviser to the Funds (the “Adviser”).
