DISTRIBUTION AGREEMENTDistribution Agreement • February 12th, 2010 • Trust for Professional Managers • Wisconsin
THIS AGREEMENT is made and entered into as of the 18th day of January, 2010, by and between the TRUST FOR PROFESSIONAL MANAGERS, a Delaware statutory trust (the “Trust”) on behalf of its series, the Barrett Growth Fund, and QUASAR DISTRIBUTORS, LLC, a Delaware limited liability company (the “Distributor”). Barrett Associates, Inc., a corporation and investment advisor to the Trust (the “Advisor”), is a party hereto with respect to Section 5 only.
CUSTODY AGREEMENTCustody Agreement • February 12th, 2010 • Trust for Professional Managers • Ohio
THIS AGREEMENT is made and entered into as of this 18th day of January, 2010, by and between TRUST FOR PROFESSIONAL MANAGERS, a 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 INVESTMENT ADVISORY AGREEMENT BARRETT GROWTH FUNDInvestment Advisory Agreement • February 12th, 2010 • Trust for Professional Managers • Wisconsin
THIS INVESTMENT ADVISORY AGREEMENT (the “Agreement”) is made as of the 11th day of February, 2010, by and between Trust for Professional Managers (hereinafter called the “Trust”), on behalf of the series of the Trust as listed in Schedule A attached hereto (the “Fund”), and Barrett Associates, Inc. (hereinafter called the “Adviser”).
FUND ACCOUNTING SERVICING AGREEMENTFund Accounting Servicing Agreement • February 12th, 2010 • Trust for Professional Managers • Wisconsin
THIS AGREEMENT is made and entered into as of the 18th day of January, 2010, 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 • February 12th, 2010 • Trust for Professional Managers • Wisconsin
THIS AGREEMENT is made and entered into as of this 18th day of January, 2010, 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 • February 12th, 2010 • Trust for Professional Managers • Wisconsin
TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at January, 2010 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 $___ /SSN) § $___ /Coverdell ESA acct (Cap at $___ /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) Literature Fulfillment Services § Account Management − $___ /month (account management, lead reporting and database administration) § Out-of-Pocket Expenses − Kit and order processing
TRUST FOR PROFESSIONAL MANAGERS OPERATING EXPENSE LIMITATION AGREEMENT BARRETT GROWTH FUNDOperating Expense Limitation Agreement • February 12th, 2010 • Trust for Professional Managers • Wisconsin
THIS OPERATING EXPENSE LIMITATION AGREEMENT (the “Agreement”) is effective as of the 11th day of February, 2010, by and between Trust for Professional Managers (the “Trust”), on behalf of the series of the Trust as listed in Appendix A attached hereto (the “Fund”), and Barrett Associates, Inc., the investment adviser to the Fund (the “Adviser”).
