AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • April 29th, 2013 • Jacob Funds Inc. • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Agreement”) is made as of November 7, 2012, among JACOB FUNDS, INC., a Maryland corporation, with its principal place of business at 653 Manhattan Beach Blvd. #J, Manhattan Beach, California 90266 (“Corporation”), on behalf of Jacob Small Cap Growth Fund, a segregated portfolio of assets (“series”) thereof (“Acquiring Fund”), JACOB FUNDS II (formerly “Pinebridge Mutual Funds”), a Delaware statutory trust, with its principal place of business also at 653 Manhattan Beach Blvd. #J, Manhattan Beach, California 90266 (“Trust”), on behalf of its Jacob Small Cap Growth Fund II (formerly “PineBridge US Small Cap Growth Fund”) series (“Target”), and, solely for purposes of paragraphs 4.4 and 7.2, Jacob Asset Management of New York LLC (“Adviser”). (Each of Corporation and Trust is sometimes referred to herein as an “Investment Company,” and each of Acquiring Fund and Target is sometimes referred to herein as a “Fund.”) Notwithstanding
