INDEMNIFICATION AGREEMENTIndemnification Agreement • July 31st, 2014 • Tributary Funds, Inc. • Nebraska
This Indemnification Agreement (this “Agreement”) is made and entered into this 24th day of June, 2014 between Tributary Funds, Inc., a Nebraska corporation (the “Company”), and Angela R. Burke (“Indemnitee”), an officer of the Company.
VANGUARD MARKETING CORPORATION OPERATING AGREEMENTOperating Agreement • July 31st, 2014 • Tributary Funds, Inc. • New York
This Operating Agreement (the “Agreement”) is entered into among Tributary Funds, Inc., a Nebraska corporation (the “Fund Company”), Northern Lights Distributors, LLC a Nebraska Limited Liability Company (the “Distributor”), Tributary Capital Management a Colorado Limited Liability Company (the “Adviser”) and Vanguard Marketing Corporation, a Pennsylvania corporation (“Broker-Dealer”).
THIRD AMENDMENT TO SCHEDULE B SERVICE FEES Dated April 1, 2014Tributary Funds, Inc. • July 31st, 2014
ACKNOWLEDGMENT OF OBLIGATIONS AND AGREEMENTAcknowledgment of Obligations and Agreement • July 31st, 2014 • Tributary Funds, Inc. • Nebraska
This Acknowledgment of Obligations and Agreement (this “Agreement”) is entered into by and between Northern Lights Distributors, LLC, a Nebraska limited liability company (the “Underwriter”), Tributary Capital Management, LLC, a Delaware limited liability company (the “Advisor”), and Tributary Funds, Inc., a Nebraska corporation (the “Company”).
FEE APPORTIONMENT AGREEMENTFee Apportionment Agreement • July 31st, 2014 • Tributary Funds, Inc.
THIS FEE APPORTIONMENT AGREEMENT (the “Agreement”) is made as of September 24, 2013, by and among: (1) Tributary Funds, Inc., a registered open-end management investment company organized as a Nebraska corporation having its principal place of business at 1620 Dodge Street, Omaha, NE 68197 (the “Company”), on behalf of the Tributary Short/Intermediate Bond Fund, the Tributary Income Fund, the Tributary Balanced Fund, the Tributary Large-Cap Growth Fund, the Tributary Growth Opportunities Fund, and the Tributary Small Company Fund (each, a “Fund” and collectively, the “Funds”), (2) Tributary Capital Management, LLC, a Colorado limited liability company (“Tributary”), and (3) First National Bank, a national banking association having its principal place of business at 205 West Oak Street, Fort Collins, CO 80521, on behalf of its division, First National Fund Advisers (“FNFA,” together with Tributary and the Funds, the “Parties”).
SEVENTH AMENDED AND RESTATED FEE APPORTIONMENT AGREEMENTFee Apportionment Agreement • July 31st, 2014 • Tributary Funds, Inc.
THIS SEVENTH AMENDED AND RESTATED FEE APPORTIONMENT AGREEMENT (the “Agreement”) is made as of August 1, 2013, by and among: (1) Tributary Funds, Inc., a registered open-end management investment company organized as a Nebraska corporation having its principal place of business at 1620 Dodge Street, Omaha, NE 68197 (the “Company”), on behalf of the Tributary Short/Intermediate Bond Fund, the Tributary Small Company Fund, the Tributary Income Fund, the Tributary Large Cap Growth Fund, the Tributary Balanced Fund, and the Tributary Growth Opportunities Fund, (each, a “Fund” and collectively, the “Funds”), (2) Tributary Capital Management, LLC, a Colorado limited liability company (“Tributary”), and (3) First National Bank, a national banking association having its principal place of business at 205 West Oak Street, Fort Collins, CO 80521, on behalf of its division, First National Fund Advisers (“FNFA,” together with Tributary and the Funds, the “Parties”).
Merrill Lynch Wealth Management Bank of America Corporation RE: TRIBUTARY FUNDS OPERATIONS AGREEMENT Ladies and Gentlemen:Tributary Funds, Inc. • July 31st, 2014 • New York
Merrill Lynch, Pierce, Fenner & Smith Incorporated (“we”, “us” or “Merrill Lynch”) desires to assist its customers in the acquisition and/or disposition of shares of the open-end investment companies (“mutual fund(s)”) listed on Schedule A hereto as amended from time to time in accordance with Paragraph 11(d) hereunder (collectively the “Funds” or, individually, the “Fund”) for which you are the distributor.
FIRST AMENDMENT TO SCHEDULE B SERVICE FEES Dated December 21, 2011Tributary Funds, Inc. • July 31st, 2014
SECOND AMENDMENT TO SCHEDULE B SERVICE FEES Dated October 1, 2013Tributary Funds, Inc. • July 31st, 2014
AMENDMENT TO SERVICES AGREEMENT BY AND AMONG NATIONAL FINANCIAL SERVICES LLC, FIDELITY BROKERAGE SERVICES LLC, FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, INC., NORTHERN LIGHTS DISTRIBUTORS, INC., AND TRIBUTARY CAPITAL MANAGEMENT, LLCServices Agreement by And • July 31st, 2014 • Tributary Funds, Inc.
THIS AMENDMENT, effective as of the first day of August, 2013, is by and among National Financial Services LLC (“NFS”), Fidelity Brokerage Services LLC (“FBS”), Fidelity Investments Institutional Operations Company, Inc. (“FIIOC”), Northern Lights Distributors, LLC (“Distributor”) and Tributary Capital Management, LLC (“Adviser”) (collectively the Distributor and Adviser shall be referred to as “Fund/Agent”);
EXPENSE WAIVER AGREEMENTExpense Waiver Agreement • July 31st, 2014 • Tributary Funds, Inc.
THIS AGREEMENT, dated as of August 1, 2014, is made and entered into by and between Tributary Funds, Inc. (the “Company”), on behalf of the investment series set forth on Schedule A attached hereto (each, a “Fund,” and collectively, the “Funds”), and Tributary Capital Management, LLC (the “Adviser”).
FEE APPORTIONMENT AGREEMENTFee Apportionment Agreement • July 31st, 2014 • Tributary Funds, Inc.
THIS APPORTIONMENT AGREEMENT (the “Agreement”) is made as of August 31, 2013 by and among: (1) Tributary Funds, Inc., a registered open-end management investment company organized as a Nebraska corporation having its principal place of business at 1620 Dodge Street, Omaha, NE 68197 (the “Company”), on behalf of the Tributary Small Company Fund, the Tributary Balanced Fund, the Tributary Growth Opportunities Fund, the Tributary Large Cap Growth Fund, the Tributary Income Fund and the Tributary Short-Intermediate Bond Fund (each, a “Fund” and collectively, the “Funds”), (2) Tributary Capital Management, LLC, a Colorado limited liability company (“Tributary”), and (3) First National Bank, a national banking association having its principal place of business at 205 West Oak Street, Fort Collins, CO 80521, on behalf of its division, First National Fund Advisers (“FNFA,” together with Tributary and the Funds, the “Parties”).
EXPENSE WAIVER AGREEMENTExpense Waiver Agreement • July 31st, 2014 • Tributary Funds, Inc.
THIS AGREEMENT, dated as of August 1, 2014, is made and entered into by and between Tributary Funds, Inc. (the “Company”), on behalf of the investment series set forth on Schedule A attached hereto (each, a “Fund,” and collectively, the “Funds”), and First National Fund Advisors (the “Sub-Adviser”).
Merrill Lynch Wealth Management Bank of America Corporation RE: TRIBUTARY FUNDS NO-LOAD FUND SERVICES AGREEMENT Ladies and Gentlemen:Tributary Funds, Inc. • July 31st, 2014 • New York
Merrill Lynch, Pierce, Fenner & Smith Incorporated (“we”, “us” or “Merrill Lynch”) has entered into an Operations Agreement (the “Operations Agreement”) with the distributor of certain open-end investment companies (“mutual fund(s)”) with whom you are affiliated in order to facilitate our customers’ acquisition and/or disposition of shares of such mutual funds. The mutual funds subject to the Operations Agreement are identified on Schedule A thereto or on our or our affiliates’ books and records, as the case may be, as agreed to under such Operations Agreement (hereinafter referred to collectively as the “Funds”, and each a “Fund”).
AMENDED AND RESTATED AGENCY AGREEMENTAgency Agreement • July 31st, 2014 • Tributary Funds, Inc. • Missouri
THIS AMENDED AND RESTATED AGREEMENT made as of October 1, 2012, by and between TRIBUTARY FUNDS, INC. (formerly known as First Focus Funds, Inc.), a corporation existing under the laws of the State of Nebraska, having its principal place of business at 1620 Dodge Street, Omaha, Nebraska 68197 (the “Fund”), and DST SYSTEMS, INC., a corporation existing under the laws of the State of Delaware, having its principal place of business at 333 West 11th Street, 5th Floor, Kansas City, Missouri 64105 (“DST”):
