DISTRIBUTION SERVICES AGREEMENTDistribution Services Agreement • July 29th, 2015 • Tributary Funds, Inc. • Nebraska
THIS DISTRIBUTION SERVICES AGREEMENT (this “Agreement”) is made effective as of April 30, 2015, by and between Tributary Capital Management, LLC (the “Adviser”), and Northern· Lights Distributors, LLC (the “Distributor”).
FUND ACCOUNTING AND CO-ADMINISTRATION SERVICES AGREEMENTFund Accounting • July 29th, 2015 • Tributary Funds, Inc. • Nebraska
THIS AGREEMENT (this “Agreement”) is made and entered into as of August 1, 2015, by and between the Tributary Funds, Inc., a Nebraska corporation (the “Company”), and Atlantic Fund Administration, LLC (d/b/a Atlantic Fund Services), a limited liability company organized under the laws of the State of Delaware (“AFS”).
ORDER PROCESSING AGREEMENTTributary Funds, Inc. • July 29th, 2015 • New York
Northern Lights Distributors, LLC (the “Distributor”) serves as the principal underwriter of shares of the Tributary Funds, Inc. (the “Corporation “), an open end investment company in series form, shares of which companies are distributed by Distributor at their respective net asset values plus sales charges as applicable, pursuant to a written agreement (the “Underwriting Agreement”). Distributor invites J.P. Morgan Clearing Corp. (“JPMCC” or “you”) to facilitate transactions by the Distributor and JPMCC’s affiliated and unaffiliated introducing broker-dealers (“Introducing Brokers”) for their proprietary accounts and on behalf of customers of such Introducing Brokers (“Customers”) in shares of any and all of the funds subject to Distributor’s Underwriting Agreement, that are a part of, or may become a part of, the Corporation(1) (each, a “Fund,” together the “Funds”), upon the following terms and conditions:
Supplement to Mutual Fund Sales Agreement For Serving FeeTributary Funds, Inc. • July 29th, 2015
WHEREAS, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. collectively known as (“Raymond James”) and Northern Lights Distributors, LLC, on behalf of the Tributary Funds, Inc. (“Fund”), have previously entered into a Selling Agreement dated January 12, 2014, as the same may have been amended (the “Agreement”); and
FEE APPORTIONMENT AGREEMENTFee Apportionment Agreement • July 29th, 2015 • Tributary Funds, Inc.
THIS APPORTIONMENT AGREEMENT (the “Agreement”) is made as of October 1, 2014 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 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 14010 FNB Parkway, Omaha, NE 68154, on behalf of its division, First National Fund Advisers (“FNFA,” together with Tributary and the Funds, the “Parties”).
AMENDMENT TO EXPENSE WAIVER AGREEMENT BETWEEN TRIBUTARY FUNDS, INC. AND FIRST NATIONAL FUND ADVISERSExpense Waiver Agreement • July 29th, 2015 • Tributary Funds, Inc.
This AMENDMENT is made by and between TRIBUTARY FUNDS, INC. (the “Company”) on behalf of certain investment series (each, a “Fund,” and collectively, the “Funds”), and FIRST NATIONAL FUND ADVISERS (“Sub-Adviser”).
TD AMERITRADE TRUST COMPANY SHAREHOLDER SERVICE AGREEMENTShareholder Service Agreement • July 29th, 2015 • Tributary Funds, Inc. • Colorado
This Shareholder Service Agreement, including the Addendum hereto, is made and entered into between TD Ameritrade Trust Company (“TDATC”), a Maine chartered trust company located at 717 Seventeenth Street, Denver, Colorado 80202 and Tributary Funds, (the “Company”), a Nebraska corporation, with its principal office at 1620 Dodge Street, Omaha, NE 68197 and Tributary Capital Management, LLC (the “Advisor”), a Colorado limited liability company with its principal office at 1620 Dodge Street, Omaha, NE 68197 ..
AMENDMENT TO AMENDED AND RESTATED AGENCY AGREEMENTAgency Agreement • July 29th, 2015 • Tributary Funds, Inc.
This Amendment to Amended and Restated Agency Agreement (this “Amendment”) is between Tributary Funds, Inc. (the “Fund”) and DST Systems, Inc. (“DST”).
AMENDED AND RESTATED FEE APPORTIONMENT AGREEMENTFee Apportionment Agreement • July 29th, 2015 • Tributary Funds, Inc.
THIS AMENDED AND RESTATED FEE APPORTIONMENT AGREEMENT (the “Agreement”) is made as of October 1, 2014, 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 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 14010 FNB Parkway, Omaha, NE 68154, on behalf of its division, First National Fund Advisers (“FNFA,” together with Tributary and the Funds, the “Parties”).
SHAREHOLDER SERVICES AGREEMENT JPMorgan Chase Bank, NAShareholder Services Agreement • July 29th, 2015 • Tributary Funds, Inc. • New York
THIS SHAREHOLDER SERVICES AGREEMENT (this “Agreement”) is made and entered into as of July 1, 2013 by and between JPMorgan Chase Bank, N.A . (“JPMC”) and the entity set forth as “Company” on the signature page of this Agreement (“Company”).
EIGHTH AMENDED AND RESTATED FEE APPORTIONMENT AGREEMENTFee Apportionment Agreement • July 29th, 2015 • Tributary Funds, Inc.
THIS EIGHTH AMENDED AND RESTATED FEE APPORTIONMENT AGREEMENT (the “Agreement”) is made as of October 1, 2014, 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 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 14010 FNB Parkway, Omaha, NE 68154, on behalf of its division, First National Fund Advisers (“FNFA,” together with Tributary and the Funds, the “Parties”).
AMENDED AND RESTATED FEE APPORTIONMENT AGREEMENTFee Apportionment Agreement • July 29th, 2015 • Tributary Funds, Inc.
THIS AMENDED AND RESTATED FEE APPORTIONMENT AGREEMENT (the “Agreement”) is made as of October 1, 2014, 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 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 14010 FNB Parkway, Omaha, NE 68154, on behalf of its division, First National Fund Advisers (“FNFA,” together with Tributary and the Funds, the “Parties”).
SECOND AMENDED AND RESTATED FEE APPORTIONMENT AGREEMENTFee Apportionment Agreement • July 29th, 2015 • Tributary Funds, Inc.
THIS SECOND AMENDED AND RESTATED FEE APPORTIONMENT AGREEMENT (the “Agreement”) is made as of October 1, 2014, 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 the Tributary Small Company 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 14010 FNB Parkway, Omaha, NE 68154, on behalf of its division, First National Fund Advisers (“FNFA”).
AMENDMENT TO INVESTMENT SUB-ADVISORY AGREEMENT BETWEEN TRIBUTARY CAPITAL MANAGEMENT, LLC AND FIRST NATIONAL FUND ADVISERSInvestment Sub-Advisory Agreement • July 29th, 2015 • Tributary Funds, Inc.
This AMENDMENT is made by and between TRIBUTARY CAPITAL MANAGEMENT, LLC, a Colorado limited liability company (“Adviser”) and First National Bank (Omaha), a national banking association having its principal place of business in Omaha, Nebraska and doing business as FIRST NATIONAL FUND ADVISERS (“Sub-Adviser”).
