AMENDED EXPENSE WAIVER AGREEMENTExpense Waiver Agreement • July 23rd, 2020 • Tributary Funds, Inc.
THIS AGREEMENT, dated as of August 1, 2020, 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”).
ADMINISTRATIVE SERVICES AGREEMENTAdministrative Services Agreement • July 23rd, 2020 • Tributary Funds, Inc. • Colorado
THIS ADMINISTRATIVE SERVICES AGREEMENT (the “Agreement”) is effective this 7th day of November, 2019 (the “Effective Date”) by and between GWFS Equities, Inc. (“GWFS”), a Delaware corporation having its principal office and place of business at 8515 East Orchard Road, Greenwood Village, Colorado, 80111, 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 “Fund Company”) and Tributary Capital Management LLC (the “Adviser”), a Colorado limited liability company having its principal office and place of business at 1620 Dodge Street, Omaha, NE 68197 (each a “Party” and collectively the “Parties”).
FEE APPORTIONMENT AGREEMENTFee Apportionment Agreement • July 23rd, 2020 • Tributary Funds, Inc.
THIS FEE APPORTIONMENT AGREEMENT (the “Agreement”) is made as of February 20, 2020, 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 Small/Mid Cap Fund, the Tributary Income Fund, the Tributary Balanced Fund, the Tributary Nebraska Tax-Free 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 AMENDMENT TO BROADRIDGE OUTPUT SERVICES AGREEMENTBroadridge Output Services Agreement • July 23rd, 2020 • Tributary Funds, Inc.
This Second Amendment (“Amendment”) is made as of February 1, 2020 (“Second Amendment Effective Date”), by and between Broadridge Output Solutions, Inc. (“Broadridge”) and Tributary Funds, Inc. (“Customer”).
SHAREHOLDER SERVICES AGREEMENTShareholder Services Agreement • July 23rd, 2020 • Tributary Funds, Inc. • New York
This Shareholder Services Agreement (the “Agreement”) is made as of August 29, 2019 by Northern Lights Distributors, LLC, a Nebraska limited liability company (“Company”) having an address at 17645 Wright Street, Suite 200, Omaha, Nebraska 68130, MSCS Financial Services Division of Broadridge Business Process Outsourcing, LLC (f/k/a MSCS Financial Services, LLC), a Delaware limited liability company, having an address at 717 17th Street, S1300, Denver, Colorado 80202 (“Service Provider”), the Tributary Funds, Inc., an open-end management investment company registered under the Investment Company Act of 1940, as amended, having an address at 1620 Dodge Street, Stop 1089; Omaha, NE 68197 (the “Funds”) and Tributary Capital Management, LLC, a Colorado limited liability company (“Adviser”) having an address at 1620 Dodge Street, Stop 1089, Omaha, NE 68197, (collectively, the “Parties”).
FEE APPORTIONMENT AGREEMENTFee Apportionment Agreement • July 23rd, 2020 • Tributary Funds, Inc.
THIS FEE APPORTIONMENT AGREEMENT (the “Agreement”) is made as of November 7, 2019, 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 Small/Mid Cap 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”).
OMNIBUS SHAREHOLDER SERVICES AGREEMENTOmnibus Shareholder Services Agreement • July 23rd, 2020 • Tributary Funds, Inc. • New York
This Omnibus Shareholder Services Agreement (“Agreement”) is made as of January 21, 2020 by and between LPL Financial LLC, a California limited liability company, on behalf of itself and on behalf of other broker-dealers/investment advisors for which it may clear trades (“LPL”) and Tributary Funds, Inc. (the “Company”).
FIRST AMENDMENT TO FUND ACCOUNTING AND CO-ADMINISTRATION SERVICES AGREEMENTFund Accounting and Co-Administration Services Agreement • July 23rd, 2020 • Tributary Funds, Inc. • Nebraska
THIS FIRST AMENDMENT TO THE FUND ACCOUNTING AND CO-ADMINISTRATION SERVICES AGREEMENT (this “Amendment”) is effective as of May 21, 2020 and is made by and between Tributary Funds, Inc., a Nebraska corporation (the “Company”) and Atlantic Fund Administration, LLC (d/b/a Apex Fund Services), a Delaware limited liability company ( “AFS”).
