AMENDED EXPENSE WAIVER AGREEMENTExpense Waiver Agreement • July 28th, 2022 • Tributary Funds, Inc.
THIS AGREEMENT, dated as of August 1, 2022, 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 28th, 2022 • Tributary Funds, Inc.
THIS FEE APPORTIONMENT AGREEMENT (the “Agreement”) is made as of April 20, 2022, 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 Nebraska Tax-Free Fund, (each, a “Fund” and collectively, the “Funds”), (2) Tributary Capital Management, LLC, a Colorado limited liability company (“Tributary”), and (3) First National Advisers, LLC (“FNA,” together with Tributary and the Funds, the “Parties”).
ADMINISTRATIVE SERVICES AGREEMENTAdministrative Services Agreement • July 28th, 2022 • Tributary Funds, Inc. • New York
This Administrative Services Agreement (“Agreement”) is entered into by and between Morgan Stanley Smith Barney LLC (“MSSB”), E*TRADE Securities LLC (“E*TRADE”), Tributary Capital Management, LLC (“Adviser” or “Fund Agent”), a Colorado corporation and investment adviser to the Funds, and Tributary Funds, Inc. (the “Trust”), a Nebraska statutory trust, on behalf of certain open-end mutual funds registered under the Investment Company Act of 1940, as amended, including, but not limited to, the Tributary family of funds (all such companies as may be so registered from time to time during the term of this Agreement, each a “Fund” and collectively the “Funds”). The Funds, the Trust, Fund Agent, and Adviser are each referred to as a “Fund Party” and collectively referred to as the “Fund Parties”. The term “Morgan Stanley” shall refer to MSSB or E*TRADE depending on which entity is providing the services in question.
SECOND AMENDMENT TO FUND ACCOUNTING AND CO-ADMINISTRATION SERVICES AGREEMENTFund Accounting and Co-Administration Services Agreement • July 28th, 2022 • Tributary Funds, Inc. • Nebraska
THIS SECOND AMENDMENT TO THE FUND ACCOUNTING AND CO-ADMINISTRATION SERVICES AGREEMENT (this “Amendment”) is effective as of November 15, 2021 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”).
MUTUAL FUND DEALER AGREEMENTMutual Fund Dealer Agreement • July 28th, 2022 • Tributary Funds, Inc. • New York
This Mutual Fund Dealer Agreement (“Agreement”) is entered into by and between Morgan Stanley Smith Barney LLC (“MSSB”), E*TRADE Securities LLC (“E*TRADE”), Northern Lights Distributors, LLC (“Company”), and Tributary Funds, Inc. (the “Trust”) for and on behalf of the Tributary family of funds (all such companies as may be so registered from time to time during the term of this Agreement, each a “Fund” and collectively, “Funds”), each an investment company registered with the Securities and Exchange Commission (“SEC”) under the Investment Company Act of 1940, as amended (the “1940 Act”). “). The term “Morgan Stanley” shall refer to MSSB or E*TRADE depending on which entity is providing the services in question.
SHAREHOLDER SERVICES AGREEMENTShareholder Services Agreement • July 28th, 2022 • Tributary Funds, Inc. • Massachusetts
THIS SHAREHOLDER SERVICES AGREEMENT is effective as of April 13, 2022, by and between Voya Institutional Plan Services, LLC, a Delaware limited liability company having a principal place of business at 30 Braintree Hill Office Park, Braintree, Massachusetts 02184 (“Voya”), Northern Lights Distributors, LLC, a Nebraska limited liability company having its principal place of business at 4221 North 203rd Street, Suite 100, Elkhorn, Nebraska 68022 (“Distributor”), Tributary Funds, Inc., a Nebraska corporation having its principal place of business at 1620 Dodge Street, Omaha, Nebraska 68197 (the “Trust”) on behalf of each series listed on Attachment A attached hereto (the “Funds”), and Tributary Capital Management, LLC, a Colorado limited liability company having its principal place of business at 1620 Dodge Street, Omaha, Nebraska 68197 (“Adviser”).
AMENDMENT TO INVESTMENT ADVISORY AGREEMENT BETWEEN TRIBUTARY CAPITAL MANAGEMENT, LLC AND TRIBUTARY FUNDS, INC.Investment Advisory Agreement • July 28th, 2022 • Tributary Funds, Inc.
This Amendment dated as of April 29, 2022 is made by and between Tributary Capital Management, LLC, a Colorado limited liability company (“Adviser”) and the Tributary Funds, Inc., a registered open-end management investment company organized as a Nebraska corporation (“Company”).
FEE APPORTIONMENT AGREEMENTFee Apportionment Agreement • July 28th, 2022 • Tributary Funds, Inc.
THIS FEE APPORTIONMENT AGREEMENT (the “Agreement”) is made as of March 10, 2022, 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, on behalf of, First National Advisers, LLC (“FNA,” together with Tributary and the Funds, the “Parties”).
MUTUAL FUND SUPPORT AGREEMENTMutual Fund Support Agreement • July 28th, 2022 • Tributary Funds, Inc. • New York
This Mutual Fund Support Agreement (“Agreement”) is entered into by Morgan Stanley Smith Barney LLC (“MSSB”), E*TRADE Securities LLC (“E*TRADE”) and Tributary Capital Management, LLC (“Company”). The term “Morgan Stanley” shall refer to MSSB or E*TRADE depending on which entity is providing the services in question.
