Exhibit 4 under Form N-14 AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION ("Agreement") is made as of June 10, 2004, among MORGAN KEEGAN SELECT FUND, INC., a Maryland corporation...Agreement and Plan of Reorganization and Termination • July 13th, 2004 • Regions Morgan Keegan Select Funds • Maryland
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • June 21st, 2021 • Eq Premier Vip Trust • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Agreement”) is made as of June 1, 2021, by and between EQ ADVISORS TRUST, a Delaware statutory trust (“EQAT”), on behalf of EQ/Global Bond PLUS Portfolio, a segregated portfolio of assets (“series”) thereof (“Target”), and EQ PREMIER VIP TRUST, a Delaware statutory trust (“VIP“), on behalf of EQ/Core Plus Bond Portfolio, a series thereof (“Acquiring Portfolio”). (Target and Acquiring Portfolio is each sometimes referred to herein as a “Portfolio,” and each of EQAT and VIP is sometimes referred to herein as an “Investment Company.“) Notwithstanding anything to the contrary contained herein, (1) all agreements, covenants, actions, and obligations (collectively, “Obligations”) of and by each Portfolio, and of and by each Investment Company, as applicable, contained herein shall be deemed to be Obligations of, and all rights and benefits created hereunder in favor of each Portfolio shall inure to and be enforceable by, the Investm
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • June 16th, 2020 • Eq Premier Vip Trust • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Agreement”) is made as of May 1, 2020, between EQ ADVISORS TRUST, a Delaware statutory trust (“EQAT”), on behalf of EQ/All Asset Growth Allocation Portfolio (formerly known as All Asset Growth - Alt 20 Portfolio) and 1290 VT SmartBeta Equity Portfolio, each a segregated portfolio of assets (“series”) thereof (each, an “Acquiring Portfolio”), and EQ/Templeton Global Equity Managed Volatility Portfolio, also a series thereof (a “Target”), and EQ PREMIER VIP TRUST (formerly known as AXA Premier VIP Trust), also a Delaware statutory trust (“VIP”), on behalf of EQ/Conservative Allocation Portfolio, a series thereof (also, an “Acquiring Portfolio”), and CharterSM Conservative Portfolio, CharterSM Aggressive Growth Portfolio, CharterSM Growth Portfolio, CharterSM Moderate Growth Portfolio and CharterSM Moderate Portfolio, each a series thereof (each, also a “Target”). (Each Target and Acquiring Portfolio is sometimes referred to here
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • April 15th, 2021 • Mutual Fund Series Trust • Ohio
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Agreement”) is made as of April [___], 2021, among MUTUAL FUND SERIES TRUST, a Ohio trust, with its principal place of business at 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022 (the “Trust”), on behalf of Catalyst Small-Cap Insider Buying Fund, a series of the Trust (the “Target Fund”); on behalf of Catalyst Insider Buying Fund, a series of the Trust (the “Survivor Fund”); and, solely for purposes of paragraph 6, CATALYST CAPITAL ADVISORS LLC, advisor to the Target Fund and Survivor Fund (“Advisor”). (Each of the Target Fund and Survivor Fund is sometimes referred to herein as a “Fund.”) Notwithstanding anything to the contrary contained herein: (1) the agreements, covenants, representations, warranties, actions, and obligations (collectively, “Obligations”) of and by each Fund—and of and by the Trust of which that Fund is a series, on that Fund’s behalf—shall be the Obligations of that Fund only; (2) all rights and be
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • September 18th, 2020 • Ohio National Fund Inc • Ohio
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Agreement”) is made as of September 15, 2020, among OHIO NATIONAL FUND, INC., a Maryland corporation, with its principal place of business at One Financial Way, Montgomery, Ohio 45242 (“Corporation”), on behalf of the segregated portfolio of assets (“series”) of the ON Conservative Model Portfolio (the “Target Fund”) and Corporation on behalf of the series of the ON Moderately Conservative Model Portfolio, (the “Survivor Fund”); and, solely for purposes of paragraph 6, OHIO NATIONAL INVESTMENTS, INC., advisor to the Survivor Fund and Target Fund (“Ohio National”). (Corporation is sometimes referred to herein as an “Investment Company,” and the Target Fund and Survivor Fund are sometimes referred to herein as a “Fund.”) Notwithstanding anything to the contrary contained herein, (1) the agreements, covenants, representations, warranties, actions, and obligations (collectively, “Obligations”) of and by each Fund, and of and by th
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • July 31st, 2017 • Ultimus Managers Trust • Ohio
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • July 24th, 2015 • Northern Lights Fund Trust Ii • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Agreement”) is made as of June 24, 2015, among Northern Lights Fund Trust II, a Delaware statutory trust, with its principal place of business at 17605 Wright Street, Omaha, NE 68130 (“New Trust”), on behalf of a single segregated portfolio of assets (“series”) thereof listed under the heading “New Fund” on Schedule A attached hereto (“Schedule A”) (“New Fund”), and PROFESSIONALLY MANAGED PORTFOLIOS, a Massachusetts business trust, with its principal place of business at 615 East Michigan Street, Milwaukee, Wisconsin 53202 (“Old Trust”), on behalf of the series thereof listed under the heading “Existing Fund” on Schedule A (“Existing Fund”), and solely with respect to paragraph 6, Balter Liquid Alternatives, LLC (the “Manager”) (Each of the New Trust and Old Trust is sometimes referred to herein, each as an “Investment Company” and collectively, as “Investment Companies,” and the New Fund and Existing Fund are sometimes referr
Northern Lights Fund Trust IV 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246Agreement and Plan of Reorganization and Termination • September 16th, 2022 • Northern Lights Fund Trust IV
Re: AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION, DATED AS OF September 7, 2022 (THE “AGREEMENT”), BY AND AMONG Northern Lights FUnd Trust IV (“Northern Lights”) on behalf of ITS SERIES, Main BuyWrite Fund (THE “EXISTING FUND”) and on behalf of ITS SERIES, Main BuyWrite ETF (THE “new fund”) AND, SOLELY FOR PURPOSES OF Article IX THEREOF, Main Management Advisors, LLC (The “Advisor”)
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • June 21st, 2021 • Eq Advisors Trust
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Plan”) is adopted by EQ ADVISORS TRUST, a Delaware statutory trust (the “Trust”), on behalf of 1290 VT Energy Portfolio and EQ/Franklin Balanced Managed Volatility Portfolio, each a segregated portfolio of assets (“series”) thereof (each, a “Target”), and on behalf of 1290 VT Natural Resources Portfolio and EQ/Balanced Strategy Portfolio, each a series thereof (each an “Acquiring Portfolio”). (Each Target and Acquiring Portfolio is sometimes referred to herein as a “Portfolio.”) Notwithstanding anything to the contrary contained herein, (1) all agreements, covenants, actions, and obligations (collectively, “Obligations”) of and by each Portfolio contained herein shall be deemed to be Obligations of, and all rights and benefits created hereunder in favor of each Portfolio shall inure to and be enforceable by, the Trust acting on its behalf, and (2) in no event shall any other series of the Trust or the assets thereof be held li
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
AMENDMENT TO AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION The Agreement and Plan of Reorganization and Termination ("Agreement") made as of May 16, 2001, between Legg Mason Total Return Trust, Inc. and Legg Mason Investors Trust, Inc., on...Agreement and Plan of Reorganization and Termination • July 9th, 2001 • Legg Mason Investors Trust Inc
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • May 30th, 2007 • Tiaa Cref Institutional Mutual Funds • New York
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Agreement”) is made as of April 16, 2007 between TIAA-CREF Mutual Funds, a Delaware statutory trust (“Retail Trust”), on behalf of its segregated portfolios of assets (“series”) specified on Appendix A hereto (each a “Target Fund”), and TIAA-CREF Institutional Mutual Funds, a Delaware statutory trust (“Institutional Trust”), on behalf of its corresponding series as specified on Appendix A hereto (each an “Acquiring Fund”).* (Target Fund and Acquiring Fund are sometimes referred to herein individually as a “Fund” and collectively as the “Funds,” and Retail Trust and Institutional Trust are sometimes referred to herein individually as an “Investment Company” and collectively as the “Investment Companies.”) All agreements, representations, actions and obligations described herein made or to be taken or undertaken by either Fund are made and shall be taken by Institutional Trust on behalf of Acquiring Fund and by Retail Trust on b
APPENDIX A AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • June 29th, 2012 • Eagle Series Trust • Massachusetts
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Agreement”) is made as of October 14, 2011, among EAGLE SERIES TRUST, a Massachusetts business trust (“Trust”), on behalf of Eagle Large Cap Core Fund, a segregated portfolio of assets (“series”) thereof (“Target”), EAGLE GROWTH & INCOME FUND, also a Massachusetts business trust (“Acquiring Fund”), and, solely for purposes of paragraph 7.2, EAGLE ASSET MANAGEMENT, INC. (“Advisor”). (Each of Target and Acquiring Fund is sometimes referred to herein as a “Fund,” and each of Trust and Acquiring Fund is sometimes referred to herein as an “Investment Company.”) All agreements, representations, actions, obligations, and covenants described herein made or to be taken or undertaken by Target are made and shall be taken or undertaken by Trust on its behalf.
August 10, 2007 ThomasLloyd Funds Trustees of the ThomasLloyd Funds 427 Bedford Road Pleasantville, NY 10570Agreement and Plan of Reorganization and Termination • August 30th, 2007 • Catalyst Funds
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION, DATED AS OF AUGUST 10, 2007 (THE "AGREEMENT"), BY AND AMONG THE THOMASLLOYD OPTI-flex® FUND (THE "TRANSFERRING FUND"), A SERIES OF THOMASLLOYD FUNDS, A MASSACHUSETTS BUSINESS TRUST ("THOMASLLOYD FUNDS"); THE CATALYST OPTI-flex® FUND (THE "ACQUIRING FUND"), A NEWLY FORMED SERIES OF CATALYST FUNDS, AN OHIO BUSINESS TRUST ("CATALYST FUNDS"); AND SOLELY FOR THE PURPOSES OF PARAGRAPH 6.2 OF THE AGREEMENT, CATALYST CAPITAL ADVISORS LLC ("CATALYST") AND THOMASLLOYD GLOBAL ASSET MANAGEMENT (AMERICAS) LLC ("THOMASLLOYD")
July 18, 2016Agreement and Plan of Reorganization and Termination • August 11th, 2016 • Janus Detroit Street Trust
Re: Agreement and Plan of Reorganization and Termination, dated July 6, 2016 (“Agreement I”), between ALPS ETF Trust (the “Existing Trust”), a statutory trust created under the laws of the State of Delaware, on behalf of Janus Velocity Tail Risk Hedged Large Cap ETF (“Existing Fund I”), and Janus Detroit Street Trust (the “New Trust”), a statutory trust created under the laws of the State of Delaware, on behalf of its newly created series, Janus Velocity Tail Risk Hedged Large Cap ETF (“New Fund I”); and
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • November 17th, 2022 • Eq Advisors Trust • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Agreement”) is made as of November 4, 2022, between EQ ADVISORS TRUST, a Delaware statutory trust (“EQAT”), on behalf of 1290 VT Low Volatility Global Equity Portfolio, EQ/Franklin Strategic Income Portfolio, EQ/AXA Investment Managers Moderate Allocation Portfolio and EQ/Invesco International Growth Portfolio, each a segregated portfolio of assets (“series”) thereof (each, a “Target”), and on behalf of EQ/Common Stock Index Portfolio, 1290 VT Moderate Growth Allocation Portfolio and EQ/MFS International Growth Portfolio, each also a series thereof (each, an “Acquiring Portfolio”), and EQ PREMIER VIP TRUST, also a Delaware statutory trust (“VIP”), on behalf of EQ/Core Plus Bond Portfolio, a series thereof (also an “Acquiring Portfolio”). (Each Target and Acquiring Portfolio is sometimes referred to herein as a “Portfolio,” each of EQAT and VIP is sometimes referred to herein as an “Investment Company,” and the Investment Compa
June 27, 2018Agreement and Plan of Reorganization and Termination • August 2nd, 2018 • OSI ETF Trust
In rendering our opinion, we have reviewed and relied upon: (a) a copy of the executed Agreement, dated as of June 27, 2018; (b) the Combined Proxy Statement/Prospectus provided to shareholders of the Old Funds dated May 15, 2018, in connection with special meetings of the shareholders held on June 19 and 22, 2018; (c) certain representations concerning the Reorganization made to us by the New Trust, on behalf of the New Funds, and the Old Trust, on behalf of the Old Funds, in letters dated June 27, 2018 (the "Representation Letters"); (d) all other documents, financial and other reports and corporate minutes we deemed relevant or appropriate; and (e) such statutes, regulations, rulings and decisions as we deemed material in rendering this opinion.
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • March 25th, 2019 • Global X Funds • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Agreement”) is made as of December 14, 2018, among Global X Funds, a Delaware statutory trust, with its principal place of business at 600 Lexington Avenue, 20th Floor, New York, NY 10022 (“Acquiring Trust”), on behalf of each segregated portfolio of assets (“series”) thereof listed under the heading “Acquiring Funds” on Schedule A attached hereto (“Schedule A”) (each such series referred to herein as an “Acquiring Fund”); Horizons ETF Trust I, a Delaware statutory trust, with its principal place of business at 1 Landmark Square, 7th Floor, Stamford, CT 06901 (“Target Trust”), on behalf of each series thereof listed under the heading “Target Funds” on Schedule A (each such series referred to herein as a “Target Fund”); and, solely for purposes of paragraph 6, Global X Management Company, LLC, investment adviser to each Acquiring Fund (“Investment Adviser”). (Acquiring Trust and Target Trust are each sometimes referred to herei
Exhibit No. 4 AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION ("Agreement") is made as of February 1, 2001, by and among PaineWebber PACE Select Advisors Trust, a Delaware business trust...Agreement and Plan of Reorganization and Termination • March 6th, 2001 • Painewebber Pace Select Advisors Trust • New York
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • November 21st, 2017 • Cm Advisors Family of Funds • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Agreement”) is made as of November 21, 2017, by CM Advisors Family of Funds, a Delaware statutory trust (the “Trust”), on behalf of its CM Advisors Fund (the “Target Fund”) and its CM Advisors Small Cap Value Fund (the “Survivor Fund” and the Target Fund and the Survivor Fund are sometimes referred to herein, each as a “Fund” and collectively, as the “Funds.”), and, solely for the purposes of paragraphs 3.3 and 5, Van Den Berg Management I, Inc. (d/b/a CM Fund Advisors), advisor to the Funds (the “Advisor”). Notwithstanding anything to the contrary contained herein, (1) the agreements, covenants, representations, warranties, actions, and obligations (collectively, “Obligations”) of and by each Fund, and of and by the Trust on a Fund’s behalf, shall be the Obligations of that Fund only, (2) all rights and benefits created hereunder in favor of a Fund shall inure to and be enforceable by the Trust on that Fund’s behalf, and (3)
APPENDIX A AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION ("Agreement") is made as of November 30, 1995, between PaineWebber RMA Money Fund, Inc., a Maryland corporation ("PW...Agreement and Plan of Reorganization and Termination • December 6th, 1995 • Painewebber Rma Money Fund Inc • Maryland
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • September 30th, 2019 • Paradigm Funds • Ohio
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (the “Agreement”) is made as of September [*], 2019, among PARADIGM FUNDS, an Ohio business trust, with its principal place of business at Nine Elk Street, Albany, New York 12207 (the “Trust”), on behalf of Paradigm Opportunity Fund, a series of the Trust (the “Target Fund”) and on behalf of Paradigm Micro-Cap Fund, a series of the Trust (the “Survivor Fund”); and, solely for purposes of paragraph 6, Paradigm Funds Advisor LLC, investment adviser to the Target Fund and Survivor Fund (the “Advisor”). Each of the Target Fund and Survivor Fund is sometimes referred to herein as a “Fund.” Notwithstanding anything to the contrary contained herein, (1) the agreements, covenants, representations, warranties, actions, and obligations (collectively, “Obligations”) of and by each Fund and of and by the Trust of which that Fund is a series, on that Fund’s behalf shall be the Obligations of that Fund only, (2) all rights and benefits create
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • May 30th, 2013 • Drexel Hamilton Mutual Funds
THIS AGREEMENT AND PLAN OF REORGANIZAT'ION AND TERMINATION ("Agreement") is made as of October 9, 2012, among DREXEL HAMILTON MUTUAL FUNDS, a Delaware business trust, with its principal place of business at 45 Rockefeller Plaza, Suite 2000, New York, NY 10111 ("Trust"), on behalf of Drexel Hamilton Centre American Equity Fund, a segregated portfolio of assets ("series") thereof ("Acquiring Fund"), AMERISTOCK MUTUAL FUND, INC., a Maryland corporation, with its principal place of business at 1320 Harbor Bay Parkway, Suite 145, Alameda, CA 94502 ("Acquired Fund"), and, solely for purposes of paragraphs 3.5, 6 and 7, DREXEL HAMILTON INVESTMENT PARTNERS, LLC, Acquiring Fund's investment adviser ("Acquiring Fund Manager"), with its principal place of business at 45 Rockefeller Plaza, Suite 2000, New York, NY 10111, and, solely for purposes of paragraphs 3.4, 6 and 7, AMERISTOCK CORPORATION, with its principal place of business at 1320 Harbor Bay Parkway, Suite 145, Alameda, CA 94502 ("Acquir
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • September 27th, 2022 • Salient MF Trust • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Agreement”) is made as of July 20, 2022, between SALIENT MIDSTREAM & MLP FUND, a Delaware statutory trust (the “Acquired Fund”), and SALIENT MF TRUST, also a Delaware statutory trust (“Acquiring Trust”), on behalf of Salient MLP & Energy Infrastructure Fund, a series thereof (the “Acquiring Fund”). (Each of the Acquired Fund and the Acquiring Fund is sometimes referred to herein as a “Fund,” each of the Acquired Fund and the Acquiring Trust is sometimes referred to herein as an “Investment Company,” and the Acquiring Trust is sometimes referred to herein as the “Acquiring Investment Company.”) Notwithstanding anything to the contrary contained herein, (1) all agreements, covenants, representations, warranties, actions, and obligations (collectively, “Obligations”) of and by the Acquiring Fund, and of and by the Acquiring Investment Company on its behalf, contained herein shall be deemed to be the Obligations of the Acquiring F
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • November 22nd, 2023 • Eq Advisors Trust
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Agreement”) is made as of November 10, 2023, between EQ ADVISORS TRUST, a Delaware statutory trust (“EQAT”), on behalf of EQ/Conservative Allocation Portfolio, EQ/Conservative-Plus Allocation Portfolio, EQ/Moderate Allocation Portfolio, EQ/Moderate-Plus Allocation Portfolio, EQ/Aggressive Allocation Portfolio, Target 2015 Allocation Portfolio, Target 2025 Allocation Portfolio, Target 2035 Allocation Portfolio, Target 2045 Allocation Portfolio, Target 2055 Allocation Portfolio and EQ/Core Plus Bond Portfolio, each a segregated portfolio of assets (“series”) thereof (each, a “New Portfolio”), and EQ PREMIER VIP TRUST, also a Delaware statutory trust (“VIP”), on behalf of EQ/Conservative Allocation Portfolio, EQ/Conservative-Plus Allocation Portfolio, EQ/Moderate Allocation Portfolio, EQ/Moderate-Plus Allocation Portfolio, EQ/Aggressive Allocation Portfolio, Target 2015 Allocation Portfolio, Target 2025 Allocation Portfolio, Targ
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION 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...Agreement and Plan of Reorganization and Termination • October 31st, 2013 • Jacob Funds Inc.
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • May 24th, 2024 • NEOS ETF Trust
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Reorganization Agreement”) is made as of this [ ] day of May [ ], 2024 by the NEOS ETF Trust, a Delaware statutory trust (“Acquiring Trust”); on behalf of a NEOS Enhanced Income Credit Select ETF (new series of the Acquiring Trust (the “Acquiring Fund”)); WST Investment Trust, a Delaware statutory trust (“Acquired Trust”) (the Acquiring Trust and Acquired Trust may be referred to herein individually as a “Trust” and collectively as the “Trusts”), on behalf of the WSTCM Credit Select Risk-Managed Fund (a series of the Acquired Trust (the “Target Fund”)) (the Acquiring Fund and Target Fund may be referred to herein individually as a “Fund” and collectively as the “Funds”); NEOS Investment Management, LLC, a Delaware limited liability company (“NEOS”), the investment adviser to the Acquiring Fund (only for purposes of Sections 4.4, 5.10, 5.12, 8.8, 9.1, 9.2 and 15.3 of this Reorganization Agreement) and Wilbanks, Smith & Thomas A
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • April 19th, 2013 • Compass EMP Funds Trust • New York
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Agreement”) is made as of March 29, 2013, among COMPASS EMP FUNDS TRUST, a Delaware statutory trust, with its principal place of business at c/o Gemini Fund Services, LLC, 4020 South 147th Street, Suite 2, Omaha, Nebraska 68137 (“New Trust”), on behalf of each segregated portfolio of assets (“series”) thereof listed under the heading “New Funds” on Schedule A attached hereto (“Schedule A”) (each, a “New Fund”); MUTUAL FUND SERIES TRUST, an Ohio business trust, with its principal place of business at c/o Gemini Fund Services, LLC, 4020 South 147th Street, Suite 2, Omaha, Nebraska 68137 (“Old Trust”), on behalf of each series thereof listed under the heading “Old Funds” on Schedule A (each, an “Old Fund”); and, solely for purposes of paragraphs 5.7, 5.8 and 6, COMPASS EFFICIENT MODEL PORTFOLIOS, LLC, investment adviser to the New Funds and Old Funds (“Compass EMP”). (Each of New Trust and Old Trust is sometimes referred to herei
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • August 2nd, 2018 • OSI ETF Trust • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION ("Agreement") is made as of June 27, 2018, among OSI ETF Trust, a Delaware statutory trust, with its principal place of business at 60 State Street, Suite 700, Boston, MA 02109 ("New Trust"), on behalf of each segregated portfolio of assets ("series") thereof listed under the heading "New Funds - Series of New Trust" on Schedule A attached hereto ("Schedule A") (each such series referred to herein as a "New Fund"); FQF Trust, a Delaware statutory trust, with its principal place of business at 53 State Street, Suite 1308, Boston, MA 02109 ("Old Trust"), on behalf of each series thereof listed under the heading "Old Funds" on Schedule A (each such series referred to herein as an "Old Fund"); and, solely for purposes of paragraph 6, O'Shares Investment Advisers, LLC, investment adviser to New Fund ("Investment Adviser"). (New Trust and Old Trust are each sometimes referred to herein as an "Investment Company," and each New Fund and
Northern Lights Fund Trust II 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 Walthausen Funds 2691 Route 9, Suite 102 Mata, NY 12020Agreement and Plan of Reorganization and Termination • January 23rd, 2023 • Northern Lights Fund Trust Ii
Re: AGREEMENT AND PLAN OF REORGANIZATION AND Termination, DATED AS OF ______________, 2023 (THE “AGREEMENT”), AMONG Northern Lights FUND TRUST II (“Acquiring Trust”) on behalf of ITS SERIES, North Star Small Cap Value Fund (THE “Acquiring fund”), Walthausen Funds (“Selling TRUST”) on behalf of ITS SERIES, Walthausen Small Cap Value Fund (THE “Selling FUND”), AND, SOLELY FOR PURPOSES OF Sections 1.7, 5.11, and 9.1 THEREOF, North Star Investment Management Corp (the “AdvisEr”)
EXHIBIT A AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • March 14th, 2019 • Advisorone Funds • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION ("Agreement") is made as of [ ], 2019, among ADVISORONE FUNDS, a Delaware trust, with its principal place of business at 17605 Wright Street, Omaha, Nebraska 68130 (the "Trust"), on behalf of CLS International Equity Fund, a series of the Trust (the "Target Fund") and on behalf of CLS Global Diversified Equity Fund, a series of the Trust (the "Survivor Fund"); and, solely for purposes of paragraph 6, CLS Investments LLC, adviser to the Target Fund and Survivor Fund (the "Adviser"). Each Target Fund and Survivor Fund is sometimes referred to herein as a "Fund." Notwithstanding anything to the contrary contained herein, (1) the agreements, covenants, representations, warranties, actions, and obligations (collectively, "Obligations") of and by each Fund and of and by the Trust of which that Fund is a series, on that Fund's behalf shall be the Obligations of that Fund only, (2) all rights and benefits created hereunder in favor of a
faegredrinker.com Faegre Drinker Biddle & Reath LLPAgreement and Plan of Reorganization and Termination • April 28th, 2023 • RBB Fund, Inc.
Re: Agreement and Plan of Reorganization and Termination by and among The RBB Fund Inc., F/m Funds Trust, and F/m Investments, LLC, dated _________ __, 2023
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • July 31st, 2017 • Stadion Investment Trust • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Agreement”) is made as of March 1, 2017, by Stadion Investment Trust, a Delaware statutory trust (the “Trust”), on behalf of its Stadion Managed Risk 100 Fund (the “Target Fund”) and Stadion Tactical Defensive Fund (the “Survivor Fund” and the Target Fund and the Survivor Fund are sometimes referred to herein, each as a “Fund” and collectively, as the “Funds.”), and, solely for the purposes of paragraph 5, Stadion Money Management, LLC, adviser to the Funds (the “Adviser”). Notwithstanding anything to the contrary contained herein, (1) the agreements, covenants, representations, warranties, actions, and obligations (collectively, “Obligations”) of and by each Fund -- and of and by the Trust on a Fund’s behalf -- shall be the Obligations of that Fund only, (2) all rights and benefits created hereunder in favor of a Fund shall inure to and be enforceable by the Trust on that Fund’s behalf, and (3) in no event shall any other ser
OPINION RE: TAX MATTERS April 29, 2019 CLS International Equity Fund CLS Global Diversified Equity FundAgreement and Plan of Reorganization and Termination • April 29th, 2019 • Advisorone Funds
Re: AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION, DATED AS OF JANUARY 17, 2019 (THE "AGREEMENT"), BY AND BETWEEN AdvisorOne FUNDS ("AdvisorOne") on behalf of ITS SERIES, CLS International Equity Fund (THE "TRANSFERRING FUND") AND ITS SERIES, CLS Global Diversified Equity FUND (THE "ACQUIRING FUND") AND, SOLELY FOR PURPOSES OF PARAGRAPH 6 THEREOF, CLS Investments LLC ("CLS Investments")
Appendix A AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • October 3rd, 2017 • Ultimus Managers Trust • Maryland
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Agreement”) is made as of October 2, 2017, by and between ULTIMUS MANAGERS TRUST, an Ohio business trust, with its principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (“New Trust”), on behalf of Meehan Focus Fund, a segregated portfolio of assets (“series”) thereof, (“New Fund”), and MEEHAN MUTUAL FUNDS, INC., a Maryland corporation, with its principal place of business at 7250 Woodmont Avenue, Suite 315, Bethesda, MD 20814, with respect to its sole series (named Meehan Focus Fund) (“Old Fund”), and solely for purposes of paragraphs 3.4, 5.3, 6 and 9 herein, Edgemoor Investment Advisors, Inc., investment advisor to the New Fund and the Old Fund (the “Manager”) (The New Trust and the Old Fund are sometimes referred to herein as an “Investment Company” and collectively, as the “Investment Companies,” and the New Fund and Old Fund are sometimes referred to herein, each as a “Fund” and collectively
