AMENDED AND RESTATED CUSTODY AGREEMENTCustody Agreement • September 9th, 2021 • F/M Funds Trust • Minnesota
THIS AMENDED AND RESTATED CUSTODY AGREEMENT (the “Agreement”) is made and entered into as of April 19, 2021, by and between F/m Funds Trust, an Ohio business trust (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America with its principal place of business at Minneapolis, Minnesota (the “Custodian”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • January 21st, 2022 • F/M Funds Trust • Ohio
THIS INVESTMENT ADVISORY AGREEMENT (this “Agreement”) is made as of January 18, 2022, by and between F/m Funds Trust, an Ohio business trust (the “Trust”) registered as an investment company under the Investment Company Act of 1940, as amended (the “1940 Act”), and F/m Investments, LLC, a Delaware limited liability company (the “Adviser”).
DISTRIBUTION AGREEMENTDistribution Agreement • January 21st, 2022 • F/M Funds Trust • Ohio
This Agreement made as of January 18, 2022 by and among F/m Funds Trust (the “Trust”), an Ohio business trust, F/m Investments, LLC , a Delaware limited liability company ("Adviser"), and Ultimus Fund Distributors, LLC, an Ohio limited liability company (“Distributor”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • June 15th, 2021 • F/M Funds Trust • Ohio
THIS AGREEMENT made as of the 29th day of December, 2020 by and between Oakhurst Capital Management, LLC (the “Investment Adviser”), a Delaware limited liability company, and F/m Funds Trust (the “Trust”), an Ohio business trust.
ADMINISTRATION AGREEMENTAdministration Agreement • December 1st, 2015 • First Western Funds Trust • Ohio
THIS AGREEMENT is made as of this 16th day of August, 2012, by and between THE FIRST WESTERN FUNDS TRUST (the "Trust"), an Ohio business trust having its principal place of business at 1900 Avenue of the Stars, Suite 900, Los Angeles, CA 90067, and ULTIMUS FUND SOLUTIONS, LLC ("Ultimus"), a limited liability company organized under the laws of the State of Ohio and having its principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246.
FUND ACCOUNTING AGREEMENTFund Accounting Agreement • December 1st, 2015 • First Western Funds Trust • Ohio
THIS AGREEMENT is made as of this 16th day of August, 2012, by and between THE FIRST WESTERN FUNDS TRUST (the "Trust"), an Ohio business trust having its principal place of business at 1900 Avenue of the Stars, Suite 900, Los Angeles, CA 90067, and ULTIMUS FUND SOLUTIONS, LLC ("Ultimus"), a limited liability company organized under the laws of the State of Ohio and having its principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246.
TRANSFER AGENT AND SHAREHOLDER SERVICES AGREEMENTTransfer Agent and Shareholder Services Agreement • December 1st, 2015 • First Western Funds Trust • Ohio
THIS AGREEMENT is made as of this 16th day of August, 2012, by and between THE FIRST WESTERN FUNDS TRUST (the "Trust"), an Ohio business trust having its principal place of business at 1900 Avenue of the Stars, Suite 900, Los Angeles, CA 90067, and ULTIMUS FUND SOLUTIONS, LLC ("Ultimus"), a limited liability company organized under the laws of the State of Ohio and having its principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246.
SUB-ADVISORY AGREEMENT AMONG OAKHURST CAPITAL MANAGEMENT, LLC, F/M INVESTMENTS, LLC AND F/M FUNDS TRUSTSub-Advisory Agreement • June 15th, 2021 • F/M Funds Trust • Delaware
THIS SUB-ADVISORY AGREEMENT (the “Agreement”), dated as of December 29, 2020, is entered into by and among Oakhurst Capital Management, LLC, a Delaware limited liability company, with its principal office and place of business at 1875 Century Park East, Suite 960, Los Angeles, CA 90067 (the “Adviser”), F/m Investments, LLC, doing business as Oakhurst Capital Advisors, a Delaware limited liability company, with its principal office and place of business at 3050 K Street NW, Suite W-170, Washington, DC 20007 (the “Sub-Adviser”) and F/m Funds Trust, an Ohio business trust, with its principal office at 225 Pictoria Drive, Suite 450, Cincinnati, OH 45246 (the “Trust”).
EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • June 15th, 2021 • F/M Funds Trust
This Expense Limitation Agreement is made by and between F/m Investments, LLC (the “Adviser”) and F/m Funds Trust (the “Trust”) (this “Agreement”), on behalf of the series of the Trust set forth in the set of schedules to this Agreement identified as “Schedule A” and then numerically designated (e.g., Schedule A-1) attached hereto (each a “Fund,” and collectively, the “Funds”) as of the “Effective Date” noted on Schedule A with respect to each Fund.
EXPENSE LIMITATION AGREEMENT FIRST WESTERN CAPITAL MANAGEMENT COMPANY 1900 Avenue of the Stars, Suite 200 Los Angeles, California 90067Expense Limitation Agreement • December 18th, 2019 • First Western Funds Trust • Ohio
SELLING AGREEMENTSelling Agreement • June 15th, 2021 • F/M Funds Trust • Nebraska
Ultimus Fund Distributors, LLC (the “Distributor”) serves as the principal underwriter of one or more trusts (each a “Trust” and collectively, the “Trusts”)1, each of which is an open-end investment company, shares of which are distributed by Distributor at their respective net asset values plus sales charges as applicable, pursuant to a written agreement (the “Distribution Agreement”). Distributor invites you (the “Company”) to participate as a non-exclusive agent in the distribution of shares of any and all of the funds subject to the Distribution Agreement, that are a part of, or may become a part of, any of the Trust(s) (each, a “Fund,” together the “Funds”)2 upon the following terms and conditions:
EXPENSE LIMITATION AGREEMENT OAKHURST CAPITAL MANAGEMENT, LLC 1875 Century Park East, Suite 960 Los Angeles, California 90067Expense Limitation Agreement • December 28th, 2022 • F/M Funds Trust
SUB-ADVISORY AGREEMENT AMONG OAKHURST CAPITAL MANAGEMENT, LLC, F/M INVESTMENTS, LLC AND F/M FUNDS TRUSTSub-Advisory Agreement • December 29th, 2020 • F/M Funds Trust • Delaware
THIS SUB-ADVISORY AGREEMENT (the “Agreement”), dated as of December 29, 2020, is entered into by and among Oakhurst Capital Management, LLC, a Delaware limited liability company, with its principal office and place of business at 1875 Century Park East, Suite 960, Los Angeles, CA 90067 (the “Adviser”), F/m Investments, LLC, doing business as Oakhurst Capital Advisors, a Delaware limited liability company, with its principal office and place of business at 3050 K Street NW, Suite W-170, Washington, DC 20007 (the “Sub-Adviser”) and F/m Funds Trust, an Ohio business trust, with its principal office at 225 Pictoria Drive, Suite 450, Cincinnati, OH 45246 (the “Trust”).
EXPENSE LIMITATION AGREEMENT OAKHURST ADVISORS, LLC 1875 Century Park East, Suite 960 Los Angeles, California 90067Expense Limitation Agreement • October 30th, 2020 • First Western Funds Trust • Ohio
EXPENSE LIMITATION AGREEMENT OAKHURST CAPITAL MANAGEMENT, LLC 1875 Century Park East, Suite 960 Los Angeles, California 90067Expense Limitation Agreement • December 29th, 2020 • F/M Funds Trust • Ohio
EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • January 21st, 2022 • F/M Funds Trust
This Expense Limitation Agreement is made by and between F/m Investments, LLC (the “Adviser”) and F/m Funds Trust (the “Trust”) (this “Agreement”), on behalf of the series of the Trust set forth in the set of schedules to this Agreement identified as “Schedule A” and then numerically designated (e.g., Schedule A-1) attached hereto (each a “Fund,” and collectively, the “Funds”) as of the “Effective Date” noted on Schedule A with respect to each Fund.
EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • April 2nd, 2013 • First Western Funds Trust • Ohio
COMPLIANCE CONSULTING AGREEMENTCompliance Consulting Agreement • December 29th, 2016 • First Western Funds Trust • Ohio
THIS AGREEMENT is made as of the 11th day of April, 2016, by and between FIRST WESTERN FUNDS TRUST (the “Trust”), an Ohio business trust, and ULTIMUS FUND SOLUTIONS, LLC (“Ultimus”), a limited liability company organized under the laws of the State of Ohio.
EXPENSE LIMITATION AGREEMENT FIRST WESTERN CAPITAL MANAGEMENT COMPANY 1900 Avenue of the Stars, Suite 900 Los Angeles, California 90067Expense Limitation Agreement • December 1st, 2015 • First Western Funds Trust • Ohio
AMENDMENT to ADMINISTRATION Agreement Between THE FIRST WESTERN FUNDS Trust and Ultimus Fund Solutions, LLCAdministration Agreement • December 20th, 2018 • First Western Funds Trust
This Amendment revises the Administration Agreement, dated August 16, 2012, (the “Agreement”) between The First Western Funds Trust (the “Trust”), an Ohio business trust, and Ultimus Fund Solutions, LLC (“Ultimus”), an Ohio limited liability company (collectively the “Parties”).
FIFTH AMENDMENT to ADMINISTRATION Agreement Between THE FIRST WESTERN FUNDS Trust and Ultimus Fund Solutions, LLCAdministration Agreement • January 21st, 2022 • F/M Funds Trust
This Fifth Amendment amends and revises the Administration Agreement, dated August 16, 2012, as last amended August 2, 2021 (collectively, the “Agreement”),between The First Western Funds Trust (the “Trust”), an Ohio business trust and Ultimus Fund Solutions, LLC (“Ultimus”), an Ohio limited liability company (collectively the “Parties”). Except as set forth in this Amendment, the Agreement is unaffected and shall continue in full force and effect in accordance with its terms. If there is a conflict between this Amendment and the Agreement, the terms of this Amendment will prevail.
SIXTH AMENDMENT to FUND ACCOUNTING Agreement Between F/m FUNDS TRUST and Ultimus Fund Solutions, LLCFund Accounting Agreement • October 28th, 2022 • F/M Funds Trust
This Sixth Amendment (this “Amendment”) amends and revises the Fund Accounting Agreement, dated August 16, 2012, as last amended January 18, 2022 (collectively, the “Agreement”), between F/m FUNDS TRUST (f/k/a The First Western Funds Trust) (the “Trust”), an Ohio business trust and Ultimus Fund Solutions, LLC (“Ultimus”), an Ohio limited liability company (collectively, the “Parties”). Except as set forth in this Amendment, the Agreement is unaffected and shall continue in full force and effect in accordance with its terms. If there is a conflict between this Amendment and the Agreement, the terms of this Amendment will prevail.
FIRST AMENDMENT TO THE AMENDED AND RESTATED CUSTODY AGREEMENTCustody Agreement • October 28th, 2022 • F/M Funds Trust
THIS FIRST AMENDMENT (this “Amendment”) to the Amended and Restated Custody Agreement (the “Agreement”) dated as of April 19, 2021, as amended, is effective as of the last date on the signature block, is entered into by and between F/M FUNDS TRUST, a Ohio business trust (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America with its principal place of business at Minneapolis, Minnesota (the “Custodian”).
EXPENSE LIMITATION AGREEMENT FIRST WESTERN CAPITAL MANAGEMENT COMPANY 1900 Avenue of the Stars, Suite 900 Los Angeles, California 90067Expense Limitation Agreement • June 15th, 2015 • First Western Funds Trust • Ohio
AMENDMENT NO. 2 to TRANSFER AGENT AND SHAREHOLER SERVICES Agreement Between THE FIRST WESTERN FUNDS Trust and Ultimus Fund Solutions, LLCAgreement • June 15th, 2021 • F/M Funds Trust
This Amendment No. 2 amends and revises the Transfer Agent and Shareholder Services Agreement, dated August 16, 2012, as amended July 1, 2018 (collectively, the “Agreement”), between The First Western Funds Trust (the “Trust”), an Ohio business trust and Ultimus Fund Solutions, LLC (“Ultimus”), an Ohio limited liability company (collectively the “Parties”). Except as set forth in this Amendment, the Agreement is unaffected and shall continue in full force and effect in accordance with its terms. If there is a conflict between this Amendment and the Agreement, the terms of this Amendment will prevail.
FOURTH AMENDMENT to FUND ACCOUNTING Agreement Between THE F/m FUNDS Trust (FORMERLY, The first Western Funds Trust) and Ultimus Fund Solutions, LLCFund Accounting Agreement • January 21st, 2022 • F/M Funds Trust
This Fourth Amendment (the “Amendment”) amends and revises the Fund Accounting Agreement, dated August 16, 2012, as amended July 1, 2018, January 1, 2020 and December 29, 2020 (collectively, the “Agreement”), between The First Western Funds Trust (the “Trust”), an Ohio business trust (formerly, The First Western Funds Trust) and Ultimus Fund Solutions, LLC (“Ultimus”), an Ohio limited liability company (collectively, the “Parties”). Except as set forth in this Amendment, the Agreement is unaffected and shall continue in full force and effect in accordance with its terms. If there is a conflict between this Amendment and the Agreement, the terms of this Amendment will prevail.
BY-LAWS OF THE FIRST WESTERN FUNDS TRUST (Adopted April 2, 2012)Western Funds Trust • April 13th, 2012 • First Western Funds Trust
BY-LAWS OF THE FIRST WESTERN FUNDS TRUST Adopted April 2, 2012 Amended January 27, 2016First Western Funds Trust • December 29th, 2016
INITIAL CAPITAL AGREEMENTInitial Capital Agreement • August 31st, 2012 • First Western Funds Trust
THE FIRST WESTERN FUNDS TRUST AGREEMENT AND DECLARATION OF TRUST April 2, 2012Western Funds Trust • April 13th, 2012 • First Western Funds Trust • Ohio
AGREEMENT AND DECLARATION OF TRUST made this 2nd day of April, 2012, by the Trustees hereunder, and by the holders of Shares of beneficial interest to be issued hereunder as hereinafter provided.
EXPENSE LIMITATION AGREEMENT FIRST WESTERN CAPITAL MANAGEMENT COMPANY 1900 Avenue of the Stars, Suite 900 Los Angeles, California 90067Expense Limitation Agreement • September 16th, 2015 • First Western Funds Trust • Ohio
AMENDMENT NO. 4 to TRANSFER AGENT AND SHAREHOLER SERVICES Agreement Between THE FIRST WESTERN FUNDS Trust and Ultimus Fund Solutions, LLCF/M Funds Trust • January 21st, 2022
This Amendment No. 4 amends and revises the Transfer Agent and Shareholder Services Agreement, dated August 16, 2012, as last amended August 2, 2021 (collectively, the “Agreement”), between The First Western Funds Trust (the “Trust”), an Ohio business trust and Ultimus Fund Solutions, LLC (“Ultimus”), an Ohio limited liability company (collectively the “Parties”). Except as set forth in this Amendment, the Agreement is unaffected and shall continue in full force and effect in accordance with its terms. If there is a conflict between this Amendment and the Agreement, the terms of this Amendment will prevail.
EXPENSE LIMITATION AGREEMENT FIRST WESTERN CAPITAL MANAGEMENT COMPANY 1900 Avenue of the Stars, Suite 200 Los Angeles, California 90067Expense Limitation Agreement • December 18th, 2019 • First Western Funds Trust • Ohio
AMENDED AND RESTATED DISTRIBUTION AGREEMENTDistribution Agreement • October 28th, 2022 • F/M Funds Trust • Ohio
This Amended and Restated Distribution Agreement made as of August 1, 2022 (the “Agreement”) is entered into by and among F/m Funds Trust (the “Trust”), an Ohio business trust, Ultimus Fund Distributors, LLC, an Ohio limited liability company (“Distributor”), Oakhurst Capital Management, LLC, a Delaware limited liability company (the “OCM Adviser”) with respect to the Oakhurst Fixed Income Fund, the Oakhurst Short Duration Bond Fund and the Oakhurst Short Duration High Yield Credit Fund (collectively, the “Oakhurst Funds”), and F/m Investments, LLC, a Delaware limited liability company (the "F/m Adviser") with respect to the F/m Investments Large Cap Focused Fund;
THE FIRST WESTERN FUNDS TRUST FIRST AMENDMENT TO THE CUSTODY AGREEMENTCustody Agreement • December 1st, 2015 • First Western Funds Trust
THIS FIRST AMENDMENT dated as of this 7th day of February, 2013, to the Custody Agreement dated as of August 16, 2012, (the "Agreement") is entered into by and between THE FIRST WESTERN FUNDS TRUST, an Ohio business trust (the "Trust"), and U.S. BANK, N.A. a national banking association (the "Custodian").
