EXHIBIT (d) INVESTMENT SUB-ADVISORY AGREEMENT INVESTMENT SUB-ADVISORY AGREEMENT, dated February 25, 1997, between The Westwood Funds on behalf of the Westwood Realty Fund, and the Westwood SmallCap Equity Fund (the "Trust" and the "Funds",...Sub-Advisory Agreement • January 31st, 2000 • Gabelli Westwood Funds • New York
EXHIBIT (D) INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT, dated February 25, 1997, between The Westwood Funds on behalf of the Westwood Realty Fund, and the Westwood SmallCap Equity Fund (the "Trust" and the "Funds", respectively), a...Investment Advisory Agreement • January 31st, 2000 • Gabelli Westwood Funds • New York
EXHIBIT (G) FORM OF CUSTODY AGREEMENT AGREEMENT, dated as of December 30, 2002 between each registered investment company listed on Schedule II hereto (each a "Fund") and The Bank of New York, a New York corporation authorized to do a banking business...Custody Agreement • January 31st, 2003 • Gabelli Westwood Funds • New York
BETWEENTransfer Agency and Service Agreement • April 2nd, 2009 • Westwood Funds • Massachusetts
EXHIBIT (d) INVESTMENT SUB-ADVISORY AGREEMENT INVESTMENT SUB-ADVISORY AGREEMENT, dated October 6, 1994, between The Westwood Funds and its four series, the Equity Fund, the Cash Management Fund, the Intermediate Bond Fund and the Balanced Fund (the...Sub-Advisory Agreement • January 31st, 2000 • Gabelli Westwood Funds • New York
EXHIBIT (D) CONTRACTUAL ADVISORY FEE WAIVER AND EXPENSE REIMBURSEMENT AGREEMENT AGREEMENT made this 1st day of October, 2001 by and between THE GABELLI WESTWOOD FUNDS, a Massachusetts business trust (the "Trust"), and GABELLI ADVISERS, INC. (the...Reimbursement Agreement • January 29th, 2002 • Gabelli Westwood Funds
AGREEMENT made this 1st day of October, 2001 by and between THE GABELLI WESTWOOD FUNDS, a Massachusetts business trust (the "Trust"), and GABELLI ADVISERS, INC. (the "Adviser").
AMENDED AND RESTATED DISTRIBUTION AGREEMENT, DATED AS OF NOVEMBER 16, 1999 BETWEEN THE GABELLI WESTWOOD FUNDS (THE "TRUST") AND GABELLI & COMPANY, INC. (THE "DISTRIBUTOR")Distribution Agreement • February 2nd, 2004 • Gabelli Westwood Funds
1 Exhibit 5(b) SUB-ADMINISTRATION AGREEMENT THIS AGREEMENT is made as of this 1st day of May, 1997, by and between TETON ADVISERS, LLC (the "Administrator"), and BISYS FUND SERVICES LIMITED PARTNERSHIP, d/b/a BISYS FUND SERVICES ("BISYS"). WHEREAS,...Sub-Administration Agreement • October 30th, 1997 • Westwood Funds • Ohio
EXHIBIT 23(D)(1) CONTRACTUAL ADVISORY FEE WAIVER AND EXPENSE REIMBURSEMENT AGREEMENT AGREEMENT made this 1st day of October, 2006 by and between THE WESTWOOD FUNDS, a Massachusetts business trust (the "Trust"), and GABELLI ADVISERS, INC. (the...Expense Reimbursement Agreement • January 29th, 2008 • Westwood Funds
This Agreement shall be renewable at the end of each one year period for an additional one year period upon the written agreement of the parties hereto.
EXHIBIT (l) PURCHASE AGREEMENT The Gabelli Westwood Funds (the "Trust"), a Massachusetts business trust, and Gabelli & Company, Inc. (the "Buyer") hereby agree as follows: 1. The Trust hereby offers the Buyer and the Buyer hereby purchases 1 share of...Purchase Agreement • January 31st, 2000 • Gabelli Westwood Funds
EXHIBIT (G)(2) FOREIGN CUSTODY MANAGER AGREEMENT AGREEMENT made as of January 22, 2004 between each registered investment company listed on Exhibit A hereto (each a "Fund") and The Bank of New York ("BNY"). W I T N E S S E T H: WHEREAS, the Fund...Manager Agreement • February 2nd, 2004 • Gabelli Westwood Funds • New York
AMENDED AND RESTATED BY-LAWS OF THE TETON WESTWOOD FUNDSTeton Westwood Funds • January 28th, 2013
RULE 12b-1 DISTRIBUTION PLAN AND AGREEMENT (RETAIL CLASS) THE WESTWOOD FUNDS 237 Park Avenue New York, New York 10169Distribution Plan and Agreement • January 31st, 1996 • Westwood Funds
EXHIBIT (G)(1) CUSTODY AGREEMENT AGREEMENT, dated as of January 22, 2004 between each fund listed on Schedule II, each a business trust organized and existing under the laws of the Commonwealth of Massachusetts having its principal office and place of...Custody Agreement • February 2nd, 2004 • Gabelli Westwood Funds • New York
EXHIBIT (e) FORM OF AMENDED AND RESTATED DISTRIBUTION AGREEMENT, dated as of November 16, 1999 between THE GABELLI WESTWOOD FUNDS (the "Trust") and GABELLI & COMPANY, INC. (the "Distributor")Distribution Agreement • February 1st, 2001 • Gabelli Westwood Funds
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • May 28th, 2013 • Teton Westwood Funds • New York
INVESTMENT ADVISORY AGREEMENT, dated May 20, 2013, between The TETON Westwood Funds, on behalf of the TETON Westwood Mid-Cap Equity Fund (the “Trust” and the “Fund”, respectively), a Massachusetts business trust, and Teton Advisors, Inc. (the “Adviser”), a Delaware corporation.
EXHIBIT (D) THE GAMCO WESTWOOD FUNDS AMENDED AND RESTATED CONTRACTUAL ADVISORY FEE WAIVER AND EXPENSE DEFERRAL AGREEMENT THIS AMENDED AND RESTATED AGREEMENT, dated as of October 1, 2008, is by and between the GAMCO Westwood Funds (the "Trust"), on...Expense Deferral Agreement • January 21st, 2009 • Westwood Funds • New York
AMENDED AND RESTATED DISTRIBUTION AGREEMENT, dated as of June 20, 2017, between THE TETON WESTWOOD FUNDS (the “Trust”) andDistribution Agreement • July 5th, 2017 • Teton Westwood Funds
WHEREAS, the Trust, a Massachusetts business trust, is registered as an investment company under the Investment Company Act of 1940 (the “1940 Act”) currently consisting of the series set forth on Exhibit A hereto, as such Exhibit may be revised from time to time (each, a “Fund”), and an indefinite number of shares of its beneficial interest (hereinafter referred to as “shares”) have been registered under the Securities Act of 1933 (the “1933 Act”) to be offered for sale to the public in a continuous public offering in accordance with the terms and conditions set forth in the Trust’s Prospectuses (collectively, the “Prospectus”) and Statement of Additional Information (“SAI”) included in the Trust’s Registration Statement as they may be amended from time to time; and
AMENDED AND RESTATED BY-LAWS OF THE TETON WESTWOOD FUNDS ARTICLE 1 Agreement and Declaration of Trust and Principal Office 1.1 Agreement and Declaration of Trust. These By- Laws shall be subject to the Agreement and Declaration of Trust, as from time...Teton Westwood Funds • November 29th, 2012
DISTRIBUTION AGREEMENT DISTRIBUTION AGREEMENT, dated October 6, 1994, between THE WESTWOOD FUNDS (the "Company"), and GABELLI & COMPANY, INC., a New York corporation (the "Distributor"). The Company is registered as an investment company under the...Distribution Agreement • January 31st, 1996 • Westwood Funds • New York
INVESTMENT SUB-ADVISORY AGREEMENT INVESTMENT SUB-ADVISORY AGREEMENT, dated February 25, 1997, between The Westwood Funds on behalf of the Westwood Realty Fund and the Westwood SmallCap Equity Fund (the "Trust" and the "Funds", respectively), a...Investment Sub-Advisory Agreement • February 20th, 1997 • Westwood Funds • New York
Q-1 AGREEMENT AND PLAN OF REORGANIZATION AND LIQUIDATION AGREEMENT AND PLAN OF REORGANIZATION AND LIQUIDATION (the "Agreement") dated this 28th day of November, 2008, by and between the B.B. Micro-Cap Growth Fund (formerly the Bjurman, Barry Micro-Cap...Agreement and Plan of Reorganization and Liquidation • May 29th, 2009 • Westwood Funds • New York
THE TETON WESTWOOD MID-CAP EQUITY FUND AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AGREEMENTOperating Expenses Limitation Agreement • January 27th, 2017 • Teton Westwood Funds • New York
THIS AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is effective as of the 23rd day of May, 2016, by and between The TETON Westwood Funds, a Massachusetts business trust (the “Trust”), on behalf of its series, The TETON Westwood Mid-Cap Equity Fund (the “Fund”) and each of the Fund’s classes of shares listed on Appendix A (each, a “Class”), and the Fund’s investment adviser, Teton Advisors, Inc. (the “Adviser”).
THE TETON WESTWOOD MID-CAP EQUITY FUND OPERATING EXPENSES LIMITATION AGREEMENTOperating Expenses Limitation Agreement • May 28th, 2013 • Teton Westwood Funds • New York
THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is effective as of the 20th day of May, 2013, by and between The TETON Westwood Funds, a Massachusetts business trust (the “Trust”), on behalf of its series, The TETON Westwood Mid-Cap Equity Fund (the “Fund”) and each of the Fund’s classes of shares listed on Appendix A (each, a “Class”), and the Fund’s investment adviser, Teton Advisors, Inc. (the “Adviser”).
TETON CONVERTIBLE SECURITIES FUND AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AGREEMENTOperating Expenses Limitation Agreement • January 27th, 2017 • Teton Westwood Funds • New York
THIS AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is effective as of the 1st day of October, 2016, by and between The TETON Westwood Funds, a Massachusetts business trust (the “Trust”), on behalf of its series, TETON Convertible Securities Fund (formerly, the “TETON Westwood Income Fund”) (the “Fund”) and each of the Fund’s classes of shares listed on Appendix A (each, a “Class”), and the Fund’s investment adviser, Teton Advisors, Inc. (the “Adviser”).
Exhibit (d) DRAFT Contractual Advisory Fee Waiver and Expense Reimbursement AGREEMENT made this 1st day of October, by and between THE GABELLI WESTWOOD FUNDS, a Massachusetts business trust (the "Trust"), and GABELLI ADVISERS, INC. (the "Adviser")....Agreement • January 31st, 2000 • Gabelli Westwood Funds
AGREEMENT made this 1st day of October, by and between THE GABELLI WESTWOOD FUNDS, a Massachusetts business trust (the "Trust"), and GABELLI ADVISERS, INC. (the "Adviser").
INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT, dated February 25, 1997, between The Westwood Funds on behalf of the the Westwood Realty Fund and the Westwood SmallCap Equity Fund (the "Trust" and the "Funds", respectively), a...Investment Advisory Agreement • February 20th, 1997 • Westwood Funds • New York
THE TETON WESTWOOD MID-CAP EQUITY FUND AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AGREEMENTOperating Expenses Limitation Agreement • January 28th, 2016 • Teton Westwood Funds • New York
THIS AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is effective as of the 8th day of December, 2015, by and between The TETON Westwood Funds, a Massachusetts business trust (the “Trust”), on behalf of its series, The TETON Westwood Mid-Cap Equity Fund (the “Fund”) and each of the Fund’s classes of shares listed on Appendix A (each, a “Class”), and the Fund’s investment adviser, Teton Advisors, Inc. (the “Adviser”).
THE TETON WESTWOOD MID-CAP EQUITY FUND AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AGREEMENTOperating Expenses Limitation Agreement • January 28th, 2015 • Teton Westwood Funds • New York
THIS AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is effective as of the 31st day of January, 2014, by and between The TETON Westwood Funds, a Massachusetts business trust (the “Trust”), on behalf of its series, The TETON Westwood Mid-Cap Equity Fund (the “Fund”) and each of the Fund’s classes of shares listed on Appendix A (each, a “Class”), and the Fund’s investment adviser, Teton Advisors, Inc. (the “Adviser”).
EXHIBIT (D) ----------- Contractual Advisory Fee Waiver and Expense Reimbursement Agreement AGREEMENT made this 1st day of October, 2003 by and between THE GABELLI WESTWOOD FUNDS, a Massachusetts business trust (the "Trust"), and GABELLI ADVISERS,...Gabelli Westwood Funds • February 2nd, 2004
This Agreement shall be renewable at the end of each one year period for an additional one year period upon the written agreement of the parties hereto.
PURCHASE AGREEMENTPurchase Agreement • May 28th, 2013 • Teton Westwood Funds
The TETON Westwood Funds (the “Trust”), a Massachusetts business trust, and Teton Advisors, Inc. (the “Buyer”) hereby agree as follows:
THE GAMCO WESTWOOD FUNDS AMENDED AND RESTATED CONTRACTUAL ADVISORY FEE WAIVER AND EXPENSE DEFERRAL AGREEMENTWaiver and Expense Deferral Agreement • January 28th, 2011 • Gamco Westwood Funds • New York
THIS AMENDED AND RESTATED AGREEMENT, dated as of October 1, 2008, is by and between the GAMCO Westwood Funds (the “Trust”), on behalf of its GAMCO Westwood SmallCap Equity Fund, GAMCO Westwood Income Fund, and GAMCO Westwood Intermediate Bond Fund (each a “Series”), and Teton Advisors, Inc. (the “Manager”).
THE TETON WESTWOOD FUNDS EXHIBIT ITEM 77Q1(e) An Investment Advisory Agreement, dated May 20, 2013, between The TETON Westwood Funds (the "Registrant"), on behalf of the TETON Westwood Mid-Cap Equity Fund, and Teton Advisors, Inc., is incorporated by...Teton Westwood Funds • November 27th, 2013
An Investment Advisory Agreement, dated May 20, 2013, between The TETON Westwood Funds (the "Registrant"), on behalf of the TETON Westwood Mid-Cap Equity Fund, and Teton Advisors, Inc., is incorporated by reference to Post-Effective Amendment No. 46 to the Registrant's Registration Statement as filed with the SEC via EDGAR on May 28, 2013.
