1 EXHIBIT 99.B13 Subscription Agreement SUBSCRIPTION AGREEMENT The Haven Capital Management Trust, a Delaware business trust (the "Trust"), and Haven Capital Management, Inc., a Delaware corporation ("Haven"), agree with each other as follows: 1....Subscription Agreement • February 26th, 1998 • Haven Capital Management Trust
Exhibit (h)(3) ADMINISTRATION AGREEMENT THIS AGREEMENT is made and entered into as of this ___ day of _____, 2004, by and between The Tocqueville Alexis Trust, a Delaware statutory trust, (the "Trust") on behalf of its series, the Tocqueville Alexis...Administration Agreement • December 28th, 2004 • Tocqueville Alexis Trust • Wisconsin
THE TOCQUEVILLE ALEXIS TRUST and THE TOCQUEVILLE ALEXIS FUNDInvestment Advisory Agreement • February 28th, 2003 • Tocqueville Alexis Trust • New York
1 EXHIBIT 99.B8-1 Custodian Services Agreement CUSTODIAN SERVICES AGREEMENT THIS AGREEMENT is made as of June 17, 1994 by and between PNC BANK, NATIONAL ASSOCIATION, a national banking association ("PNC Bank"), and The Haven Capital Management Trust,...Services Agreement • February 26th, 1998 • Haven Capital Management Trust
ARTICLE I DEFINITIONSCustody Agreement • December 28th, 2004 • Tocqueville Alexis Trust • Ohio
AMENDMENT TO SERVICES AGREEMENT This Amendment ("Amendment") is made as of May 10, 2002, by and between Charles Schwab & Co., Inc. ("Schwab"), a California corporation, each registered investment company ("Fund Company") executing this Amendment on...Operating Agreement • February 28th, 2003 • Tocqueville Alexis Trust • California
1 EXHIBIT 99.B8-3 Sub-Custodian Agreement SUB-CUSTODIAN AGREEMENT AGREEMENT dated as of December 31, 1994 among THE CHASE MANHATTAN BANK, N.A. ("Bank"), THE HAVEN CAPITAL MANAGEMENT TRUST (the "Fund") and PNC BANK, NATIONAL ASSOCIATION ("Company"). W...-Custodian Agreement • February 26th, 1998 • Haven Capital Management Trust • New York
THE HAVEN CAPITAL MANAGEMENT TRUST and THE HAVEN FUNDHaven Capital Management Trust • February 26th, 1998 • New York
1 EXHIBIT 99.B6-1 Standard broker - dealer agreement BROKER-DEALER AGREEMENT FOR THE SALE OF SHARES OF THE HAVEN CAPITAL MANAGEMENT TRUST Ladies and Gentlemen: We are the principal underwriter (as such term is defined in the Investment Company Act of...Haven Capital Management Trust • February 26th, 1998 • Wisconsin
EXHIBIT 99.B9-1 Transfer Agency Services Agreement TRANSFER AGENCY SERVICES AGREEMENT THIS AGREEMENT is made as of June 17, 1994 by and between PFPC INC., a Delaware corporation ("PFPC"), and The Haven Capital Management Trust, a Delaware business...Transfer Agency Services Agreement • February 26th, 1998 • Haven Capital Management Trust
1 EXHIBIT 99.B9-3 Administration & Accounting Services Agreeement ADMINISTRATION AND ACCOUNTING SERVICES AGREEMENT THIS AGREEMENT is made as of June 17, 1994 by and between The Haven Capital Management Trust, a Delaware business trust (the "Fund"),...Administration and Accounting Services Agreement • February 26th, 1998 • Haven Capital Management Trust
Exhibit (h)(5) FUND ACCOUNTING SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of this ___ day of _____, 2004, by and between The Tocqueville Trust, a Massachusetts business trust, The Tocqueville Alexis Trust, a Delaware statutory...Fund Accounting Servicing Agreement • December 28th, 2004 • Tocqueville Alexis Trust • Wisconsin
Exhibit (h)(2) TRANSFER AGENT SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of this ___ day of _______, 2004, by and between The Tocqueville Trust, a Massachusetts business trust, The Tocqueville Alexis Trust, a Delaware statutory...Transfer Agent Servicing Agreement • December 28th, 2004 • Tocqueville Alexis Trust • Wisconsin
RECITALSServices Agreement • February 26th, 1998 • Haven Capital Management Trust • Massachusetts
DISTRIBUTION AGREEMENTDistribution Agreement • February 28th, 2003 • Tocqueville Alexis Trust
Fund Parties shall provide to Schwab prior to the effectiveness of this Agreement or as soon thereafter as practicable, two (2) copies of the then- current 2 3Agreement • February 26th, 1998 • Haven Capital Management Trust • California
BROKER-DEALER AGREEMENT FOR THE SALE OF SHARES OF THE TOCQUEVILLE ALEXIS FUND Ladies and Gentlemen, We are the principal underwriter (as such term is defined in the Investment Company Act of 1940, as amended) of the offering of shares of beneficial...Broker-Dealer Agreement • February 28th, 2003 • Tocqueville Alexis Trust • New York
Exhibit (h)(4) PROSPECT SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of this __ day of _______, 2004, by and between The Tocqueville Trust, a Massachusetts business trust, The Tocqueville Alexis Trust, a Delaware statutory trust,...Prospect Servicing Agreement • December 28th, 2004 • Tocqueville Alexis Trust • Wisconsin
1 EXHIBIT 99.B6-4 Servicing Agreement With NISC NO TRANSACTION FEE FUND SERVICING AGREEMENT This Agreement is made as of March 26, 1997, by and between National Investor Services Corp. ("NISC"), located at 55 Water Street, New York, NY, and Haven...Fund Servicing Agreement • February 26th, 1998 • Haven Capital Management Trust • New York
AGREEMENT AND PLAN OF REORGANIZATION AND LIQUIDATIONAgreement and Plan of Reorganization and Liquidation • September 15th, 2006 • Tocqueville Trust
AGREEMENT AND PLAN OF REORGANIZATION AND LIQUIDATION dated this 8th day of August, 2006, by and between The Tocqueville Alexis Fund, a series of The Tocqueville Alexis Trust (“Alexis Fund”), a Delaware business trust, and The Tocqueville Fund, a series of The Tocqueville Trust (“Tocqueville Fund”), a Massachusetts business trust.
AMENDED AND RESTATED FUND ACCOUNTING SERVICING AGREEMENT THE TOCQUEVILLE TRUST AND THE TOCQUEVILLE ALEXIS TRUSTFund Accounting Servicing Agreement • February 28th, 2006 • Tocqueville Alexis Trust • Wisconsin
THIS AGREEMENT is made and entered into as of this day of , 2006, by and between The Tocqueville Trust, a Massachusetts business trust and The Tocqueville Alexis Trust, a Delaware statutory trust, severally and not jointly (each a “Trust” and together, the “Tocqueville Funds”) and U.S. Bancorp Fund Services, LLC, a Wisconsin limited liability company (“USBFS”).
EXPENSE LIMITATION AGREEMENT Between THE TOCQUEVILLE ALEXIS TRUST and TOCQUEVILLE ASSET MANAGEMENT L.P.Expense Limitation Agreement • February 28th, 2006 • Tocqueville Alexis Trust
EXPENSE LIMITATION AGREEMENT, dated as of February 28, 2006, by and between The Tocqueville Alexis Trust (the “Trust”), on behalf of The Tocqueville Alexis Fund a series of the Trust (the “Alexis Fund”), and Tocqueville Asset Management L.P. (the “Advisor”).
June, 1997 THE HAVEN CAPITAL MANAGEMENT TRUST Re: Transfer Agency Services Fees Dear Sir/Madam: This letter constitutes our agreement with respect to compensation to be paid to PFPC Inc. ("PFPC") under the terms of a Transfer Agency Agreement between...Haven Capital Management Trust • February 26th, 1998
June 17, 1994 THE HAVEN CAPITAL MANAGEMENT TRUST Re: Custodian Services Fees Dear Sir/Madam: This letter constitutes our agreement with respect to compensation to be paid to PNC Bank, National Association ("PNC Bank") under the terms of a Custodian...Haven Capital Management Trust • February 26th, 1998
1 EXHIBIT 99.B.6-5 Letter Agreement With Hewes Communications HEWES COMMUNICATIONS, INC.Haven Capital Management Trust • February 26th, 1998
June 17, 1994 THE HAVEN CAPITAL MANAGEMENT TRUST Re: Administration and Accounting Services Fees Dear Sir/Madam: This letter constitutes our agreement with respect to compensation to be paid to PFPC Inc. ("PFPC") for services provided under the terms...Haven Capital Management Trust • February 26th, 1998
DISTRIBUTION AGREEMENT THIS AGREEMENT is made as of April 17, 2001, by and between The Haven Capital Management Trust (the "Company"), a Delaware business trust on behalf of The Haven Fund, a diversified portfolio of the Company and Sunstone...Distribution Agreement • February 26th, 2002 • Haven Capital Management Trust • New York
TOCQUEVILLE ASSET MANAGEMENT LP ANDHaven Capital Management Trust • February 26th, 2002 • New York
December 1, 1999 Colin Ferenbach Haven Capital Management Trust 655 Third Avenue New York, NY 10017 Dear Colin: This letter constitutes an agreement between The Haven Capital Management Trust and Mount&Nadler Inc., to cover the media relations program...Haven Capital Management Trust • February 25th, 2000
This letter constitutes an agreement between The Haven Capital Management Trust and Mount&Nadler Inc., to cover the media relations program that Mount&Nadler will conduct on behalf of The Haven Fund.
GLOBAL CUSTODY AGREEMENT BY AND AMONG U.S. Bancorp Fund Services, LLC, TOCQUEVILLE ALEXIS FUND AND JPMORGAN CHASE BANK, N.A.Global Custody Agreement • February 28th, 2005 • Tocqueville Alexis Trust • New York
This Agreement, dated , 200 , is by and among JPMORGAN CHASE BANK, N.A. (“Bank”), with a place of business at ; U.S. Bancorp Fund Services, LLC (“Customer”) with a place of business at and TOCQUEVILLE ALEXIS FUND (“Fund”) with a place of business at .
AMENDMENT to DISTRIBUTION AGREEMENT between THE TOCQUEVILLE ALEXIS TRUST and LEPERCQ, DE NEUFLIZE/TOCQUEVILLE SECURITIES L.P.Distribution Agreement • February 28th, 2005 • Tocqueville Alexis Trust • Delaware
AMENDMENT, dated as of February 28, 2005 (this “Amendment”), to the Distribution Agreement, dated February 28, 2003 (the “Agreement”), by and between The Tocqueville Alexis Trust, a Delaware statutory trust (the “Trust”) on behalf of its series, The Tocqueville Alexis Fund (the “Fund”), and Lepercq, De Neuflize/Tocqueville Securities L.P. (the “Distributor”). Capitalized terms used herein without definition shall have the meanings assigned to them in the Agreement.
