Exhibit (h)(3)(b)
▇▇▇▇▇▇ INVESTMENT FUNDS, INC.
AMENDMENT TO THE TRANSFER AGENT AGREEMENT
THIS AMENDMENT, dated as of February 28, 2002, to the Transfer Agent
Agreement, as amended, dated as of November 5, 1996, by and between ▇▇▇▇▇▇
Investment Funds, Inc., a Maryland series company and U.S Bancorp Fund Services,
LLC (formerly Firstar Mutual Fund Services, LLC), a Wisconsin limited liability
company shall be as follows:
Paragraph 7 Confidentiality shall be amended and replaced in its
entirety as follows:
7. PROPRIETARY AND CONFIDENTIAL INFORMATION
The Agent agrees on behalf of itself and its directors, officers and
employees to treat confidentially and as proprietary information of the
Funds, all records and other information relative to the Funds and
prior, present or potential shareholders (and clients of said
shareholders) and not to use such records and information for any
purpose other than the performance of its responsibilities and duties
hereunder, except after prior notification to and approval in writing
by the Funds, which approval shall not be unreasonably withheld and may
not be withheld where the Agent may be exposed to civil or criminal
contempt proceedings for failure to comply after being requested to
divulge such information by duly constituted authorities, or when so
requested by the Funds.
Further, the Agent will adhere to the privacy policies adopted by the
Funds pursuant to Title V of the ▇▇▇▇▇-▇▇▇▇▇-▇▇▇▇▇▇ Act, as may be
modified from time to time (the "Act"). Notwithstanding the foregoing,
the Agent will not share any non-public personal information concerning
any of the Funds' shareholders with any third party unless specifically
directed by the Funds or allowed under one of the exceptions noted
under the Act.
IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be
executed by a duly authorized officer on one or more counterparts as of the day
and year first written above.
▇▇▇▇▇▇ INVESTMENT FUNDS, INC. U.S. BANCORP FUND SERVICES, LLC
By: /s/ ▇▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇ By: /s/ ▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇
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▇▇▇▇▇▇ INVESTMENT FUNDS, INC.
AMENDMENT TO THE TRANSFER AGENT AGREEMENT
THIS AMENDMENT dated as of January 1, 2002 to the Transfer Agent
Agreement dated as of November 5, 1996, by and between ▇▇▇▇▇▇ Investment Funds,
Inc., a Maryland series company, and Firstar Mutual Fund Services, LLC, a
Wisconsin limited liability company, shall be as follows:
Effective January 1, 2002, the name Firstar Mutual Fund Services, LLC
has been changed to U.S. Bancorp Fund Services, LLC. Accordingly, all references
to Firstar Mutual Fund Services, LLC in this Agreement should be replaced with
U.S. Bancorp Fund Services, LLC. Similarly, any references to Firstar Bank, N.A.
should be replaced with U.S. Bank, N.A.
IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be
executed by a duly authorized officer on one or more counterparts as of the day
and year first written above.
▇▇▇▇▇▇ INVESTMENT FUNDS, INC. U.S. BANCORP FUND SERVICES, LLC
By: /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇ By: /s/ ▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇
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Addendum to Firstar Servicing Agreement
This Addendum to the Fund Administration Accounting and Transfer Agent servicing
Agreements dated November 5, 1996, is entered into by and between Firstar Mutual
Fund Services, LLC and ▇▇▇▇▇▇ Investment Funds, Inc. on this 27th day of
October, 1998.
WHEREAS, the mutual funds servicing division of Firstar Trust Company became a
limited liability company and separate subsidiary of Firstar Bank Milwaukee,
N.A. on September 30, 1998; and
WHEREAS, the entity known as Firstar Trust Company ceased operations on
September 30, 1998; NOW,
THEREFORE, Firstar Mutual Fund Services, LLC will be the successor responsible
party to each of the Agreements referenced above and will assume all
responsibility for any acts or omissions during the time Firstar Trust Company
was the named service provider under these same Agreements.
Firstar Mutual Fund Services, LLC ▇▇▇▇▇▇ Investment Funds, Inc.
BY: /s/ ▇▇▇ ▇. ▇▇▇▇▇▇▇ BY: /s/ ▇▇▇▇ ▇. ▇▇▇▇▇▇▇, ▇▇.
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ATTEST: ATTEST: /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇
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