EXHIBIT E UNDERWRITING AGREEMENT This Agreement made as of October 29, 1999 by and between The Caldwell & Orkin Funds, Inc. (the "Company"), a Maryland corporation, C&O Funds Advisor, Inc. (the "Manager") and CW Fund Distributors, Inc., a Delaware...Underwriting Agreement • August 31st, 2004 • Caldwell & Orkin Funds Inc • Delaware
DISTRIBUTION AGREEMENTDistribution Agreement • June 18th, 2010 • Caldwell & Orkin Funds Inc • Colorado
THIS AGREEMENT, between The Caldwell & Orkin Funds, Inc., a Maryland corporation (the “Fund”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”) is made as of August 21, 2009 and effective as of the date of conversion of the Fund to ALPS.
CUSTODY AGREEMENTCustody Agreement • August 26th, 2016 • Caldwell & Orkin Funds Inc • Minnesota
THIS AGREEMENT is effective as of July 18, 2016 (the “Effective Date”), by and between THE CALDWELL & ORKIN FUNDS, INC., a Maryland corporation (the “Company”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America (the “Custodian”).
DISTRIBUTION AGREEMENTDistribution Agreement • August 28th, 2019 • Caldwell & Orkin Funds Inc • Ohio
This Agreement dated February 1, 2019 is between The Caldwell & Orkin Funds, Inc (the “Fund”), a Maryland corporation, Gator Capital Management, LLC (the “Advisor”), a Delaware limited liability company, and Ultimus Fund Distributors, LLC (“Distributor”), a limited liability company organized under the laws of the State of Ohio.
SELLING AGREEMENTSelling Agreement • August 27th, 2021 • Caldwell & Orkin Funds Inc • 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:
DISTRIBUTION AGREEMENTDistribution Agreement • August 28th, 2012 • Caldwell & Orkin Funds Inc • Colorado
Distribution Agreement (the “Agreement”) made this 1st day of November, 2011, by and between The Caldwell & Orkin Funds, Inc., a Maryland Corporation (the “Fund”) and ALPS Distributors, Inc., a Colorado corporation (the “Distributor”).
MERRILL LYNCH LOGO] SPECIAL CUSTODY ACCOUNT AGREEMENT AGREEMENT dated , 199 AMONG: (1) MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ("Merrill Lynch"), a Delaware corporation registered as a broker and dealer in securities pursuant to the...Special Custody • September 1st, 1999 • Caldwell & Orkin Funds Inc • New York
TRANSFER AGENCY INTERACTIVE CLIENT SERVICES AGREEMENTTransfer Agency • June 18th, 2010 • Caldwell & Orkin Funds Inc • Colorado
This Transfer Agency Interactive Client Services Agreement (this “Agreement”) between The Caldwell & Orkin Funds, Inc., a corporation established under the laws of the State of Maryland (the “Fund”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”) is made as of August 21, 2009, and effective as of the date of conversion of the Fund to ALPS.
MANAGEMENT AGREEMENTManagement Agreement • June 29th, 2018 • Caldwell & Orkin Funds Inc • Florida
AGREEMENT made effective as of the 8th day of February, 2018, by and between The Caldwell & Orkin Market Opportunity Fund (hereinafter referred to as the “Fund”) of The Caldwell & Orkin Funds, Inc., a Maryland corporation (hereinafter referred to as the “Company”) and Gator Capital Management, LLC, a Delaware limited liability company (hereinafter referred to as the “Manager”).
Caldwell & Orkin Inc. 3340 Peachtree RD., NE Atlanta, GA 30326 PRIME BROKERAGE SERVICES AGREEMENT This Agreement sets forth the terms and conditions under which PaineWebber Incorporated, its successors and assigns ("PaineWebber") will clear your...Agreement • June 30th, 1999 • Caldwell & Orkin Funds Inc • New York
ContractSpecial Custody Account Agreement • August 26th, 2016 • Caldwell & Orkin Funds Inc • New York
This SPECIAL CUSTODY ACCOUNT AGREEMENT (“Agreement”), effective as of July 18, 2016, by and among The Caldwell & Orkin Funds, Inc. on behalf of the Market Opportunity Fund (“Customer”), U.S. Bank, N.A. (“Custodian”), and Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Broker”),
Certain information has been excluded from the Fourth Amendment on the following pages because (i) it is not material and (ii) would be competitively harmful if publicly disclosed.Caldwell & Orkin Funds Inc • August 28th, 2020
This amendment, effective as of the date set forth below (the “Fourth Amendment”) hereby revises the amendment, effective May 1, 2019 (the “Amendment”), to the Master Services Agreement, dated October 24, 2016 (the “Master Services Agreement”) between the Caldwell & Orkin Funds, Inc. (the “Fund”) and Ultimus Fund Solutions, LLC (“Ultimus”), an Ohio limited liability company (collectively the “Parties”), as set forth below:
IDENTITY THEFT PREVENTION PROGRAM COMPLIANCE AGREEMENTIdentity Theft Prevention Program Compliance Agreement • August 25th, 2017 • Caldwell & Orkin Funds Inc
This Agreement dated as of this 24th day of October, 2016 is entered into by and among The Caldwell & Orkin Funds, Inc (the “Fund”) and Ultimus Fund Solutions, LLC, the Fund’s transfer agent (“Ultimus”).
AMENDMENT NO. 3 TO THE MANAGEMENT AGREEMENTManagement Agreement • June 18th, 2010 • Caldwell & Orkin Funds Inc
SPECIAL CUSTODY ACCOUNT AGREEMENT (Stock and Index Options) (Short Sales)Special Custody Account Agreement • June 29th, 2018 • Caldwell & Orkin Funds Inc • New York
THIS AGREEMENT, dated as of April 4, 2018 is by and among U.S. Bank, N.A., in its capacity as custodian hereunder (“Custodian”), Caldwell & Orkin Market Opportunity Fund, a series of The Caldwell & Orkin Funds, Inc. (“Customer”), Gator Capital Management, LLC, as investment advisor to Customer (“IA”) and Jefferies LLC (“Broker”).
MASTER SERVICES AGREEMENTMaster Services Agreement • August 25th, 2017 • Caldwell & Orkin Funds Inc • Ohio
This Agreement, dated October 24, 2016 is between The Caldwell & Orkin Funds, Inc. (the “Fund”), a Maryland corporation, and Ultimus Fund Solutions, LLC (“Ultimus”), a limited liability company organized under the laws of the State of Ohio.
Certain information has been excluded from the Third Amendment on the following pages because (i) it is not material and (ii) would be competitively harmful if publicly disclosed.Caldwell & Orkin Funds Inc • August 28th, 2020
This Third Amendment, dated January 1, 2020, amends and revises the Master Services Agreement dated October 24, 2016, (the “Agreement”) between the Fund, a Maryland corporation and Ultimus Fund Solutions, LLC (“Ultimus”), an Ohio limited liability company (collectively the “Parties”).
Amendment To Master Services Agreement and Addenda For Caldwell & Orkin Funds, Inc.Caldwell & Orkin Funds Inc • August 28th, 2019
This amendment (“Amendment”) effective May 1, 2019 amends (i) the Master Services Agreement, dated October 24, 2016 (the “Agreement”); (ii) the Fund Administration Addendum dated October 24, 2016 (the “Addendum”); (iii) the Fund Administration Fee Letter dated October 24, 2016 (the “Fund Admin Fee Letter”); (iv) the Fund Accounting Fee Letter dated October 24, 2016 (the “Fund Accounting Fee Letter”); and (v) the Transfer Agency and Shareholder Services Fee Letter dated October 24, 2016 ((the “Transfer Agency Fee Letter”) and together with the Agreement, the Addendum, the Fund Admin Fee Letter and the Fund Accounting Fee Letter, the “Agreements”) between Caldwell & Orkin Funds, Inc., a Maryland corporation (the “Fund”), and Ultimus Fund Solutions, LLC (“Ultimus”), an Ohio limited liability company (collectively, the “Parties”).
Amendment To Compliance Consulting Agreement For Caldwell & Orkin Funds, Inc.Compliance Consulting Agreement • August 28th, 2019 • Caldwell & Orkin Funds Inc
This amendment (“Amendment”) amends the Compliance Consulting Agreement dated October 24, 2016 (the “Consulting Agreement”) between Caldwell & Orkin Funds, Inc., a Maryland corporation (the “Fund”), and Ultimus Fund Solutions, LLC (“Ultimus”), an Ohio limited liability company (collectively, the “Parties”).
AMENDMENT NO. 1 TO THE MANAGEMENT AGREEMENTManagement Agreement • August 28th, 2009 • Caldwell & Orkin Funds Inc
Amendment to Fund Administration Addendum For The Caldwell & Orkin Funds, Inc.Caldwell & Orkin Funds Inc • June 29th, 2018
This Amendment revises the Fund Administration Addendum (the “Addendum”) to the Master Services Agreement, dated October 24, 2016 (the “Agreement”) between the Caldwell & Orkin Funds, Inc. (the “Fund”) and Ultimus Fund Solutions, LLC (“Ultimus”), an Ohio limited liability company (collectively the “Parties”).
TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • June 18th, 2010 • Caldwell & Orkin Funds Inc • Colorado
THIS AGREEMENT, between The Caldwell & Orkin Funds, Inc., organized as a corporation under the laws of Maryland (the “Fund”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”) is made as of August 21, 2009 and effective as of the date of conversion of the Fund to ALPS.
COMPLIANCE CONSULTING AGREEMENTCompliance Consulting Agreement • August 25th, 2017 • Caldwell & Orkin Funds Inc • Ohio
THIS AGREEMENT is made as of 24th day of October, 2016, by and between The Caldwell & Orkin Funds, Inc. (the “Fund”), a Maryland corporation, and Ultimus Fund Solutions, LLC (“Ultimus”), a limited liability company organized under the laws of the State of Ohio.
FIRST AMENDMENT TO NO-LOAD FUND SERVICES AGREEMENTFund Services Agreement • August 25th, 2017 • Caldwell & Orkin Funds Inc • New York
THIS AMENDMENT, effective as of March 1, 2017, by and between Ultimus Fund Distributors, LLC (the “Distributor”) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”), is made to that certain No-Load Fund Services Agreement, dated March 11, 2011 by and between the Distributor and Merrill Lynch (the “Agreement”). Capitalized terms used herein but not otherwise defined shall have their respective meanings as set forth in the Agreement.
RE: CALDWELL & ORKIN NO-LOAD FUND SERVICES AGREEMENTFund Services Agreement • August 25th, 2017 • Caldwell & Orkin Funds Inc • New York
Merrill Lynch, Pierce, Fenner & Smith Incorporated (“we”, “us” or “Merrill Lynch”) has entered into an Operations Agreement (the “Operations Agreement”) with the principal underwriter of certain open-end investment companies (“mutual fund(s)”) with whom you are affiliated in order to facilitate our customers’ acquisition and/or disposition of shares of such mutual funds. The mutual funds subject to the Operations Agreement are identified on Schedule A thereto or on our or our affiliates’ books and records, as the case may be, as agreed to under such Operations Agreement (hereinafter referred to collectively as the “Funds”, and each a “Fund”).
AMENDMENT NO. 2 TO THE MANAGEMENT AGREEMENTManagement Agreement • August 28th, 2009 • Caldwell & Orkin Funds Inc
ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENTBookkeeping And • June 18th, 2010 • Caldwell & Orkin Funds Inc • Colorado
THIS AGREEMENT, between The Caldwell & Orkin Funds, Inc., organized as a corporation under the laws of the State of Maryland (the “Fund”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”) is made as of August 21, 2009 and effective as of the date of conversion of the Fund to ALPS.
AGREEMENT FOR PRIME BROKERAGE CLEARANCE SERVICESCaldwell & Orkin Funds Inc • June 30th, 1999 • New York
Amendment to the Distribution Agreement and the Distribution Fee LetterDistribution Agreement • June 29th, 2018 • Caldwell & Orkin Funds Inc
The Caldwell & Orkin Funds, Inc. (“the Fund”), a Maryland corporation, C&O Funds Advisor, Inc. (the “Advisor”), a Georgia corporation, Ultimus Fund Distributors, LLC the (“Distributor”), an Ohio limited liability company, and Gator Capital Management, LLC (the “Acquirer”). The Fund, the Advisor, the Distributor, and the Acquirer are collectively referred to as “the parties”.
ACCOUNTING SERVICES AGREEMENTAccounting Services Agreement • August 29th, 2002 • Caldwell & Orkin Funds Inc • Ohio
AGREEMENT dated as of February 2, 1998 between The Caldwell & Orkin Funds, Inc. (the "Company"), a Maryland corporation, and Countrywide Fund Services, Inc. ("Countrywide"), an Ohio corporation.
AGREEMENT FOR PRIME BROKERAGE CLEARANCE SERVICESAgreement for Prime Brokerage Clearance Services • June 30th, 1999 • Caldwell & Orkin Funds Inc • New York
AMENDMENT NO. 3 TO THE MANAGEMENT AGREEMENTManagement Agreement • June 29th, 2010 • Caldwell & Orkin Funds Inc
Certain information has been excluded from the Fifth Amendment on the following pages because (i) it is not material and (ii) would be competitively harmful if publicly disclosed.Master Services Agreement • August 27th, 2021 • Caldwell & Orkin Funds Inc
This amendment (the “Amendment”) effective as of August 1, 2021, amends the Master Services Agreement, dated October 24, 2016, and most recently amended as of May 1, 2020 (the “Agreement”) between the Fund, a Maryland corporation (the “Fund”), and Ultimus Fund Solutions, LLC (“Ultimus”), an Ohio limited liability company (collectively, the “Parties”).
SPECIAL CUSTODY ACCOUNT AGREEMENTSpecial Custody Account Agreement • August 29th, 2000 • Caldwell & Orkin Funds Inc • New York
AGREEMENT ("Agreement"), dated as of February 14, 2000, by and among Bank One Trust Company, NA, in its capacity as Custodian hereunder ("Custodian"), Caldwell & Orkin Market Opportunity Fund, Inc. ("Customer"), and ING Barings LLC ("Broker").
