EX-99.A.III 3 s107732_ex99-aiii.htm EX-99.A.III

 

Exhibit (a)(iii)

 

Amended and Restated
SCHEDULE A
Dated OCTOBER 6, 2017
TO
Amended and Restated AGREEMENT AND DECLARATION OF TRUST
OF
FUNDVANTAGE TRUST
SCHEDULE OF PORTFOLIOS AND CLASSES

 

Portfolio   Classes   Series
Creation Date
1.   Insight Investment Grade Bond Fund1   Class A/Class C/Institutional2   January 22, 2007
2.   Lateef Fund   Class A/Class C/Class I/Class T4   August 2, 2007
3.   Private Capital Management Value Fund   Class A/Class C/Class I/Class R   December 11, 2009
4.   Pacific Capital Tax-Free Securities Fund   Class Y   February 9, 2010
5.   Pacific Capital Tax-Free Short Intermediate Securities Fund   Class Y   February 9, 2010
6.   Estabrook Value Fund   Class A/Class C/Class I/Class R   March 26, 2010
7.   Estabrook Investment Grade Fixed Income Fund   Class A/Class C/Class I/Class R   March 26, 2010
8.   Polen Growth Fund   Class A3/Class C3/Class T4/Investor Class5,6/Institutional Class   March 26, 2010
9.   DuPont Capital Emerging Markets Fund   Class I7   June 11, 2010
10.   DuPont Capital Emerging Markets Debt Fund   Class I6   June 23, 2011
11.   EIC Value Fund   Class A/Class C/Institutional Class/Retail Class8   December 15, 2010
12.   Gotham Absolute Return Fund   Institutional Class   August 24, 2012
13.   Gotham Enhanced Return Fund   Institutional Class   March 21, 2013
14.   Gotham Neutral Fund   Institutional Class   June 3, 2013

 

 

1 From January 22, 2007 to June 10, 2010, the Cutwater Investment Grade Bond Fund was known as the MBIA Core Plus Fixed Income Fund. From June 11, 2010 to September 1, 2015, the Insight Investment Grade Bond Fund was known as the Cutwater Investment Grade Bond Fund.

 

2 On June 11, 2010, Class A Shares and Class C were added and Retail Class was terminated.

 

3 On December 18, 2013, Class A Shares and Class C were added.

 

4 On December 19, 2016, Class T shares were added.

 

5 On June 11, 2010, Investor Class Shares were added.

 

6 Prior to September 1, 2015, Investor Class Shares were known as Retail Class Shares.

 

7 On August 21, 2013, Class A Shares, Class C Shares and Class D Shares were terminated.

 

8 On March 24, 2011, Class C and Retail Class were added. 

 

 

 

  

Portfolio   Classes   Series
Creation Date
15.   Quality Dividend Fund   Class A/Class C/Institutional Class9   June 3, 2013
16.   Mount Lucas U.S. Focused Equity Fund   Class I/Class II   September 24, 2013
17.   Pacific Capital U.S. Government Money Market Fund10       September 24, 2013
18.   SkyBridge Dividend Value Fund   Class A /Class C / Class I   December 18, 2013
19.   Polen Global Growth Fund 11   Class A/Class C/Class T4/Institutional Class/Investor Class6   March 21, 2014
20.   Gotham Absolute 500 Fund   Institutional Class   May 13, 2014
21.   Gotham Enhanced 500 Fund   Institutional Class   September 23, 2014
22.   Gotham Total Return Fund   Institutional Class/Class N12   December 17, 2014
23.   Gotham Index Plus Fund13   Institutional Class/Class R614/Class N12   January 8, 2015
24.   Gotham Institutional Value Fund15   Institutional Class   September 17, 2015
25.   Gotham Hedged Plus Fund   Institutional Class   December 3, 2015
26.   Lateef Global Fund   Class A/Class C/Class I   January 21, 2016
27.   TOBAM Emerging Markets Fund   Class A/Class C/Class I   March 23, 2016
28.   Gotham Index Core Fund   Institutional Class   June 20, 2016
29.   Gotham Enhanced 500 Core Fund16   Institutional Class   June 20, 2016
30.   Gotham Hedged Core Fund   Institutional Class   June 20, 2016
31.   Gotham Absolute 500 Core Fund17   Institutional Class   June 20, 2016
32.   Gotham Neutral 500 Fund   Institutional Class   August 17, 2016

 

 

9 On June 20, 2013, Institutional Class Shares were added.

 

10 Prior to March 21, 2014, the Pacific Capital U.S. Government Money Market Fund was known as the “BOH Government Money Market Fund.”

 

11 Prior to September 23, 2014, Polen Capital Global Growth Fund was known as the “Polen Global Growth Fund.”

 

12 On [●], 2017, Class N shares were added.

 

13 Prior to March 25, 2015, Gotham Index Plus Fund was known as the “Gotham Index 500 Plus Fund.”

 

14 On June 22, 2017, Class R6 shares were added.

 

15 Prior to September 22, 2015, Gotham Institutional Value Fund was known as the “Gotham Large Value Fund.”

 

16 Prior to September 28, 2016, Gotham Enhanced 500 Core Fund was known as the “Gotham Enhanced Core Fund.”

 

17 Prior to September 28, 2016, Gotham Absolute 500 Core Fund was known as the “Gotham Absolute Core Fund.” 

 

 

 

  

Portfolio   Classes   Series
Creation Date
33.   Gotham Defensive Long 500 Fund   Institutional Class   August 17, 2016
34.   Gotham Defensive Long Fund   Institutional Class   August 17, 2016
35.   Polen International Growth Fund   Class A/Class C/Class T4/Institutional Class/Investor Class   September 28, 2016
36.   Gotham Enhanced S&P 500 Index Fund   Institutional Class   December 30, 2016
37.   Arabesque Systematic USA Fund   Institutional/Retail   December 9, 2016
38.   Arabesque Systematic International Fund   Institutional/Retail   December 9, 2016
39.   Gotham Master Long Fund   Institutional Class   February 13, 2017
40.   Gotham Master Neutral Fund   Institutional Class   February 13, 2017
41.   Gotham Short Strategies Fund   Institutional Class   April 19, 2017
42.   Polen U.S. Small Company Growth Fund   Investor Class/Institutional Class   June 26, 2017
43.   Gotham 500 Plus Fund   Institutional Class   October 6, 2017