EX-99.(A)(3) 2 fundvantage_ex99a3.htm EXHIBIT (A)(3)

 

Exhibit (a)(iii)

 

Amended and Restated
SCHEDULE A
Dated SEPTEMBER 21, 2021
TO
Amended and Restated AGREEMENT AND DECLARATION OF TRUST
OF
FUNDVANTAGE TRUST
SCHEDULE OF PORTFOLIOS AND CLASSES

 

Portfolio   Classes   Series
Creation Date
1. Lateef Focused Sustainable Growth Fund1   Class A/Class C/Class I/Class T3   August 2, 2007
2. Private Capital Management Value Fund   Class A/Class C/Class I/Class R   December 11, 2009
3. Pacific Capital Tax-Free Securities Fund   Class Y   February 9, 2010
4. Pacific Capital Tax-Free Short Intermediate Securities Fund   Class Y   February 9, 2010
5. Polen Growth Fund   Class A2/Class C2/Class T3/Investor Class4,5/Institutional Class   March 26, 2010
6. EIC Value Fund   Class A/Class C/Institutional Class/Retail Class6   December 15, 2010
7. Gotham Absolute Return Fund   Institutional Class   August 24, 2012
8. Gotham Enhanced Return Fund   Institutional Class   March 21, 2013
9. Gotham Neutral Fund   Institutional Class   June 3, 2013
10. Quality Dividend Fund   Class A/Class C/Institutional Class7   June 3, 2013
11. Pacific Capital U.S. Government Money Market Fund8   Institutional Class / Investor Class9   September 24, 2013

 

1Prior to September 15, 2017, Lateef Focused Growth Fund was known as the “Lateef Fund.” Prior to December 9, 2019, Lateef Focused Sustainable Growth Fund was known as the “Lateef Focused Growth Fund.”

 

2On December 18, 2013, Class A Shares and Class C were added.

 

3On December 19, 2016, Class T shares were added.

 

4On June 11, 2010, Investor Class Shares were added.

 

5Prior to September 1, 2015, Investor Class Shares were known as Retail Class Shares.

 

6On March 24, 2011, Class C and Retail Class were added.

 

7On June 20, 2013, Institutional Class Shares were added.

 

 

 

 

Portfolio   Classes   Series
Creation Date
12. Polen Global Growth Fund 10   Class A/Class C/Class T3/Institutional Class/Investor Class5   March 21, 2014
13. Gotham Total Return Fund   Institutional Class/Investor Class   December 17, 2014
14. Gotham Index Plus Fund12   Institutional Class/Class R613/Investor Class10   January 8, 2015
15. Gotham Large Value Fund14   Institutional Class   September 17, 2015
16. Gotham Hedged Plus Fund   Institutional Class   December 3, 2015
17. TOBAM Emerging Markets Fund   Class A/Class C/Class I   March 23, 2016
18. Gotham Enhanced 500 Plus Fund15   Institutional Class   June 20, 2016
19. Gotham Hedged Core Fund   Institutional Class   June 20, 2016

 

(continued...)

 

8Prior to March 21, 2014, the Pacific Capital U.S. Government Money Market Fund was known as the “BOH Government Money Market Fund.”

 

9On March 15, 2018, Investor Class shares were added.

 

10Prior to September 23, 2014, Polen Global Growth Fund was known as the “Polen Capital Global Growth Fund.”

 

11On November 1, 2017, Investor Class shares were added.

 

12Prior to March 25, 2015, Gotham Index Plus Fund was known as the “Gotham Index 500 Plus Fund.”

 

13On June 22, 2017, Class R6 shares were added.

 

14Prior to September 22, 2015, Gotham Institutional Value Fund was known as the “Gotham Large Value Fund” and prior to August 31,2018, Gotham Large Value Fund was known as the “Gotham Institutional Value Fund.”

 

15Prior to February 1, 2019, Gotham Enhanced 500 Plus Fund was known as Gotham Enhanced 500 Core Fund and prior to September 28, 2016, Gotham Enhanced 500 Core Fund was known as the “Gotham Enhanced Core Fund.”

 

 -2- 

 

 

Portfolio   Classes   Series
Creation Date
20. Gotham Defensive Long 500 Fund   Institutional Class   August 17, 2016
21. Polen International Growth Fund   Class A/Class C/Class T3/Institutional Class/Investor Class   September 28, 2016
22. Gotham Enhanced S&P 500 Index Fund   Institutional Class   December 30, 2016
23. Gotham Short Strategies Fund   Institutional Class   April 19, 2017
24. Polen U.S. Small Company Growth Fund   Investor Class/Institutional Class/Class Y16   June 26, 2017
25. Sirios Long/Short Fund   Class A/Adviser Class/Institutional Class/Retail Class   October 30, 2017
26. Polen International Small Company Growth Fund   Investor Class/Institutional Class   September 26, 2018
27. Gryphon International Equity Fund   Institutional Class   September 26, 2018
28. Gotham ESG Large Value Fund   Institutional Class   November 9, 2018
29. Catenary V-Alternative Fund   Investor Class/Institutional Class   March 12, 2019
30. Gotham ESG Index Plus Fund   Institutional Class   May 1, 2019
31. Polen Global Emerging Markets Growth Fund   Investor Class/Institutional Class   September 24, 2019
32. Madison Avenue Solutions Government Money Market Fund   Institutional Class/Retail Class   February 11, 2020
33. C WorldWide International Equities Fund   Class A/Class I   April 27, 2020
34. Sirios Focus Fund   Class A, Advisor Class, Institutional Class and Retail Class   August 28, 2020
35. Polen U.S. SMID Company Growth Fund   Investor Class/Institutional Class   January 12, 2021
36. Polen Global SMID Company Growth Fund   Institutional Class/Investor Class   September 21, 2021
37. Polen China Growth Fund   Institutional Class/Investor Class   September 21, 2021
38. Polen Asian Emerging Markets Growth Fund   Institutional Class/Investor Class   September 21, 2021
39. Whittier Core Bond Fund   [Institutional Class]   September 21, 2021
40. Whittier California Tax-Conscious Bond Fund   [Institutional Class]   September 21, 2021
41. Whittier National Tax-Conscious Bond Fund   [Institutional Class]   September 21, 2021

 

16On January 26, 2021, Class Y shares were added.

 

 -3-