EX-99.28.N.1 14 fp0060219_ex9928n1.htm

AMENDED RULE 18f-3 PLAN

 

1. A portfolio of the RBB Fund, Inc. ("Portfolio") may issue more than one class of voting stock ("Class"), provided that:

 

(a) Each such Class:

 

(1) (i) Shall have a different arrangement for shareholder services or the distribution of securities or both, and shall pay all of the expenses of that arrangement; and

 

(ii) May pay a different share of other expenses, not including advisory or custodial fees or other expenses related to the management of the Portfolio's assets, if those expenses are actually incurred in a different amount by that Class, or if the Class receives services of a different kind or to a different degree than other Classes;

 

(2) Shall have exclusive voting rights on any matter submitted to shareholders that relates solely to its arrangement;

 

(3) Shall have separate voting rights on any matter submitted to shareholders in which the interests of one Class differ from the interests of any other Class; and

 

(4) Shall have in all other respects the same rights and obligations as each other class.

 

(b) Expenses may be waived or reimbursed by the Portfolio's adviser, underwriter, or any other provider of services to the Portfolio.

 

(c) (1) Any payments made under paragraph (a)(1)(i) of this Amended Rule 18f-3 Plan (the “Plan”) shall conform to Appendix A to this Plan, as such Appendix A shall be amended from time to time by the Board.

 

(2) Before any vote on the Plan or Appendix A, the Directors shall be provided, and any agreement relating to a Class arrangement shall require the parties thereto to furnish, such information as may be reasonably necessary to evaluate the Plan.

 

(3) The provisions of the Plan in Appendix A are severable for each Class, and whenever any action is to be taken with respect to the Plan in Appendix A, that action will be taken separately for each Class.

 

(d) A Portfolio may offer a Class with an exchange privilege providing that securities of the Class may be exchanged for certain securities of another Portfolio or another Class of the same Portfolio. Such exchange privileges are summarized in Appendix B, as may be modified by the Board from time to time, and are set forth in greater detail in the prospectuses of each of the Classes.

 

  

 

Appendix A

 

RBB FUND

Current Distribution Fee Levels

As of December 16, 2020

 

Adviser / Series   Class Class Designation 12b-1 Plan Non 12b-1 Front-End Sales Charge
Abbey Capital Limited            
Abbey Capital Futures Strategy Fund   Class A RRRRR 0.25% No 5.75%
    Class C SSSSS 1.00% No No
   

Class I

Class T

TTTTT

NNNNNN

No

0.25%

No

No

No

2.50%

Abbey Capital Multi Asset Fund   Class I VVVVVV No No No
    Class A WWWWWW 0.25% No 5.75%
    Class C XXXXXX 1.00% No No
             
Altair Advisers LLC            
Adara Smaller Companies Fund   1 Class UUUUU No No No
Aquarius International Fund   1 Class UUUUUU No No No
             
Bogle Investment Management L.P.            

Bogle Investment Management Small Cap Growth Fund

 

   Institutional Class NNN No No No
Boston Partners Global Investors, Inc.            
Boston Partners Long/Short Equity Fund  

Investor Class

Institutional Class

JJJ

III

0.25%

No

No

No

No

No

Boston Partners Small Cap Value Fund II  

Investor Class

Institutional Class

EEE

DDD

0.25%

No

No

No

No

No

Boston Partners All-Cap Value Fund  

Investor Class

Institutional Class

WW

VV

0.25%

No

No

No

No

No

WPG Small/Micro Cap Value Fund   Institutional Class UUU No 0.25% No
Boston Partners Long/Short Research Fund  

Investor Class

Institutional Class

AAAAA

BBBBB

0.25%

No

No

No

No

No

Boston Partners Global Equity Fund  

Investor Class

Institutional Class

CCCCC

DDDDD

0.25%

No

No

No

No

No

Boston Partners Global Long/Short Fund  

Investor Class

Institutional Class

 JJJJJ KKKKK

0.25%

No

No

No

No

No

Boston Partners Emerging Markets Dynamic Equity Fund   Institutional Class WWWWW No No No
Boston Partners Emerging Markets Fund   Institutional Class SSSSSS No No No
Boston Partners Global Equity Advantage Fund   Institutional Class AAAAAAA No No No
             

 

2 

 

Adviser / Series   Class Class Designation 12b-1 Plan Non 12b-1 Front-End Sales Charge
Campbell & Company Investment Adviser LLC            

Campbell Advantage Fund

Campbell Systematic Macro Fund

 

  

1 Class

Class A

Class I

Class P

Class C

BBBBBBB

OOOOOO

PPPPPP

QQQQQQ

RRRRRR

No

0.25%

No

0.25%

1.00%

No

No

No

No

No

No

5.75%

No

No

No

Matson Money, Inc.            
Free Market U.S. Equity Fund   1 Class BBBB No No No
Free Market International Equity Fund   1 Class CCCC No No No
Free Market Fixed Income Fund   1 Class DDDD No No No
Matson Money U.S. Equity VI Portfolio   1 Class LLLLL No No No
Matson Money International Equity VI Portfolio   1 Class MMMMM No No No
Matson Money Fixed Income VI Portfolio   1 Class NNNNN No No No
             
Motley Fool Asset Management, LLC            
MFAM Global Opportunities Fund   Investor EEEEEE No No No
    Institutional FFFFFF No No No
MFAM Mid Cap Growth Fund   Investor GGGGGG No No No
    Institutional HHHHHH No No No
Motley Fool 100 Index ETF   1 Class TTTTTT No No No
MFAM Small-Cap Growth ETF   1 Class YYYYYY No No No
Motley Fool Innovation ETF   1 Class ZZZZZZ No No No
             
Orinda Asset Management, LLC            
Orinda Income Opportunities Fund   Class I KKKKKK No No No
   

Class A

Class D

LLLLLL

MMMMMM

0.25%

1.00%

No

No

5.00%

No

             

Red Gate Advisers, LLC

Stance Equity ESG Large Cap Core ETF

   1 Class GGGGGGG No No No
             
Summit Global Investments LLC            
SGI U.S. Large Cap Equity Fund  

Class A

Class I

GGGGG

HHHHH

0.25%

No

No

No

5.25%

No

    Class C ZZZZZ 1.00% No No
             
SGI U.S. Small Cap Equity Fund  

Class A

Class I

AAAAAA

BBBBBB

0.25%

No

No

No

5.25%

No

    Class C CCCCCC 1.00% No No

 

SGI Global Equity Fund

   Class I OOOOO No No

 

No

    Class A PPPPP 0.25% No 5.25%
    Class C QQQQQ 1.00% No No
             
SGI Conservative Fund   Class I FFFFFFF No 0.25% No
SGI Peak Growth Fund   Class I DDDDDDD No 0.25% No
SGI Prudent Growth Fund   Class I EEEEEEE No 0.25% No
SGI U.S. Large Cap Equity VI Portfolio   1 Class CCCCCCC No No No

 

3 

 

Appendix B

 

EXCHANGE PRIVILEGES OF THE PORTFOLIOS

OF THE RBB FUND, INC.*

*During periods when these Portfolios are closed they are not eligible for exchange with the exception of an exchange from one class of shares into another class of shares within the same Portfolio.

 

FAMILY Each Portfolio (Class) . . . May Be Exchanged For Any of
Abbey Capital Funds
(Class I Shares)

Abbey Capital Futures Strategy Fund (RRRRR)*

Abbey Capital Futures Strategy Fund (SSSSS)*

Abbey Capital Futures Strategy Fund (TTTTT)

Abbey Capital Multi Asset Fund (VVVVVV)

Abbey Capital Multi Asset Fund (WWWWWW)*

Abbey Capital Multi Asset Fund (XXXXXX)*

 

*provided the shareholder meets the eligibility requirements for the class shares are being exchanged for or is otherwise eligible to purchase that class of shares

Abbey Capital Futures Strategy Fund (RRRRR)

Abbey Capital Futures Strategy Fund (SSSSS)

Abbey Capital Futures Strategy Fund (TTTTT) Abbey Capital Multi Asset Fund (VVVVVV)

Abbey Capital Multi Asset Fund (WWWWWW)

Abbey Capital Multi Asset Fund (XXXXXX)

Abbey Capital Funds
(Class A Shares)

Abbey Capital Futures Strategy Fund (RRRRR)

Abbey Capital Futures Strategy Fund (SSSSS)*

Abbey Capital Futures Strategy Fund (TTTTT)*

Abbey Capital Multi Asset Fund (VVVVVV)*

Abbey Capital Multi Asset Fund (WWWWWW)

Abbey Capital Multi Asset Fund (XXXXXX)*

 

*provided the shareholder meets the eligibility requirements for the class shares are being exchanged for or is otherwise eligible to purchase that class of shares

Abbey Capital Futures Strategy Fund (RRRRR)

Abbey Capital Futures Strategy Fund (SSSSS)

Abbey Capital Futures Strategy Fund (TTTTT) Abbey Capital Multi Asset Fund (VVVVVV)

Abbey Capital Multi Asset Fund (WWWWWW)

Abbey Capital Multi Asset Fund (XXXXXX)

Abbey Capital Funds
(Class C Shares)

Abbey Capital Futures Strategy Fund (RRRRR)*

Abbey Capital Futures Strategy Fund (SSSSS)

Abbey Capital Futures Strategy Fund (TTTTT)*

Abbey Capital Multi Asset Fund (VVVVVV)*

Abbey Capital Multi Asset Fund (WWWWWW)*

Abbey Capital Multi Asset Fund (XXXXXX)

 

*provided the shareholder meets the eligibility requirements for the class shares are being exchanged for or is otherwise eligible to purchase that class of shares

Abbey Capital Futures Strategy Fund (RRRRR)

Abbey Capital Futures Strategy Fund (SSSSS)

Abbey Capital Futures Strategy Fund (TTTTT) Abbey Capital Multi Asset Fund (VVVVVV)

Abbey Capital Multi Asset Fund (WWWWWW)

Abbey Capital Multi Asset Fund (XXXXXX)

 

Boston Partners
Investment Funds
(Investor Classes)

Boston Partners All-Cap Value (WW)

Boston Partners Small Cap Value II (EEE)

Boston Partners Long/Short Equity Fund (JJJ)

Boston Partners Long/Short Research Fund (AAAAA)

Boston Partners Global Equity Fund (CCCCC)

Boston Partners Global Long/Short Fund (JJJJJ)

Boston Partners All-Cap Value (WW)

Boston Partners Small Cap Value II (EEE)

Boston Partners Long/Short Equity Fund (JJJ)

Boston Partners Long/Short Research Fund (AAAAA)

Boston Partners Global Equity Fund (CCCCC)

Boston Partners Global Long/Short Fund (JJJJJ)

Boston Partners All-Cap Value (VV)*

Boston Partners Small Cap Value II (DDD)*

Boston Partners Long/Short Equity (III)*

WPG Small/Micro Cap Value Fund (UUU)*

Boston Partners Long/Short Research Fund (BBBBB)*

Boston Partners Global Equity Fund (DDDDD)*

Boston Partners Global Long/Short Fund (KKKKK)*

Boston Partners Emerging Markets Dynamic Equity Fund (WWWWW)*

Boston Partners Emerging Markets Fund (SSSSSS)*

Boston Partners Global Equity Advantage Fund (AAAAAAA)*

 

*provided the accumulated net asset value

exceeds the minimum initial investment amount for Institutional Class Shares or the shareholder is otherwise eligible to purchase Institutional Class Shares and the investor is a financial intermediary sponsored fee-based program.

 

4 

 

FAMILY Each Portfolio (Class) . . . May Be Exchanged For Any of

Boston Partners
Investment Funds

(Institutional Classes)

Boston Partners All-Cap Value (VV)

Boston Partners Small Cap Value II (DDD)

Boston Partners Long/Short Equity (III)

WPG Small/Micro Cap Value Fund (UUU)

Boston Partners Long/Short Research Fund (BBBBB)

Boston Partners Global Equity Fund (DDDDD)

Boston Partners Global Long/Short Fund (KKKKK)

Boston Partners Emerging Markets Dynamic Equity Fund (WWWWW)

Boston Partners Emerging Markets Fund (SSSSSS)

Boston Partners Global Equity Advantage Fund (AAAAAAA)

 

 

Boston Partners All-Cap Value (WW)*

Boston Partners Small Cap Value II (EEE)*

Boston Partners Long/Short Equity Fund (JJJ)*

Boston Partners Long/Short Research Fund (AAAAA)*

Boston Partners Global Equity Fund (CCCCC)*

Boston Partners Global Long/Short Fund (JJJJJ)* Boston Partners All-Cap Value (VV)

Boston Partners Small Cap Value II (DDD)

Boston Partners Long/Short Equity (III)

WPG Small/Micro Cap Value Fund (UUU)

Boston Partners Long/Short Research Fund (BBBBB)

Boston Partners Global Equity Fund (DDDDD)

Boston Partners Global Long/Short Fund (KKKKK)

Boston Partners Emerging Markets Dynamic Equity Fund (WWWWW)

Boston Partners Emerging Markets Fund (SSSSSS)

Boston Partners Global Equity Advantage Fund (AAAAAAA)

 

*provided the investor is a financial intermediary sponsored fee-based program.

Matson Money Free Market Funds
(I Class)

Free Market U.S. Equity Fund (BBBB)

Free Market International Equity Fund (CCCC)

Free Market Fixed Income Fund (DDDD)

Free Market U.S. Equity Fund (BBBB)

Free Market International Equity Fund (CCCC)

Free Market Fixed Income Fund (DDDD)

 

5 

 

FAMILY Each Portfolio (Class) . . . May Be Exchanged For Any of
MFAM Funds
(Investor Classes)

MFAM Global Opportunities Fund (EEEEEE)

MFAM Mid Cap Growth Fund (GGGGGG)

MFAM Emerging Markets Fund (IIIIII)

 

MFAM Global Opportunities Fund (EEEEEE)

MFAM Mid Cap Growth Fund (GGGGGG)

MFAM Emerging Markets Fund (IIIIII)

MFAM Global Opportunities Fund (FFFFFF)*

MFAM Mid Cap Growth Fund (HHHHHH)*

 

*provided the shareholder meets the eligibility requirements for the class shares are being exchanged for or is otherwise eligible to purchase that class of shares

Campbell Systematic
Macro Fund

Campbell Systematic Macro Fund (OOOOOO)

Campbell Systematic Macro Fund (PPPPPP)

Campbell Systematic Macro Fund (QQQQQQ)

Campbell Systematic Macro Fund (RRRRRR)

Campbell Systematic Macro Fund (OOOOOO)*

Campbell Systematic Macro Fund (PPPPPP)*

Campbell Systematic Macro Fund (QQQQQQ)*

Campbell Systematic Macro Fund (RRRRRR)*

 

*provided the beneficial holder is in a financial intermediary sponsored fee-based program and the shareholder meets the eligibility requirements for that class of Shares or the shareholder is otherwise eligible to purchase that class of Shares.

MFAM Funds
(Institutional Classes)

Motley Fool Global Opportunities Fund (FFFFFF)

Motley Fool Small-Mid Cap Growth Fund (HHHHHH)

 

Motley Fool Global Opportunities Fund (FFFFFF)

Motley Fool Small-Mid Cap Growth Fund (HHHHHH)

Motley Fool Global Opportunities Fund (EEEEEE)

Motley Fool Small-Mid Cap Growth Fund (GGGGGG)

Orinda Income
Opportunities Fund

 

Orinda Income Opportunities Fund (LLLLLL)*

Orinda Income Opportunities Fund (MMMMMM)*

 

*Class A and Class D shares of the Fund that have been purchased by a financial intermediary may be converted into Class I shares of the Fund. The minimum initial investment requirement for Class I shares may be waived by the Adviser for existing clients.

 Orinda Income Opportunities Fund (KKKKKK)
SGI Funds
(Class I Shares)

SGI Conservative Fund (FFFFFFF)

SGI Peak Growth Fund (DDDDDDD)

SGI Prudent Growth Fund (EEEEEEE)

SGI Conservative Fund (FFFFFFF)

SGI Peak Growth Fund (DDDDDDD)

SGI Prudent Growth Fund (EEEEEEE)

 

6 

 

FAMILY Each Portfolio (Class) . . . May Be Exchanged For Any of
SGI Funds
(Class I Shares)

SGI U.S. Large Cap Equity Fund (HHHHH)

SGI U.S. Small Cap Equity Fund (BBBBBB)

SGI Global Equity Fund (OOOOO)

 

SGI U.S. Large Cap Equity Fund (HHHHH)

SGI U.S. Small Cap Equity Fund (BBBBBB)

SGI Global Equity Fund (OOOOO)

SGI U.S. Large Cap Equity Fund (GGGGG)*

SGI U.S. Small Cap Equity Fund (AAAAAA)*

SGI Global Equity Fund (PPPPP)*

SGI U.S. Large Cap Equity Fund (ZZZZZ)*

SGI U.S. Small Cap Equity Fund (CCCCCC)*

SGI Global Equity Fund (QQQQQ)*

 

*provided the shareholder meets the eligibility requirements for the class of shares or is otherwise eligible to purchase the class of shares and the investor is a financial intermediary sponsored fee-based program.

SGI Funds
(Class A Shares)

SGI U.S. Large Cap Equity Fund (GGGGG)

SGI U.S. Small Cap Equity Fund (AAAAAA)

SGI Global Equity Fund (PPPPP)

SGI U.S. Large Cap Equity Fund (GGGGG)

SGI U.S. Small Cap Equity Fund (AAAAAA)

SGI Global Equity Fund (PPPPP)

SGI U.S. Large Cap Equity Fund (HHHHH)*

SGI U.S. Small Cap Equity Fund (BBBBBB)*

SGI Global Equity Fund (OOOOO)*

SGI U.S. Large Cap Equity Fund (ZZZZZ)*

SGI U.S. Small Cap Equity Fund (CCCCCC)*

SGI Global Equity Fund (QQQQQ)*

 

*provided the shareholder meets the eligibility requirements for the class of shares or is otherwise eligible to purchase the class of shares and the investor is a financial intermediary sponsored fee-based program.

SGI Funds
(Class C Shares)

SGI U.S. Large Cap Equity Fund (ZZZZZ)

SGI U.S. Small Cap Equity Fund (CCCCCC)

SGI Global Equity Fund (QQQQQ)

SGI U.S. Large Cap Equity Fund (ZZZZZ)

SGI U.S. Small Cap Equity Fund (CCCCCC)

SGI Global Equity Fund (QQQQQ)

SGI U.S. Large Cap Equity Fund (HHHHH)*

SGI U.S. Small Cap Equity Fund (BBBBBB)*

SGI Global Equity Fund (OOOOO)*

SGI U.S. Large Cap Equity Fund (GGGGG)*

SGI U.S. Small Cap Equity Fund (AAAAAA)*

SGI Global Equity Fund (PPPPP)*

 

*provided the shareholder meets the eligibility requirements for the class of shares or is otherwise eligible to purchase the class of shares and the investor is a financial intermediary sponsored fee-based program.

 

7