Common use of CUSTODIAN ACCEPTANCE Clause in Contracts

CUSTODIAN ACCEPTANCE. First National Bank of Omaha will accept appointment as Custodian of the Owner’s Account. However, this Agreement is not binding upon the Custodian until the Owner has received a statement confirming the initial transaction for the Account. Receipt by the Owner of a confirmation of the purchase of the Fund shares indicated above will serve as notification of First National Bank of Omaha’s acceptance of appointment as Custodian of the Owner’s Account. By Telephone‌‌ Toll-free: 000-000-0000 Fax: 0-000-000-0000 PO Box 46707 Cincinnati, OH 45246 or Via Overnight Delivery 000 Xxxxxxxx Xx, Xxxxx 000 Cincinnati, OH 45246 Distributed by Ultimus Fund Distributors, LLC FACTS WHAT DOES XXXXXX XXXXXX & XXXXXX FUNDS DO WITH YOUR PERSONAL INFORMATION? WHY? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. WHAT? The types of personal information we collect and share depend on the product or service you have with us. This information can include: n Social Security number and Checking Account Information n Account Balances and Investment Experience n Transaction History and Wire Transfer Instructions When you are no longer our customer, we continue to share your information as described in this notice. HOW? All financial companies need to share customer’s personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s personal information; the reasons Xxxxxx Xxxxxx & Xxxxxx Funds chooses to share; and whether you can limit this sharing. REASONS WE CAN SHARE YOUR PERSONAL INFORMATION DOES XXXXXX XXXXXX & XXXXXX FUNDS SHARE? CAN YOU LIMIT THIS SHARING? For our everyday business purposes— such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our marketing purposes— to offer our products and services to you Yes No For joint marketing with other financial companies No N/A For our affiliates’ everyday business purposes— information about your transactions and experiences Yes No For our affiliates’ everyday business purposes— information about your creditworthiness No N/A For nonaffiliates to market to you No N/A QUESTIONS? Call (000) 000-0000 or go to xxx.xxxxxxxx.xxx Who is providing this notice? Xxxxxx Xxxxxx & Xxxxxx Funds WHAT WE DO How does Xxxxxx Xxxxxx & Xxxxxx Funds protect my personal information? To protect your personal information from unauthorized access and use, we usesecurity measures that comply with federal law. These measures include computer safeguards and secured files and buildings. How does Xxxxxx Xxxxxx & Xxxxxx Funds collect my personal information? We collect your personal information, for example, when you N Open an account or Provide account information N Direct us to buy securities or Direct us to sell securities N Give us your contact information Why can’t I limit all sharing? Federal law gives you the right to limit only N sharing for affiliates’ everyday business purposes—information about your creditworthiness N affiliates from using your information to market to you N sharing for nonaffiliates to market to you State laws and individual companies may give you additional rights to limit sharing. Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies. N Our affiliates include companies with a Xxxxxx Xxxxxx & Xxxxxx name. Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial companies. N Nonaffiliates we share with can include shareholder servicing and stock transfer agent companies. Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you. N Xxxxxx Xxxxxx & Xxxxxx Funds doesn’t jointly market.

CUSTODIAN ACCEPTANCE. First National Bank of Omaha will accept appointment as Custodian of the Owner’s Account. However, this Agreement is not binding upon the Custodian until the Owner has received a statement confirming the initial transaction for the Account. Receipt by the Owner of a confirmation of the purchase of the Fund shares indicated above will serve as notification of First National Bank of Omaha’s acceptance of appointment as Custodian of the Owner’s Account. By Telephone‌‌ Toll-free: 000-000-0000 Fax: 0-000-000-0000 In Writing Zacks Funds PO Box 46707 Cincinnati541150 Omaha, OH 45246 NE 68154 or Via Overnight Delivery 000 Xxxxxxxx 0000 X 000xx Xx, Xxxxx 000 CincinnatiElkhorn, OH 45246 NE 68022 Distributed by Ultimus Fund DistributorsNorthern Lights Distributor, LLC FACTS WHAT DOES XXXXXX XXXXXX & XXXXXX FUNDS DO WITH YOUR PERSONAL INFORMATION? WHYWhy? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. WHATWhat? The types of personal information we collect and share depend on the product or service you have with us. This information can include: n ▪ Social Security number ▪ account balances and Checking Account Information n Account Balances account transactions ▪ account transactions, transaction or loss history and Investment Experience n Transaction History purchase history ▪ checking account information and Wire Transfer Instructions wire transfer instructions When you are no longer our customer, we continue to share your information as described in this notice. HOW? All financial companies need to share customer’s customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s customers’ personal information; the reasons Xxxxxx Xxxxxx & Xxxxxx the Funds chooses choose to share; and whether you can limit this sharing. REASONS WE CAN SHARE YOUR PERSONAL INFORMATION DOES XXXXXX XXXXXX & XXXXXX FUNDS SHARE? CAN YOU LIMIT THIS SHARING? For our everyday business purposes— such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our marketing purposes— to offer our products and services to you Yes No For joint marketing with other financial companies No N/A For our affiliates’ everyday business purposes— information about your transactions and experiences Yes No For our affiliates’ everyday business purposes— information about your creditworthiness No N/A For nonaffiliates to market to you No N/A QUESTIONSQuestions? Call (0-000) -000-0000 or go to xxx.xxxxxxxx.xxx Who is providing this notice? Xxxxxx Xxxxxx & Xxxxxx Funds WHAT WE DO Zacks Trust Ultimus Fund Distributors, LLC (Distributor) Ultimus Fund Solutions, LLC (Administrator) How does Xxxxxx Xxxxxx & Xxxxxx Funds the Fund protect my personal information? To protect your personal information from unauthorized access and use, we usesecurity use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. How does Xxxxxx Xxxxxx & Xxxxxx Funds the Fund collect my personal information? We collect your personal information, for example, when you N Open ▪ open an account or Provide deposit money ▪ buy securities from us or sell securities to us ▪ make deposits or withdrawals from your account provide account information N Direct us to buy securities or Direct us to sell securities N Give ▪ give us your contact account information ▪ make a wire transfer ▪ tell us who receives the money ▪ tell us where to send the money ▪ show your government-issued ID ▪ show your driver's license Why can’t I limit all sharing? Federal law gives you the right to limit only N ▪ sharing for affiliates’ everyday business purposes—information about your creditworthiness N ▪ affiliates from using your information to market to you N ▪ sharing for nonaffiliates to market to you State laws and individual companies may give you additional rights to limit sharing. Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies. N Our affiliates include companies with a Xxxxxx Xxxxxx & Xxxxxx name. Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial companies. N Nonaffiliates we share with can include shareholder servicing and stock transfer agent companies. Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you. N Xxxxxx Xxxxxx & Xxxxxx Funds doesn’t jointly market.

CUSTODIAN ACCEPTANCE. First National Bank of Omaha will accept appointment as Custodian of the Owner’s Account. However, this Agreement is not binding upon the Custodian until the Owner has received a statement confirming the initial transaction for the Account. Receipt by the Owner of a confirmation of the purchase of the Fund shares indicated above will serve as notification of First National Bank of Omaha’s acceptance of appointment as Custodian of the Owner’s Account. By Telephone‌‌ Toll-free: 000-000-0000 Fax: 0-000-000-0000 PO Box 46707 Cincinnati, OH 45246 or Via Overnight Delivery 000 Xxxxxxxx Xx, Xxxxx 000 Cincinnati, OH 45246 Distributed by Ultimus Fund Distributors, LLC FACTS WHAT DOES XXXXXX XXXXXX & XXXXXX FUNDS DO WITH YOUR PERSONAL INFORMATION? WHY? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. WHAT? The types of personal information we collect and share depend on the product or service you have with us. This information can include: n ■ Social Security number and Checking Account Information n ■ Account Balances and Investment Experience n ■ Transaction History and Wire Transfer Instructions When you are no longer our customer, we continue to share your information as described in this notice. HOW? All financial companies need to share customer’s personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s personal information; the reasons Xxxxxx Xxxxxx & Xxxxxx Funds chooses to share; and whether you can limit this sharing. REASONS WE CAN SHARE YOUR PERSONAL INFORMATION DOES XXXXXX XXXXXX & XXXXXX FUNDS SHARE? CAN YOU LIMIT THIS SHARING? For our everyday business purposes— such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our marketing purposes— to offer our products and services to you Yes No For joint marketing with other financial companies No N/A For our affiliates’ everyday business purposes— information about your transactions and experiences Yes No For our affiliates’ everyday business purposes— information about your creditworthiness No N/A For nonaffiliates to market to you No N/A QUESTIONS? Call (000) 000000)000-0000 or go to xxx.xxxxxxxx.xxx Who is providing this notice? Xxxxxx Xxxxxx & Xxxxxx Funds WHAT WE DO How does Xxxxxx Xxxxxx & Xxxxxx Funds protect my personal information? To protect your personal information from unauthorized access and use, we usesecurity use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. How does Xxxxxx Xxxxxx & Xxxxxx Funds collect my personal information? We collect your personal information, for example, when you N ■ Open an account or Provide account information N ■ Direct us to buy securities or Direct us to sell securities N ■ Give us your contact information Why can’t I limit all sharing? Federal law gives you the right to limit only N ■ sharing for affiliates’ everyday business purposes—information about your creditworthiness N ■ affiliates from using your information to market to you N ■ sharing for nonaffiliates to market to you State laws and individual companies may give you additional rights to limit sharing. Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies. N ■ Our affiliates include companies with a Xxxxxx Xxxxxx & Xxxxxx name. Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial nonfi nancial companies. N ■ Nonaffiliates we share with can include shareholder servicing and stock transfer agent companies. Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you. N ■ Xxxxxx Xxxxxx & Xxxxxx Funds doesn’t jointly market.

CUSTODIAN ACCEPTANCE. First National Bank of Omaha will accept appointment as Custodian of the Owner’s Account. However, this Agreement is not binding upon the Custodian until the Owner has received a statement confirming the initial transaction for the Account. Receipt by the Owner of a confirmation of the purchase of the Fund shares indicated above will serve as notification of First National Bank of Omaha’s acceptance of appointment as Custodian of the Owner’s Account. By Telephone‌‌ Toll-free: 000-000-0000 Fax: 0-000-000-0000 PO Box 46707 Cincinnati, OH 45246 or Via Overnight Delivery 000 Xxxxxxxx Xx, Xxxxx 000 Cincinnati, OH 45246 Distributed by Ultimus Fund Distributors, LLC FACTS WHAT DOES XXXXXX XXXXXX & XXXXXX FUNDS DO WITH YOUR PERSONAL INFORMATION? WHYWhy? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some some, but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. WHATWhat? The types of personal information we collect and share depend depends on the product or service that you have with us. This information can include: n • Social Security number and Checking Account Information n Account Balances wire transfer instructions • account transactions and Investment Experience n Transaction History transaction history • investment experience and Wire Transfer Instructions purchase history When you are no longer our customer, we continue to share your information as described in this notice. HOWHow? All financial companies need to share customer’s customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s customers’ personal information; the reasons Xxxxxx Xxxxxx & Xxxxxx Xxxxx Xxxxxxxxx Funds chooses to share; and whether you can limit this sharing. REASONS WE CAN SHARE YOUR PERSONAL INFORMATION DOES XXXXXX XXXXXX & XXXXXX FUNDS SHARE? CAN YOU LIMIT THIS SHARING? For our everyday business purposes— such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our marketing purposes— to offer our products and services to you Yes No For joint marketing with other financial companies No N/A For our affiliates’ everyday business purposes— information about your transactions and experiences Yes No For our affiliates’ everyday business purposes— information about your creditworthiness No N/A For nonaffiliates to market to you No N/A QUESTIONS? Call (000) 000-0000 or go to xxx.xxxxxxxx.xxx Who is providing this notice? Xxxxxx Xxxxxx & Xxxxxx Funds WHAT WE DO What we do: How does Xxxxxx Xxxxxx & Xxxxxx Xxxxx Advantage Funds protect my personal information? To protect your personal information from unauthorized access and use, we usesecurity use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. Our service providers are held accountable for adhering to strict policies and procedures to prevent any misuse of your nonpublic personal information. How does Xxxxxx Xxxxxx & Xxxxxx Xxxxx Advantage Funds collect my personal information? We collect your personal information, for example, when you N Open an • open and account or Provide account information N Direct deposit money • direct us to buy securities or Direct direct us to sell your securities N Give us • seek advice about your contact investments We also collect your personal information from others, such as credit bureaus, affiliates, or other companies. Why can’t I limit all sharing? Federal law gives you the right to limit only N only: • sharing for affiliates’ everyday business purposes—purposes – information about your creditworthiness N creditworthiness. • affiliates from using your information to market to you N you. • sharing for nonaffiliates to market to you you. State laws and individual companies may give you additional rights to limit sharing. Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies. N Our affiliates include companies with a Xxxxxx Xxxxxx & Xxxxxx name. Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial companies. N Nonaffiliates we share with can include shareholder servicing and stock transfer agent companies. Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you. N Xxxxxx Xxxxxx & Xxxxxx Funds doesn’t jointly market.

CUSTODIAN ACCEPTANCE. First National Bank of Omaha will accept appointment as Custodian of the Owner’s Account. However, this Agreement is not binding upon the Custodian until the Owner has received a statement confirming the initial transaction for the Account. Receipt by the Owner of a confirmation of the purchase of the Fund shares indicated above will serve as notification of First National Bank of Omaha’s acceptance of appointment as Custodian of the Owner’s Account. By Telephone‌‌ Toll-free: (000-) 000-0000 Fax: 0-000-000-0000 PO Box 46707 Cincinnati, OH 45246 or Via Overnight Delivery 000 Xxxxxxxx Xx, Xxxxx 000 Cincinnati, OH 45246 Distributed by Ultimus Fund Distributors, LLC FACTS WHAT DOES XXXXXX XXXXXX & XXXXXX FUNDS DO WITH YOUR PERSONAL INFORMATION? WHYWhy? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. WHATWhat? The types of personal information we collect and share depend on the product or service you have with us. This information can include: n ▪ Social Security number ▪ account balances and Checking Account Information n Account Balances account transactions ▪ account transactions, transaction or loss history and Investment Experience n Transaction History purchase history ▪ checking account information and Wire Transfer Instructions wire transfer instructions When you are no longer our customer, we continue to share your information as described in this notice. HOW? All financial companies need to share customer’s customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s customers’ personal information; the reasons Xxxxxx Xxxxxx & Xxxxxx Funds the Fund chooses to share; and whether you can limit this sharing. REASONS WE CAN SHARE YOUR PERSONAL INFORMATION DOES XXXXXX XXXXXX & XXXXXX FUNDS SHARE? CAN YOU LIMIT THIS SHARING? For our everyday business purposes— such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our marketing purposes— to offer our products and services to you Yes No For joint marketing with other financial companies No N/A For our affiliates’ everyday business purposes— information about your transactions and experiences Yes No For our affiliates’ everyday business purposes— information about your creditworthiness No N/A For nonaffiliates to market to you No N/A QUESTIONSQuestions? Call (0-000) -000-0000 or go to xxx.xxxxxxxx.xxx Who is providing this notice? Xxxxxx Xxxxxx & Xxxxxx Funds WHAT WE DO Oak Harvest Long/Short Hedged Equity Fund Ultimus Fund Distributors, LLC (Distributor) Ultimus Fund Solutions, LLC (Administrator) How does Xxxxxx Xxxxxx & Xxxxxx Funds the Fund protect my personal information? To protect your personal information from unauthorized access and use, we usesecurity use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. How does Xxxxxx Xxxxxx & Xxxxxx Funds the Fund collect my personal information? We collect your personal information, for example, when you N Open ▪ open an account or Provide deposit money ▪ buy securities from us or sell securities to us ▪ make deposits or withdrawals from your account provide account information N Direct us to buy securities or Direct us to sell securities N Give ▪ give us your contact account information ▪ make a wire transfer ▪ tell us who receives the money ▪ tell us where to send the money ▪ show your government-issued ID ▪ show your driver's license Why can’t I limit all sharing? Federal law gives you the right to limit only N ▪ sharing for affiliates’ everyday business purposes—information about your creditworthiness N ▪ affiliates from using your information to market to you N ▪ sharing for nonaffiliates to market to you State laws and individual companies may give you additional rights to limit sharing. Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies. N Our affiliates include companies with a Xxxxxx Xxxxxx & Xxxxxx name. Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial companies. N Nonaffiliates we share with can include shareholder servicing and stock transfer agent companies. Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you. N Xxxxxx Xxxxxx & Xxxxxx Funds doesn’t jointly market.

CUSTODIAN ACCEPTANCE. First National Bank of Omaha will accept appointment as Custodian of the Owner’s Account. However, this Agreement is not binding upon the Custodian until the Owner has received a statement confirming the initial transaction for the Account. Receipt by the Owner of a confirmation of the purchase of the Fund shares indicated above will serve as notification of First National Bank of Omaha’s acceptance of appointment as Custodian of the Owner’s Account. By Telephone‌‌ Toll-free: 000-000-0000 844.822.3837 (844.TCB.ETFS) Fax: 0-000-000-0000 PO Box 46707 Cincinnati, OH 45246 or Via Overnight Delivery 000 Xxxxxxxx Xx, Xxxxx 000 Cincinnati, OH 45246 Distributed by Ultimus Fund Northern Lights Distributors, LLC FACTS WHAT DOES XXXXXX XXXXXX & XXXXXX FUNDS DO WITH YOUR PERSONAL INFORMATION? WHYWhy? Financial companies choose how they share your personal information. Federal law gives la consumers the right to limit some some, but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. WHATWhat? The types of personal information we collect and share depend depends on the product or service s you have with us. This information can include: n • Social Security number and Checking Account Information n Account Balances wire transfer instructions • account transactions and Investment Experience n Transaction History transaction history • investment experience and Wire Transfer Instructions purchase history When you are no longer our customer, we continue to share your information as described in de this notice. HOWHow? All financial companies need to share customer’s customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s th customers’ personal information; the reasons Xxxxxx Xxxxxx & Xxxxxx Funds Trust chooses to share; and whether you can limit yo this sharing. REASONS WE CAN SHARE YOUR PERSONAL INFORMATION DOES XXXXXX XXXXXX & XXXXXX FUNDS SHARE? CAN YOU LIMIT THIS SHARING? For our everyday business purposes— purposes - such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our marketing purposes— bureaus. YES NO w gives to offer our products and services to tell you Yes No For joint marketing with other financial companies No N/A For our affiliates’ carefully ervice that scribed in everyday business purposes— information about your transactions and experiences Yes No For our affiliates’ everyday business purposes— information about your creditworthiness No N/A For nonaffiliates to market to you No N/A QUESTIONS? Call (000) 000-0000 or go to xxx.xxxxxxxx.xxx eir u can limit Who we are: Who is providing this notice? Xxxxxx Xxxxxx & Xxxxxx Funds WHAT WE DO Texas Capital Government Money Market Fund Northern Lights Distributors, LLC (Distributor) Ultimus Fund Solutions, LLC (Administrator) What we do: How does Xxxxxx Xxxxxx & Xxxxxx Funds the Fund protect my personal information? To protect your personal information from unauthorized access and use, we usesecurity use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. Our service providers are held accountable for adhering to strict policies and procedures to prevent any misuse of your nonpublic personal information. How does Xxxxxx Xxxxxx & Xxxxxx Funds the Fund collect my personal information? We collect your personal information, for example, when you N Open • open an account or Provide account information N Direct deposit money • direct us to buy securities or Direct direct us to sell your securities N Give us • seek advice about your contact investments We also collect your personal information from others, such as credit bureaus, affiliates, or other companies. Why can’t I limit all sharing? Federal law gives you the right to limit only N only: • sharing for affiliates’ everyday business purposes—purposes – information about your creditworthiness N creditworthiness. • affiliates from using your information to market to you N you. • sharing for nonaffiliates to market to you you. State laws and individual companies may give you additional rights to limit sharing. Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies. N Our affiliates include companies • Texas Capital Bank Private Wealth Advisors, the investment adviser to the Fund, could be deemed to be an affiliate. • The Fund does not share with a Xxxxxx Xxxxxx & Xxxxxx nameaffiliates. Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial companies. N Nonaffiliates we • The Fund does not share with nonaffiliates so they can include shareholder servicing and stock transfer agent companiesmarket to you. Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you. N Xxxxxx Xxxxxx & Xxxxxx Funds • The Fund doesn’t jointly market.

CUSTODIAN ACCEPTANCE. First National Bank of Omaha Constellation Trust Company will accept appointment as Custodian of the Owner’s Account. However, this Agreement is not binding upon the Custodian until the Owner has received a statement confirming the initial transaction for the Account. Receipt by the Owner of a confirmation of the purchase of the Fund shares indicated above will serve as notification of First National Bank of OmahaConstellation Trust Company’s acceptance of appointment as Custodian of the Owner’s Account. By Telephone‌‌ Toll-free: 000-000-0000 Fax: 0-000-000-0000 PO Box 46707 Cincinnati541150 Omaha, OH 45246 NE 68154 or Via Overnight Delivery 000 Xxxxxxxx 0000 X 000xx Xx, Xxxxx 000 CincinnatiElkhorn, OH 45246 NE 68022 Distributed by Ultimus Fund Northern Lights Distributors, LLC FACTS WHAT DOES XXXXXX XXXXXX & XXXXXX FUNDS DO WITH YOUR PERSONAL INFORMATION? WHY? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some some, but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. WHATWhat? The types of personal information we collect and share depend depends on the product or service that you have with us. This information can include: n ▪ Social Security number and ▪ Purchase History ▪ Assets ▪ Account Balances ▪ Retirement Assets ▪ Account Transactions ▪ Transaction History ▪ Wire Transfer Instructions ▪ Checking Account Information n Account Balances and Investment Experience n Transaction History and Wire Transfer Instructions When you are no longer our customer, we continue to share your information as described in this notice. HOW? All financial companies need to share customer’s customers' personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s customers' personal information; the reasons Xxxxxx Xxxxxx & Xxxxxx Funds Northern Lights Fund Trust III chooses to share; and whether you can limit this sharing. REASONS WE CAN SHARE YOUR PERSONAL INFORMATION DOES XXXXXX XXXXXX & XXXXXX FUNDS SHARE? CAN YOU LIMIT THIS SHARING? For our everyday business purposes— purposes - such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No bureaus. YES NO For our marketing purposes— purposes - to offer our products and services to you Yes No NO We don’t share. For joint marketing with other financial companies No N/A companies. NO We don’t share. For our affiliates’ ' everyday business purposes— purposes - information about your transactions and experiences Yes No experiences. NO We don’t share. For our affiliates’ ' everyday business purposes— purposes - information about your creditworthiness No N/A credit worthiness. NO We don’t share. For nonaffiliates non-affiliates to market to you No N/A QUESTIONS? Call (000) 000-0000 or go to xxx.xxxxxxxx.xxx NO We don’t share. Who is providing this notice? Xxxxxx Xxxxxx & Xxxxxx Funds WHAT WE DO Northern Lights Fund Trust III What we do: How does Xxxxxx Xxxxxx & Xxxxxx Funds Northern Lights Fund Trust III protect my personal information? To protect your personal information from unauthorized access and use, we usesecurity use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. Our service providers are held accountable for adhering to strict policies and procedures to prevent any misuse of your nonpublic personal information. How does Xxxxxx Xxxxxx & Xxxxxx Funds Northern Lights Fund Trust III collect my personal information? We collect your personal information, for example, when you N Open you: ▪ open an account or ▪ Provide account information N Direct us to buy securities or Direct us to sell securities N ▪ Give us your contact information ▪ Make deposits or withdrawals from your account ▪ Make a wire transfer ▪ Tell us where to send the money ▪ Tell us who receives the money ▪ Show your government-issued ID ▪ Show your driver’s license We also collect your personal information from other companies. Why can’t I limit all sharing? Federal law gives you the right to limit only N only: ▪ sharing for affiliates’ ' everyday business purposes—purposes –information about your creditworthiness N creditworthiness. ▪ affiliates from using your information to market to you N you. ▪ sharing for nonaffiliates non-affiliates to market to you you. State laws and individual companies may give you additional rights to limit sharing. Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies. N Our affiliates include companies with a Xxxxxx Xxxxxx & Xxxxxx name. Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial companies. N Nonaffiliates we share with can include shareholder servicing and stock transfer agent companies. Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you. N Xxxxxx Xxxxxx & Xxxxxx Funds doesn’t jointly market.

CUSTODIAN ACCEPTANCE. First National Bank of Omaha Constellation Trust Company will accept appointment as Custodian of the Owner’s Account. However, this Agreement is not binding upon the Custodian until the Owner has received a statement confirming the initial transaction for the Account. Receipt by the Owner of a confirmation of the purchase of the Fund Eventide Mutual Funds shares indicated above will serve as notification of First National Bank of OmahaConstellation Trust Company’s acceptance of appointment as Custodian of the Owner’s Account. T O C ONT A C T U S: By Telephone‌‌ Telephone Toll-free: free (000-) 000-0000 Fax: 0-000-000-0000 In Writing Eventide Funds PO Box 46707 Cincinnati541150 Omaha, OH 45246 NE 68154 or Via Overnight Delivery 000 Xxxxxxxx XxMail 0000 X. 000xx Xxxxxx, Xxxxx 000 CincinnatiElkhorn, OH 45246 NE 68022 Online W W W .E VENTIDEF UND S . C OM Distributed by Ultimus Fund Northern Lights Distributors, LLC FACTS WHAT DOES XXXXXX XXXXXX & XXXXXX FUNDS MUTUAL FUND SERIES TRUST DO WITH YOUR PERSONAL INFORMATION? WHYWhy? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some some, but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. WHATWhat? The types of personal information we collect and share depend depends on the product or service that you have with us. This information can include: n ෻ Social Security number and Checking Account Information n Account Balances wire transfer instructions ෻ account transactions and Investment Experience n Transaction History transaction history ෻ investment experience and Wire Transfer Instructions purchase history When you are no longer our customer, we continue to share your information as described in this notice. HOWHow? All financial companies need to share customer’s customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s customers’ personal information; the reasons Xxxxxx Xxxxxx & Xxxxxx Funds Mutual Fund Series Trust chooses to share; and whether you can limit this sharing. REASONS WE CAN SHARE YOUR PERSONAL INFORMATION DOES XXXXXX XXXXXX & XXXXXX FUNDS SHAREReasons we can share your personal information: Does Mutual Fund Series Trust share information? CAN YOU LIMIT THIS SHARINGCan you limit this sharing? For our everyday business purposes— purposes – such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No bureaus. YES NO For our marketing purposes— purposes – to offer our products and services to you Yes No you. NO We don’t share For joint marketing with other financial companies No N/A companies. NO We don’t share For our affiliates’ everyday business purposes— purposes – information about your transactions and experiences Yes No records. NO We don’t share For our affiliates’ everyday business purposes— purposes – information about your creditworthiness No N/A credit worthiness. NO We don’t share For nonaffiliates our affiliates to market to you No N/A QUESTIONS? Call (000) 000NO We don’t share For non-0000 or go affiliates to xxx.xxxxxxxx.xxx Who is providing this notice? Xxxxxx Xxxxxx & Xxxxxx Funds WHAT WE DO market to you NO We don’t share What we do How does Xxxxxx Xxxxxx & Xxxxxx Funds Mutual Fund Series Trust protect my personal information? How does Mutual Fund Series Trust collect my personal information? To protect your personal information from unauthorized access and use, we usesecurity use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. How does Xxxxxx Xxxxxx & Xxxxxx Funds collect my Our service providers are held accountable for adhering to strict policies and procedures to prevent any misuse of your nonpublic personal information? . We collect your personal information, for example, when you N Open ෻ open an account or Provide account information N Direct deposit money ෻ direct us to buy securities or Direct direct us to sell your securities N Give us ෻ seek advice about your contact investments We also collect your personal information from others, such as credit bureaus, affiliates, or other companies. Why can’t I limit all sharing? Federal law gives you the right to limit only N only: ෻ sharing for affiliates’ everyday business purposes—purposes – information about your creditworthiness N creditworthiness. ෻ affiliates from using your information to market to you N you. ෻ sharing for nonaffiliates to market to you you. State laws and individual companies may give you additional rights to limit sharing. Affiliates Companies related by common ownership or control. They can be financial and nonfinancial non-financial companies. N Our ෻ Mutual Fund Series Trust has no affiliates. Non-affiliates include companies with a Xxxxxx Xxxxxx & Xxxxxx name. Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial non-financial companies. N Nonaffiliates we ෻ Mutual Fund Series Trust does not share with non- affiliates so they can include shareholder servicing and stock transfer agent companiesmarket to you. Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you. N Xxxxxx Xxxxxx & Xxxxxx Funds doesn’t ෻ Mutual Fund Series Trust does not jointly market.. Questions? Call 0-000-000-0000

CUSTODIAN ACCEPTANCE. First National Bank of Omaha Constellation Trust Company will accept appointment as Custodian of the Owner’s Account. However, this Agreement is not binding upon the Custodian until the Owner has received a statement confirming the initial transaction for the Account. Receipt by the Owner of a confirmation of the purchase of the Fund shares indicated above will serve as notification of First National Bank of OmahaConstellation Trust Company’s acceptance of appointment as Custodian of the Owner’s Account. By Telephone‌‌ Telephone In Writing Internet Toll-free: free (000-) 000-0000 Fax: 0-000-000-0000 PO Box 46707 CincinnatiLEADER FUNDS xxx.xxxxxxxxxxxxx.xxx c/o Gemini Fund Services, OH 45246 or LLC P O BOX 541150 Omaha, NE 68154 Via Overnight Delivery 000 Xxxxxxxx Xx00000 Xxxxxx Xxxxxx, Xxxxx 000 CincinnatiSuite 2 Omaha, OH 45246 NE 68130 Distributed by Ultimus Fund DistributorsCeros Financial Services, LLC FACTS WHAT DOES XXXXXX XXXXXX & XXXXXX FUNDS DO WITH YOUR PERSONAL INFORMATION? WHYInc. LEADER FUNDSTRUST Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some some, but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. WHATWhat? The types of personal information we collect and share depend depends on the product or service that you have with us. This information can include: n • Social Security number and Checking Account Information n Account Balances wire transfer instructions • account transactions and Investment Experience n Transaction History transaction history • investment experience and Wire Transfer Instructions purchase history When you are no longer our customer, we continue to share your information as described in this notice. HOWHow? All financial companies need to share customer’s customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s customers’ personal information; the reasons Xxxxxx Xxxxxx & Xxxxxx Leader Funds Trust chooses to share; and whether you can limit this sharing. REASONS WE CAN SHARE YOUR PERSONAL INFORMATION DOES XXXXXX XXXXXX & XXXXXX FUNDS SHARE? CAN YOU LIMIT THIS SHARING? For our everyday business purposes— such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our marketing purposes— to offer our products and services to you Yes No For joint marketing with other financial companies No N/A For our affiliates’ everyday business purposes— purposes - information about your transactions and experiences Yes No records. NO We don’t share For our affiliates’ everyday business purposes— purposes - information about your creditworthiness No N/A For nonaffiliates to market to you No N/A QUESTIONS? Call (000) 000-0000 or go to xxx.xxxxxxxx.xxx Who is providing this notice? Xxxxxx Xxxxxx & Xxxxxx Funds WHAT WE DO credit worthiness. NO We don’t share How does Xxxxxx Xxxxxx & Xxxxxx Leader Funds Trust protect my personal information? To protect your personal information from unauthorized access and use, we usesecurity use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. Our service providers are held accountable for adhering to strict policies and procedures to prevent any misuse of your nonpublic personal information. How does Xxxxxx Xxxxxx & Xxxxxx Leader Funds Trust collect my personal information? We collect your personal information, for example, when you N Open • open an account or Provide account information N Direct deposit money • direct us to buy securities or Direct direct us to sell your securities N Give us • seek advice about your contact investments We also collect your personal information from others, such as credit bureaus, affiliates, or other companies. Why can’t I limit all sharing? Federal law gives you the right to limit only N only: • sharing for affiliates’ everyday business purposes—purposes – information about your creditworthiness N creditworthiness. • affiliates from using your information to market to you N you. • sharing for nonaffiliates to market to you you. State laws and individual companies may give you additional rights to limit sharing. Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies. N Our affiliates include companies • Leader Funds Trust does not share with a Xxxxxx Xxxxxx & Xxxxxx nameour affiliates. Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial companies. N Nonaffiliates we • Leader Funds Trust does not share with nonaffiliates so they can include shareholder servicing and stock transfer agent companiesmarket to you. Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you. N Xxxxxx Xxxxxx & Xxxxxx • Leader Funds Trust doesn’t jointly market. Leader Short Duration Bond Fund Leader Total Return Fund Leader Floating Rate Fund Advisor Leader Capital Corp. 000 X. Xxxx Xxxxx Xxxx., Xxxxx 000 Xxxxxxxxx, XX 00000 Distributor Ceros Financials Services, Inc. 0000 Xxxxxxxx Xxxxxxxxx, Xxxxx 000 Xxxxxxxxx, XX 00000 Legal Counsel Practus, LLP 00000 Xxxxxxxx Xxxxx Xxxxxxx, Xxxxx 000 Xxxxxxx, XX 00000 Transfer Agent Gemini Fund Services, LLC 00000 Xxxxxx Xxxxxx, Suite 2 Omaha, NE 68130 Custodian Fifth Third Bank 00 Xxxxxxxx Xxxxxx Xxxxx Xxxxxxxxxx, XX 00000 Independent Registered Public Accounting Firm BBD, LLP 0000 Xxxxxx Xxxxxx, 0xx XXX Xxxxxxxxxxxx, XX 00000 Additional information about the Funds is included in the Funds’ Statement of Additional Information dated July 15, 2019 (the “SAI”). The SAI is incorporated into this Prospectus by reference (i.e., legally made a part of this Prospectus). The SAI provides more details about the Funds’ policies and management. Additional information about the Funds’ investments will be available in the Funds’ Annual and Semi-Annual Reports to Shareholders. In the Funds’ Annual Report, you will find a discussion of the market conditions and investment strategies that significantly affected the Funds’ performance during its most recent fiscal year. To obtain a free copy of the SAI and the Annual and Semi-Annual Reports to Shareholders (when available), or other information about the Funds, or to make shareholder inquiries about the Funds, please call 0-000-000-0000 or visit xxx.xxxxxxxxxxxxx.xxx. You may also write to:

CUSTODIAN ACCEPTANCE. First National Bank of Omaha will accept appointment as Custodian of the Owner’s Account. However, this Agreement is not binding upon the Custodian until the Owner has received a statement confirming the initial transaction for the Account. Receipt by the Owner of a confirmation of the purchase of the Fund shares indicated above will serve as notification of First National Bank of Omaha’s acceptance of appointment as Custodian of the Owner’s Account. By Telephone‌‌ Toll-free: 000-000-0000 (000-0XXXXXX) Fax: 0-000-000-0000 In Writing Sphere Funds PO Box 46707 Cincinnati, OH 45246 or Via Overnight Delivery 000 Xxxxxxxx Xx, Xxxxx 000 Cincinnati, OH 45246 Distributed by Ultimus Fund Distributors, LLC FACTS WHAT DOES XXXXXX XXXXXX & XXXXXX FUNDS DO WITH YOUR PERSONAL INFORMATION? WHYWhy? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some some, but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. WHATWhat? The types of personal information we collect and share depend depends on the product or service that you have with us. This information can include: n • Social Security number and Checking Account Information n Account Balances wire transfer instructions • account transactions and Investment Experience n Transaction History transaction history • investment experience and Wire Transfer Instructions purchase history When you are no longer our customer, we continue to share your information as described in this notice. HOW? All financial companies need to share customer’s customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s customers’ personal information; the reasons Xxxxxx Xxxxxx & Xxxxxx Funds the Fund chooses to share; and whether you can limit this sharing. REASONS WE CAN SHARE YOUR PERSONAL INFORMATION DOES XXXXXX XXXXXX & XXXXXX FUNDS SHARE? CAN YOU LIMIT THIS SHARING? For our everyday business purposes— such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our marketing purposes— to offer our products and services to you Yes No For joint marketing with other financial companies No N/A For our affiliates’ everyday business purposes— information about your transactions and experiences Yes No For our affiliates’ everyday business purposes— information about your creditworthiness No N/A For nonaffiliates to market to you No N/A QUESTIONS? Call (000) 000-0000 or go to xxx.xxxxxxxx.xxx Who we are: Who is providing this notice? Xxxxxx Xxxxxx & Xxxxxx Funds WHAT WE DO Sphere 500 Climate Fund Ultimus Fund Distributors, LLC (Distributor) Ultimus Fund Solutions, LLC (Administrator and Transfer Agent) What we do: How does Xxxxxx Xxxxxx & Xxxxxx Funds the Fund protect my personal information? To protect your personal information from unauthorized access and use, we usesecurity use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. Our service providers are held accountable for adhering to strict policies and procedures to prevent any misuse of your nonpublic personal information. How does Xxxxxx Xxxxxx & Xxxxxx Funds the Fund collect my personal information? We collect your personal information, for example, when you N Open • open an account or Provide account information N Direct deposit money • direct us to buy securities or Direct direct us to sell your securities N Give us • seek advice about your contact investments We also collect your personal information from others, such as credit bureaus, affiliates, or other companies. Why can’t I limit all sharing? Federal law gives you the right to limit only N only: • sharing for affiliates’ everyday business purposes—purposes – information about your creditworthiness N creditworthiness. • affiliates from using your information to market to you N you. • sharing for nonaffiliates to market to you you. State laws and individual companies may give you additional rights to limit sharing. Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies. N Our affiliates include companies • Reflection Asset Management, LLC, the investment adviser to the Fund, could be deemed to be an affiliate. • The Fund does not share with a Xxxxxx Xxxxxx & Xxxxxx nameaffiliates. Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial companies. N Nonaffiliates we • The Fund does not share with nonaffiliates so they can include shareholder servicing and stock transfer agent companiesmarket to you. Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you. N Xxxxxx Xxxxxx & Xxxxxx Funds • The Fund doesn’t jointly market. Please complete this form only if you are transferring assets directly to a new or existing Sphere Funds IRA, converting from a Traditional IRA to a Xxxx XXX, transferring from an existing Xxxx XXX, rolling over a Xxxx XXX, or you are requesting a direct rollover from an employer sponsored plan. Please complete a separate form for each IRA you wish to transfer or for each qualified plan you are directly rolling over. If you are establishing a new Sphere Funds IRA, this form must be preceded or accompanied by a completed Individual Retirement Custodial Account Adoption Agreement. Transfers may take 3 to 5 weeks to complete after your paperwork is received in good order.

CUSTODIAN ACCEPTANCE. First National Bank of Omaha will accept appointment as Custodian of the Owner’s Account. However, this Agreement is not binding upon the Custodian until the Owner has received a statement confirming the initial transaction for the Account. Receipt by the Owner of a confirmation of the purchase of the Fund shares indicated above will serve as notification of First National Bank of Omaha’s acceptance of appointment as Custodian of the Owner’s Account. By Telephone‌‌ Toll-free: 0000-000-0000 XXXXXXX Fax: 0-000-000-0000 In Writing USA Mutuals PO Box 46707 Cincinnati541150 Omaha, OH 45246 NE 68154 or Via Overnight Delivery 000 Xxxxxxxx 0000 X 000xx Xx, Xxxxx 000 CincinnatiElkhorn, OH 45246 NE 68022 Distributed by Ultimus Fund Northern Lights Distributors, LLC FACTS WHAT DOES XXXXXX XXXXXX & XXXXXX FUNDS DO WITH YOUR PERSONAL INFORMATION? WHY? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some some, but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. WHAT? The types of personal information we collect and share depend depends on the product or service that you have with us. This information can include: n • Social Security number and Checking Account Information n Account Balances wire transfer instructions • account transactions and Investment Experience n Transaction History transaction history • investment experience and Wire Transfer Instructions purchase history When you are no longer our customer, we continue to share your information as described in this notice. HOW? All financial companies need to share customer’s customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s customers’ personal information; the reasons Xxxxxx Xxxxxx & Xxxxxx Funds Northern Lights Fund Trust IV chooses to share; and whether you can limit this sharing. REASONS WE CAN SHARE YOUR PERSONAL INFORMATION DOES XXXXXX XXXXXX & XXXXXX FUNDS SHARE? CAN YOU LIMIT THIS SHARING? For our everyday business purposes— purposes - such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No bureaus. YES NO For our marketing purposes— purposes - to offer our products and services to you Yes No For joint marketing with other financial companies No N/A you. NO We don’t share For our affiliates’ everyday business purposes— purposes - information about your transactions and experiences Yes No records. NO We don’t share For our affiliates’ everyday business purposes— purposes - information about your creditworthiness No N/A For nonaffiliates to market to you No N/A QUESTIONS? Call (000) 000-0000 or go to xxx.xxxxxxxx.xxx Who is providing this notice? Xxxxxx Xxxxxx & Xxxxxx Funds WHAT WE DO credit worthiness. NO We don’t share What we do: How does Xxxxxx Xxxxxx & Xxxxxx Funds Northern Lights Fund Trust IV protect my personal information? To protect your personal information from unauthorized access and use, we usesecurity use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. Our service providers are held accountable for adhering to strict policies and procedures to prevent any misuse of your nonpublic personal information. How does Xxxxxx Xxxxxx & Xxxxxx Funds Northern Lights Fund Trust IV collect my personal information? We collect your personal information, for example, when you N Open • open an account or Provide account information N Direct deposit money • direct us to buy securities or Direct direct us to sell your securities N Give us • seek advice about your contact investments We also collect your personal information from others, such as credit bureaus, affiliates, or other companies. Why can’t I limit all sharing? Federal law gives you the right to limit only N only: • sharing for affiliates’ everyday business purposes—purposes – information about your creditworthiness N creditworthiness. • affiliates from using your information to market to you N you. • sharing for nonaffiliates to market to you you. State laws and individual companies may give you additional rights to limit sharing. Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies. N Our affiliates include companies with a Xxxxxx Xxxxxx & Xxxxxx name• Northern Lights Fund Trust IV has no affiliates. Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial companies. N Nonaffiliates we • Northern Lights Fund Trust IV does not share with nonaffiliates so they can include shareholder servicing and stock transfer agent companiesmarket to you. Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you. N Xxxxxx Xxxxxx & Xxxxxx Funds doesn’t • Northern Lights Fund Trust IV does not jointly market.

CUSTODIAN ACCEPTANCE. First National Bank of Omaha will accept appointment as Custodian of the Owner’s Account. However, this Agreement is not binding upon the Custodian until the Owner has received a statement confirming the initial transaction for the Account. Receipt by the Owner of a confirmation of the purchase of the Fund shares indicated above will serve as notification of First National Bank of Omaha’s acceptance of appointment as Custodian of the Owner’s Account. By Telephone‌‌ Toll-free: (000-) 000-0000 Fax: 0-000-000-0000 In Writing XXXX Funds PO Box 46707 Cincinnati541150 Omaha, OH 45246 NE 68154 or Via Overnight Delivery 000 Xxxxxxxx 0000 X 000xx Xx, Xxxxx 000 CincinnatiElkhorn, OH 45246 NE 68022 Distributed by Ultimus Fund Distributors, LLC FACTS WHAT DOES XXXXXX XXXXXX & XXXXXX FUNDS DO WITH YOUR PERSONAL INFORMATION? WHYWhy? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. WHATWhat? The types of personal information we collect and share depend on the product or service you have with us. This information can include: n ▪ Social Security number and ▪ Assets ▪ Retirement Assets ▪ Transaction History ▪ Checking Account Information n ▪ Purchase History ▪ Account Balances and Investment Experience n Transaction History and ▪ Account Transactions ▪ Wire Transfer Instructions When you are no longer our customer, we continue to share your information as described in this notice. HOWHow? All financial companies need to share customer’s your personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s customers’ personal information; the reasons Xxxxxx Xxxxxx & Xxxxxx the Funds chooses choose to share; and whether you can limit this sharing. REASONS WE CAN SHARE YOUR PERSONAL INFORMATION DOES XXXXXX XXXXXX & XXXXXX FUNDS SHAREReasons we can share your personal information Do the Funds share? CAN YOU LIMIT THIS SHARINGCan you limit this sharing? For our everyday business purposes— such purposes – Such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our marketing purposes— purposes – to offer our products and services to you Yes No We don’t share For joint marketing with other financial companies No N/A We don’t share For our affiliates’ everyday business purposes— purposes – information about your transactions and experiences Yes No We don’t share For our affiliates’ everyday business purposes— purposes – information about your creditworthiness No N/A We don’t share For nonaffiliates non-affiliates to market to you No N/A QUESTIONSWe don’t share Questions? Call (0-000) -000-0000 or go to xxx.xxxxxxxx.xxx Who is providing this notice? Xxxxxx Xxxxxx & Xxxxxx XXXX Funds WHAT WE DO XXXX Investment Management, LLC (Administrator) Ultimus Fund Solutions, LLC (Sub-Administrator) Ultimus Fund Distributors, LLC (Distributor) How does Xxxxxx Xxxxxx & Xxxxxx do the Funds protect my personal information? To protect your personal information from unauthorized access and use, we usesecurity use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. Our service providers are held accountable for adhering to strict policies and procedures to prevent any misuse of your nonpublic personal information. How does Xxxxxx Xxxxxx & Xxxxxx do the Funds collect my personal information? We collect your personal information, for example, when you N ▪ Open an account or ▪ Provide account information N Direct us to buy securities or Direct us to sell securities N ▪ Give us your contact information ▪ Make deposits or withdrawals from your account ▪ Make a wire transfer ▪ Tell us where to send the money ▪ Tell us who receives the money ▪ Show your government-issued ID ▪ Show your driver’s license We also collect your personal information from other companies. Why can’t I limit all sharing? Federal law gives you the right to limit only N sharing ▪ Sharing for affiliates’ everyday business purposes—purposes – information about your creditworthiness N affiliates ▪ Affiliates from using your information to market to you N sharing ▪ Sharing for nonaffiliates non-affiliates to market to you State laws and individual companies may give you additional rights to limit sharing. Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies. N Our affiliates include companies with a Xxxxxx Xxxxxx & Xxxxxx name. Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial companies. N Nonaffiliates we share with can include shareholder servicing and stock transfer agent companies. Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you. N Xxxxxx Xxxxxx & Xxxxxx Funds doesn’t jointly market.

CUSTODIAN ACCEPTANCE. First National Bank of Omaha Constellation Trust Company will accept appointment as Custodian of the Owner’s Account. However, this Agreement is not binding upon the Custodian until the Owner has received a statement confirming the initial transaction for the Account. Receipt by the Owner of a confirmation of the purchase of the Fund shares indicated above will serve as notification of First National Bank of OmahaConstellation Trust Company’s acceptance of appointment as Custodian of the Owner’s Account. By Telephone‌‌ Toll-free: (000-) 000-0000 Fax: 0-000-000-0000 In Writing Pinnacle Funds PO Box 46707 Cincinnati541150 Omaha, OH 45246 NE 68154 or Via Overnight Delivery 000 Xxxxxxxx 0000 X 000xx Xx, Xxxxx 000 CincinnatiElkhorn, OH 45246 NE 68022 Distributed by Ultimus Fund Northern Lights Distributors, LLC FACTS WHAT DOES XXXXXX XXXXXX & XXXXXX FUNDS DO WITH YOUR PERSONAL INFORMATION? WHYWhy? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. WHATWhat? The types of personal information we collect and share depend on the product or service you have with us. This information can include: n ▪ Social Security number and ▪ Purchase History ▪ Assets ▪ Account Balances ▪ Retirement Assets ▪ Account Transactions ▪ Transaction History ▪ Wire Transfer Instructions ▪ Checking Account Information n Account Balances and Investment Experience n Transaction History and Wire Transfer Instructions When you are no longer our customer, we continue to share your information as described in this notice. HOWHow? All financial companies need to share customer’s customers' personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s customers' personal information; the reasons Xxxxxx Xxxxxx & Xxxxxx Funds Northern Lights Fund Trust III chooses to share; and whether you can limit this sharing. REASONS WE CAN SHARE YOUR PERSONAL INFORMATION DOES XXXXXX XXXXXX & XXXXXX FUNDS SHAREReasons we can share your personal information Does Northern Lights Fund Trust III share? CAN YOU LIMIT THIS SHARINGCan you limit this sharing? For our everyday business purposes— purposes – such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our marketing purposes— purposes – to offer our products and services to you Yes No We don't share For joint marketing with other financial companies No N/A We don't share For our affiliates’ ' everyday business purposes— purposes – information about your transactions and experiences Yes No We don't share For our affiliates’ ' everyday business purposes— purposes – information about your creditworthiness No N/A We don't share For nonaffiliates to market to you No N/A QUESTIONSWe don't share Questions? Call (000) 000-0000 or go to xxx.xxxxxxxx.xxx Who is providing this notice? Xxxxxx Xxxxxx & Xxxxxx Funds WHAT WE DO Northern Lights Fund Trust III How does Xxxxxx Xxxxxx & Xxxxxx Funds protect my personal information? Northern To protect your personal information from unauthorized access and use, we usesecurity use Lights Fund Trust III security measures that comply with federal law. These measures include protect my personal computer safeguards and secured files and buildings. information? Our service providers are held accountable for adhering to strict policies and procedures to prevent any misuse of your nonpublic personal information. How does Xxxxxx Xxxxxx & Xxxxxx Funds collect my personal information? Northern We collect your personal information, for example, when you N Lights Fund Trust III ▪ Open an account or collect my personal ▪ Provide account information N Direct us to buy securities or Direct us to sell securities N information? ▪ Give us your contact information ▪ Make deposits or withdrawals from your account ▪ Make a wire transfer ▪ Tell us where to send the money ▪ Tells us who receives the money ▪ Show your government-issued ID ▪ Show your driver's license We also collect your personal information from other companies. Why can’t n't I limit all sharing? Federal law gives you the right to limit only N sharing ▪ Sharing for affiliates’ ' everyday business purposes—purposes – information about your creditworthiness N affiliates ▪ Affiliates from using your information to market to you N sharing ▪ Sharing for nonaffiliates to market to you State laws and individual companies may give you additional rights to limit sharing. Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies. N Our affiliates include companies ▪ Northern Lights Fund Trust III does not share with a Xxxxxx Xxxxxx & Xxxxxx nameour affiliates. Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial companies. N Nonaffiliates we companies ▪ Northern Lights Fund Trust III does not share with nonaffiliates so they can include shareholder servicing and stock transfer agent companiesmarket to you. Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you. N Xxxxxx Xxxxxx & Xxxxxx Funds ▪ Northern Lights Fund Trust III doesn’t jointly market.

CUSTODIAN ACCEPTANCE. First National Bank of Omaha Constellation Trust Company will accept appointment as Custodian of the Owner’s Account. However, this Agreement is not binding upon the Custodian until the Owner has received a statement confirming the initial transaction for the Account. Receipt by the Owner of a confirmation of the purchase of the Fund Eventide Mutual Funds shares indicated above will serve as notification of First National Bank of OmahaConstellation Trust Company’s acceptance of appointment as Custodian of the Owner’s Account. T O C ONT A C T U S: By Telephone‌‌ Telephone Toll-free: free (000-) 000-0000 Fax: 0-000-000-0000 In Writing Eventide Funds PO Box 46707 Cincinnati541150 Omaha, OH 45246 NE 68154 or Via Overnight Delivery 000 Xxxxxxxx XxMail 0000 X. 000xx Xxxxxx, Xxxxx 000 CincinnatiElkhorn, OH 45246 NE 68022 Online W W W .E VENTIDEF UND S . C OM Distributed by Ultimus Fund Northern Lights Distributors, LLC FACTS WHAT DOES XXXXXX XXXXXX & XXXXXX FUNDS MUTUAL FUND SERIES TRUST DO WITH YOUR PERSONAL INFORMATION? WHYWhy? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some some, but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. WHATWhat? The types of personal information we collect and share depend depends on the product or service that you have with us. This information can include: n ෻ Social Security number and Checking Account Information n Account Balances wire transfer instructions ෻ account transactions and Investment Experience n Transaction History transaction history ෻ investment experience and Wire Transfer Instructions purchase history When you are no longer our customer, we continue to share your information as described in this notice. HOWHow? All financial companies need to share customer’s customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s customers’ personal information; the reasons Xxxxxx Xxxxxx & Xxxxxx Funds Mutual Fund Series Trust chooses to share; and whether you can limit this sharing. REASONS WE CAN SHARE YOUR PERSONAL INFORMATION DOES XXXXXX XXXXXX & XXXXXX FUNDS SHAREReasons we can share your personal information: Does Mutual Fund Series Trust share information? CAN YOU LIMIT THIS SHARINGCan you limit this sharing? For our everyday business purposes— purposes – such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No bureaus. YES NO For our marketing purposes— purposes – to offer our products and services to you Yes No you. NO We don’t share For joint marketing with other financial companies No N/A companies. NO We don’t share For our affiliates’ everyday business purposes— purposes – information about your transactions and experiences Yes No records. NO We don’t share For our affiliates’ everyday business purposes— purposes – information about your creditworthiness No N/A credit worthiness. NO We don’t share For nonaffiliates our affiliates to market to you No N/A QUESTIONS? Call (000) 000NO We don’t share For non-0000 or go affiliates to xxx.xxxxxxxx.xxx Who is providing this notice? Xxxxxx Xxxxxx & Xxxxxx Funds WHAT WE DO market to you NO We don’t share What we do How does Xxxxxx Xxxxxx & Xxxxxx Funds Mutual Fund Series Trust protect my personal information? How does Mutual Fund Series Trust collect my personal information? To protect your personal information from unauthorized access and use, we usesecurity use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. How does Xxxxxx Xxxxxx & Xxxxxx Funds collect my Our service providers are held accountable for adhering to strict policies and procedures to prevent any misuse of your nonpublic personal information? . We collect your personal information, for example, when you N Open ෻ open an account or Provide account information N Direct deposit money ෻ direct us to buy securities or Direct direct us to sell your securities N Give us ෻ seek advice about your contact investments We also collect your personal information from others, such as credit bureaus, affiliates, or other companies. Why can’t I limit all sharing? Federal law gives you the right to limit only N only: ෻ sharing for affiliates’ everyday business purposes—purposes – information about your creditworthiness N creditworthiness. ෻ affiliates from using your information to market to you N you. ෻ sharing for nonaffiliates to market to you you. State laws and individual companies may give you additional rights to limit sharing. Affiliates Companies related by common ownership or control. They can be financial and nonfinancial non-financial companies. N Our ෻ Mutual Fund Series Trust has no affiliates. Non-affiliates include companies with a Xxxxxx Xxxxxx & Xxxxxx name. Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial non-financial companies. N Nonaffiliates we ෻ Mutual Fund Series Trust does not share with non- affiliates so they can include shareholder servicing and stock transfer agent companiesmarket to you. Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you. N Xxxxxx Xxxxxx & Xxxxxx Funds doesn’t ෻ Mutual Fund Series Trust does not jointly market. Questions? Call 0-000-000-0000 Form 5305‐SA under section 408(p) of the Internal Revenue Code. FORM (Rev. April 2017) The participant named on the application is establishing a savings incentive match plan for employees of small employers individual retirement account (SIMPLE IRA) under sections 408(a) and 408(p) to provide for his or her retirement and for the support of his or her beneficiaries after death. The custodian named on the application has given the participant the disclosure statement required by Regulations section 1.408‐6. The participant and the custodian make the following agreement: ARTICLE I The custodian will accept cash contributions made on behalf of the participant by the participant’s employer under the terms of a SIMPLE IRA plan described in section 408(p). In addition, the custodian will accept transfers or rollovers from other SIMPLE IRAs of the participant and, after the two‐year period of participation defined in section 72(t)(6), transfers or rollovers from any eligible retirement plan (as defined in section 402(c)(8)(B)) other than a Xxxx XXX or a designated Xxxx account. No other contributions will be accepted by the custodian. ARTICLE II The participant’s interest in the balance in the custodial account is nonforfeitable. 1. No part of the custodial account funds may be invested in life insurance contracts, nor may the assets of the custodial account be commingled with other property except in a common trust fund or common investment fund (within the meaning of section 408(a)(5)). 2. No part of the custodial account funds may be invested in collectibles (within the meaning of section 408(m)) except as otherwise permitted by section 408(m)(3), which provides an exception for certain gold, silver, and platinum coins, coins issued under the laws of any state, and certain bullion. 1. Notwithstanding any provision of this agreement to the contrary, the distribution of the participant’s interest in the custodial account shall be made in accordance with the following requirements and shall otherwise comply with section 408(a)(6) and the regulations thereunder, the provisions of which are herein incorporated by reference. 2. The participant’s entire interest in the custodial account must be, or begin to be, distributed not later than the participant’s required beginning date, April 1 following the calendar year in which the participant reaches age 70½. By that date, the participant may elect, in a manner acceptable to the custodian, to have the balance in the custodial account distributed in: (a) A single sum or (b) Payments over a period not longer than the life of the participant or the joint lives of the participant and his or her designated beneficiary. 3. If the participant dies before his or her entire interest is distributed to him or her, the remaining interest will be distributed as follows: (a) If the participant dies on or after the required beginning date and: (i) the designated beneficiary is the participant’s surviving spouse, the remaining interest will be distributed over the surviving spouse’s life expectancy as determined each year until such spouse’s death, or over the period in paragraph

CUSTODIAN ACCEPTANCE. First National Bank of Omaha will accept appointment as Custodian of the Owner’s Account. However, this Agreement is not binding upon the Custodian until the Owner has received a statement confirming the initial transaction for the Account. Receipt by the Owner of a confirmation of the purchase of the Fund shares indicated above will serve as notification of First National Bank of Omaha’s acceptance of appointment as Custodian of the Owner’s Account. By Telephone‌‌ Toll-free: 0-000-000-0000 Fax: 0-000-000-0000 In Writing Fort Pitt Funds PO Box 46707 Cincinnati, OH 45246 or Via Overnight Delivery 000 Xxxxxxxx Xx, Xxxxx 000 Cincinnati, OH 45246 Distributed by Ultimus Fund Distributors, LLC FACTS WHAT DOES XXXXXX XXXXXX & XXXXXX FUNDS DO WITH YOUR PERSONAL INFORMATION? WHYWhy? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some some, but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. WHATWhat? The types of personal information we collect and share depend depends on the product or service that you have with us. This information can include: n • Social Security number and Checking Account Information n Account Balances wire transfer instructions • account transactions and Investment Experience n Transaction History transaction history • investment experience and Wire Transfer Instructions purchase history When you are no longer our customer, we continue to share your information as described in this notice. HOW? All financial companies need to share customer’s customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s customers’ personal information; the reasons Xxxxxx Xxxxxx & Xxxxxx Funds the Fund chooses to share; and whether you can limit this sharing. REASONS WE CAN SHARE YOUR PERSONAL INFORMATION DOES XXXXXX XXXXXX & XXXXXX FUNDS SHARE? CAN YOU LIMIT THIS SHARING? For our everyday business purposes— such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our marketing purposes— to offer our products and services to you Yes No For joint marketing with other financial companies No N/A For our affiliates’ everyday business purposes— information about your transactions and experiences Yes No For our affiliates’ everyday business purposes— information about your creditworthiness No N/A For nonaffiliates to market to you No N/A QUESTIONS? Call (000) 000-0000 or go to xxx.xxxxxxxx.xxx Who we are: Who is providing this notice? Xxxxxx Xxxxxx & Xxxxxx Funds WHAT WE DO Fort Pitt Capital Total Return Fund Ultimus Fund Distributors, LLC (Distributor) Ultimus Fund Solutions, LLC (Administrator and Transfer Agent) What we do: How does Xxxxxx Xxxxxx & Xxxxxx Funds the Fund protect my personal information? To protect your personal information from unauthorized access and use, we usesecurity use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. Our service providers are held accountable for adhering to strict policies and procedures to prevent any misuse of your nonpublic personal information. How does Xxxxxx Xxxxxx & Xxxxxx Funds the Fund collect my personal information? We collect your personal information, for example, when you N Open • open an account or Provide account information N Direct deposit money • direct us to buy securities or Direct direct us to sell your securities N Give us • seek advice about your contact investments We also collect your personal information from others, such as credit bureaus, affiliates, or other companies. Why can’t I limit all sharing? Federal law gives you the right to limit only N only: • sharing for affiliates’ everyday business purposes—purposes – information about your creditworthiness N creditworthiness. • affiliates from using your information to market to you N you. • sharing for nonaffiliates to market to you you. State laws and individual companies may give you additional rights to limit sharing. Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies. N Our affiliates include companies • Fort Pitt Capital Group, LLC, the investment adviser to the Fund, could be deemed to be an affiliate. • The Fund does not share with a Xxxxxx Xxxxxx & Xxxxxx nameaffiliates. Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial companies. N Nonaffiliates we • The Fund does not share with nonaffiliates so they can include shareholder servicing and stock transfer agent companiesmarket to you. Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you. N Xxxxxx Xxxxxx & Xxxxxx Funds • The Fund doesn’t jointly market.