Nature of Duties. (a) NLD shall act as distributor of the Funds except that the rights given under this Agreement to NLD shall not apply to: (i) Shares issued in connection with the merger, consolidation or reorganization of any other investment company or series or class thereof with a Fund or class thereof; (ii) the Trust’s acquisition by purchase or otherwise of all or substantially all of the assets or stock of any other investment company or series or class thereof; (iii) the reinvestment in Shares by the Funds’ shareholders of dividends or other distributions; or (iv) any other offering by the Funds of securities to its shareholders (collectively "exempt transactions").
Appears in 74 contracts
Samples: Underwriting Agreement (Copeland Trust), Distribution Agreement (Princeton Private Investments Access Fund), Underwriting Agreement (Northern Lights Fund Trust Iii)
Nature of Duties. (a) NLD shall act as distributor of the Funds except that the rights given under this Agreement to NLD shall not apply to: (i) Shares issued in connection with the merger, consolidation or reorganization of any other investment company or series or class thereof with a Fund or class thereof; (ii) the Trust’s acquisition by purchase or otherwise of all or substantially all of the assets or stock of any other investment company or series or class thereof; (iii) the reinvestment in Shares by the Funds’ shareholders of dividends or other distributions; or (iv) any other offering by the Funds of securities to its shareholders (collectively "“exempt transactions"”).
Appears in 11 contracts
Samples: Underwriting Agreement (Boyar Value Fund Inc), Underwriting Agreement (Multi-Strategy Growth & Income Fund), Underwriting Agreement (Forethought Variable Insurance Trust)
Nature of Duties. (a) NLD shall act as distributor of the Funds except that the rights given under this Agreement to NLD shall not apply to: (i) Shares issued in connection with the merger, consolidation or reorganization of any other investment company or series or class thereof with a Fund or class thereof; (ii) the Trust’s acquisition by purchase or otherwise of all or substantially all of the assets or stock of any other investment company or series or class thereof; (iii) the reinvestment in Shares by the Funds’ shareholders of dividends or other distributions; or (iv) any other offering by the Funds a Fund of securities to its shareholders (collectively "exempt transactions").
Appears in 10 contracts
Samples: Underwriting Agreement (Miller Investment Trust), Underwriting Agreement (Miller Investment Trust), Underwriting Agreement (Total Income (Plus) Real Estate Fund)
Nature of Duties. (a) NLD shall act as distributor of the Funds except that the rights given under this Agreement to NLD shall not apply to: (i) Shares issued in connection with the merger, consolidation or reorganization of any other investment company or series or class thereof with a Fund or class thereof; (ii) the Trust’s acquisition by purchase or otherwise of all or substantially all of the assets or stock of any other investment company or series or class thereof; (iii) the reinvestment in Shares by the Funds’ shareholders of dividends or other distributions; or (iv) any other offering by the Funds of securities to its shareholders (collectively "exempt transactions"ʺexempt transactionsʺ).
Appears in 5 contracts
Samples: Underwriting Agreement (North Country Funds), Underwriting Agreement (Predex), Underwriting Agreement (Predex)
Nature of Duties. (a) NLD shall act as distributor of the Funds Fund except that the rights given under this Agreement to NLD shall not apply to: (i) Shares issued in connection with the merger, consolidation or reorganization of any other investment company or series or class thereof with a the Fund or class thereof; (ii) the TrustFund’s acquisition by purchase or otherwise of all or substantially all of the assets or stock of any other investment company or series or class thereof; (iii) the reinvestment in Shares by the Funds’ Fund’s shareholders of dividends or other distributions; or (iv) any other offering by the Funds Fund of securities to its shareholders (collectively "exempt transactions").
Appears in 2 contracts
Samples: Underwriting Agreement (Crow Point Global Dividend Plus Fund), Underwriting Agreement (Forefront Income Trust)
Nature of Duties. (a) NLD shall act as distributor of the Funds except that the rights given under this Agreement to NLD shall not apply to: (i) Shares issued in connection with the merger, consolidation or reorganization of any other investment company or series or class thereof with a Fund or class thereof; (ii) the Trust’s acquisition by purchase or otherwise of all or substantially all of the assets or stock of any other investment company or series or class thereof; (iii) the reinvestment in Shares by the Funds’ shareholders of dividends or other distributions; or (iv) any other offering by the Funds a Fund of securities to its shareholders (collectively "exempt transactions"ʺexempt transactionsʺ).
Appears in 2 contracts
Samples: Underwriting Agreement (Two Roads Shared Trust), Underwriting Agreement (Two Roads Shared Trust)
Nature of Duties. (a) NLD shall act as distributor of the Funds except that the rights given under this Agreement to NLD shall not apply to: (i) Shares issued in connection with the merger, consolidation or reorganization of any other investment company or series or class thereof with a Fund or class thereof; (ii) the Trust’s acquisition by purchase or otherwise of all or substantially all of the assets or stock of any other investment company or series or class thereof; (iii) the reinvestment in Shares by the Funds’ shareholders of dividends or other distributions; or (iv) any other offering by the Funds of securities to its shareholders (collectively "exempt transactions")shareholders.
Appears in 1 contract
Nature of Duties. (a) NLD shall act as distributor of the Funds except that the rights given under this Agreement to NLD shall not apply to: (i) Shares issued in connection with the merger, consolidation or reorganization of any other investment company or series or class thereof with a Fund or class thereof; (ii) the Trust’s 's acquisition by purchase or otherwise of all or substantially all of the assets or stock of any other investment company or series or class thereof; (iii) the reinvestment in Shares by the Funds’ ' shareholders of dividends or other distributions; or (iv) any other offering by the Funds a Fund of securities to its shareholders (collectively "exempt transactions").
Appears in 1 contract
Samples: Underwriting Agreement (Total Income (Plus) Real Estate Fund)
Nature of Duties. (a) NLD a)NLD shall act as distributor of the Funds except that the rights given under this Agreement to NLD shall not apply to: (i) Shares issued in connection with the merger, consolidation or reorganization of any other investment company or series or class thereof with a Fund or class thereof; (ii) the Trust’s acquisition by purchase or otherwise of all or substantially all of the assets or stock of any other investment company or series or class thereof; (iii) the reinvestment in Shares by the Funds’ shareholders of dividends or other distributions; or (iv) any other offering by the Funds of securities to its shareholders (collectively "“exempt transactions"”).
Appears in 1 contract
Samples: Underwriting Agreement (Forethought Variable Insurance Trust)
