Neiman Funds Sample Contracts

MANAGEMENT AGREEMENT
Management Agreement • July 26th, 2007 • Neiman Funds • Ohio

The Trust has been organized to engage in the business of an investment company. The Trust currently offers three series of shares to investors, one called the Neiman Fusion Fund (the “Fund”).

AutoNDA by SimpleDocs
UNDERWRITING AGREEMENT
Underwriting Agreement • July 28th, 2015 • Neiman Funds • Nebraska

THIS UNDERWRITING AGREEMENT effective the 30th day of April, 2015, by and between NEIMAN FUNDS, an Ohio statutory trust, having its principal office and place of business at 6631 Main Street, Williamsville, New York 14221 (the “Trust”), and NORTHERN LIGHTS DISTRIBUTORS, LLC, a Nebraska limited liability company having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“NLD”).

ACCOUNTING SERVICES AGREEMENT
Accounting Services Agreement • March 28th, 2003 • Neiman Funds • Ohio

THIS AGREEMENT is made and entered into this 18 day of March, 2003, by and between the Neiman Funds (the “Trust”), an Ohio business trust having its principal place of business at 7777 Fay Avenue, Suite F, La Jolla, CA 92037 and Mutual Shareholder Services, LLC, a Delaware Limited Liability Company (“MSS”).

AGREEMENT AND DECLARATION OF TRUST
Agreement and Declaration of Trust • January 30th, 2003 • Neiman Funds • Ohio

AGREEMENT AND DECLARATION OF TRUST made this 3rd day of January 2003, by the Trustees hereunder, and by the holders of Shares of beneficial interest to be issued hereunder as hereinafter provided.

CUSTODY AGREEMENT BETWEEN US BANK, N.A. AND
Custody Agreement • March 28th, 2003 • Neiman Funds • Ohio

This agreement (the "Agreement") is entered into as of the 18 day of March, 2003, by and between NEIMAN FUNDS, an Ohio business trust (the "Trust") and US Bank, National Association, (the "Custodian"), a national banking association having its principal office at 425 Walnut Street, Cincinnati, Ohio, 45202.

TRI-PARTY AGREEMENT FOR DISTRIBUTION SERVICES
Tri-Party Agreement for Distribution Services • January 29th, 2021 • Neiman Funds • New York

THIS AGREEMENT is made as of January 7, 2021, between Neiman Funds (the “Trust” and/or Investment Company ”IC”, or “Fund”), a Ohio business Trust/IC, AC Funds, LLC, the Registered Investment Advisor (the “RIA”) a Delaware limited liability company, and Arbor Court Capital (“ACC”), a limited liability company organized and existing under the laws of the State of Ohio.

MANAGEMENT AGREEMENT
Management Agreement • March 28th, 2003 • Neiman Funds • California

The Trust has been organized to engage in the business of an investment company. The Trust currently offers one series of shares to investors, called the Neiman Enhanced Dividend Fund (the “Fund”).

FUND ADMINISTRATION SERVICING AGREEMENT
Fund Administration Servicing Agreement • March 28th, 2003 • Neiman Funds • California

THIS AGREEMENT is made and entered into as of March 18 , 2003, by and among Neiman Funds, an Ohio business trust (hereinafter referred to as the "Trust") and Premier Fund Solutions, Inc., a corporation organized under the laws of the State of California (hereinafter referred to as "PFS").

NEIMAN FUNDS
Neiman Funds • January 30th, 2003
INVESTMENT SUB-ADVISORY AGREEMENT NEIMAN FUNDS
Sub-Advisory Agreement • July 26th, 2007 • Neiman Funds • Ohio

THIS AGREEMENT is made as of December 27, 2006, by and between NEIMAN CAPITAL MANAGEMENT, LLC (the "Adviser"), WESPAC ADVISORS, LLC (the "Sub-Adviser"), and NEIMAN FUNDS, an Ohio business trust (the "Trust"), on behalf of the series of the Trust now or hereafter identified on Schedule A (each a "Fund" and collectively, the "Funds").

DISTRIBUTION AGREEMENT
Distribution Agreement • July 6th, 2010 • Neiman Funds • New York

THIS AGREEMENT is made as of July 1, 2010, between Neiman Funds (“Fund”), an Ohio business trust, and Rafferty Capital Markets, LLC, (“RCM”), a corporation organized and existing under the laws of the State of New York.

INVESTMENT SUB-ADVISORY AGREEMENT NEIMAN FUNDS
Investment Sub-Advisory Agreement • January 29th, 2021 • Neiman Funds • Ohio

THIS AGREEMENT is made as of January 7, 2021, by and between AC Funds, LLC (the "Adviser") and Advisors Capital Management, LLC (the "Sub-Adviser”), on behalf of those series of Neiman Funds (the “Trust”), an Ohio business trust, now or hereafter identified on Schedule A (each a "Fund" and collectively, the "Funds").

MANAGEMENT AGREEMENT
Management Agreement • January 29th, 2021 • Neiman Funds • New York

The Trust has been organized to engage in the business of an investment company. The Trust currently offers multiple series of shares to investors, that include, shares of the Advisors Capital US Dividend Fund, Advisors Capital Small/Mid Cap Fund, Advisors Capital Tactical Fixed Income Fund (each a “Fund” and together the “Funds”).

MANAGEMENT AGREEMENT
Management Agreement • March 31st, 2016 • Neiman Funds • California

The Trust has been organized to engage in the business of an investment company. The Trust currently offers multiple series of shares to investors, including shares of the Neiman Opportunities Fund (the “Fund”).

INVESTMENT SUB-ADVISORY AGREEMENT NEIMAN FUNDS
Investment Sub-Advisory Agreement Neiman Funds • July 29th, 2014 • Neiman Funds • Ohio

THIS AGREEMENT is made as of December 10, 2013, by and between Neiman Funds Management LLC (the "Adviser") and Absolute Capital Management, LLC (the "Sub-Adviser”), on behalf of those series of Neiman Funds (the “Trust”), an Ohio business trust, now or hereafter identified on Schedule A (each a "Fund" and collectively, the "Funds").

Letter Agreement
Letter Agreement • July 29th, 2019 • Neiman Funds

You have engaged us to act as the sole investment advisor to the Neiman Large Cap Value Fund (the “Fund”), pursuant to a Management Agreement dated April 1, 2019. Effective August 1, 2019, we hereby contractually agree to waive management fees and reimburse expenses to the extent necessary to maintain total annual operating expenses of the Fund (excluding brokerage fees and commissions, interest and other borrowing expenses, taxes, indirect expenses (such as expenses of other investment companies in which the Fund invests) and extraordinary expenses) at an amount not to exceed 1.45% of its average daily net assets for No-Load Class and at an amount not to exceed 1.45% of its average daily net assets for Class A Shares through July 31, 2020.

ADMINISTRATIVE SERVICE CONSULTANT AGREEMENT
Administrative Service Consultant Agreement • January 29th, 2021 • Neiman Funds • New York

Agreement dated as of January 7, 2021 between Neiman Funds (the “Trust”), an Ohio business trust (herein referred to as the "Trust"), and Neiman Funds Management, LLC, a Wyoming limited liability company ("NFM"), and AC Funds, LLC, a Delaware limited liability company (the “Advisor”).

Letter Agreement
Letter Agreement • July 29th, 2021 • Neiman Funds

You have engaged us to act as the sole investment advisor to the Neiman Large Cap Value Fund (the “Fund”), pursuant to a Management Agreement dated April 1, 2019. Effective August 1, 2021, we hereby contractually agree to waive management fees and reimburse expenses to the extent necessary to maintain total annual operating expenses of the Fund (excluding brokerage fees and commissions, interest and other borrowing expenses, taxes, indirect expenses (such as expenses of other investment companies in which the Fund invests) and extraordinary expenses) at an amount not to exceed 1.45% of its average daily net assets for No-Load Class and at an amount not to exceed 1.45% of its average daily net assets for Class A Shares through July 31, 2022.

MANAGEMENT AGREEMENT
Management Agreement • July 6th, 2010 • Neiman Funds • California

The Trust has been organized to engage in the business of an investment company. The Trust currently offers one series of shares to investors, called the Neiman Balanced Allocation Fund (the “Fund”).

UNDERWRITING AGREEMENT Schedule A
Underwriting Agreement • March 31st, 2016 • Neiman Funds

This Fee Schedule is part of the Underwriting Agreement (the “Agreement”) effective April 30, 2015 by and between Neiman Funds and Northern Lights Distributors, LLC. This Fee Schedule replaces any existing fee schedule with respect to the Fund(s) identified herein.

MANAGEMENT AGREEMENT
Management Agreement • June 29th, 2012 • Neiman Funds • California

The Trust has been organized to engage in the business of an investment company. The Trust currently offers multiple series of shares to investors, including shares of the Neiman Tactical Income Fund (the “Fund”).

AutoNDA by SimpleDocs
Letter Agreement
Letter Agreement • July 30th, 2020 • Neiman Funds

You have engaged us to act as the sole investment advisor to the Neiman Large Cap Value Fund (the “Fund”), pursuant to a Management Agreement dated April 1, 2019. Effective August 1, 2020, we hereby contractually agree to waive management fees and reimburse expenses to the extent necessary to maintain total annual operating expenses of the Fund (excluding brokerage fees and commissions, interest and other borrowing expenses, taxes, indirect expenses (such as expenses of other investment companies in which the Fund invests) and extraordinary expenses) at an amount not to exceed 1.45% of its average daily net assets for No-Load Class and at an amount not to exceed 1.45% of its average daily net assets for Class A Shares through July 31, 2021.

Letter Agreement
Letter Agreement • July 30th, 2018 • Neiman Funds

You have engaged us to act as the sole investment advisor to the Neiman Large Cap Value Fund (the “Fund”), pursuant to a Management Agreement dated November 30, 2009. Effective August 1, 2018, we hereby contractually agree to waive management fees and reimburse expenses to the extent necessary to maintain total annual operating expenses of the Fund (excluding brokerage fees and commissions, interest and other borrowing expenses, taxes, indirect expenses (such as expenses of other investment companies in which the Fund invests) and extraordinary expenses) at an amount not to exceed 1.45% of its average daily net assets for No-Load Class and at an amount not to exceed 1.45% of its average daily net assets for Class A Shares through July 31, 2019.

Letter Agreement
Letter Agreement • July 27th, 2023 • Neiman Funds
Letter Agreement
Letter Agreement • March 31st, 2016 • Neiman Funds

You have engaged us to act as the sole investment advisor to the Neiman Opportunities Fund (the “Fund”), pursuant to a Management Agreement dated March 25, 2016. Effective April 1, 2016, we hereby contractually agree to waive management fees and reimburse expenses to the extent necessary to maintain total annual operating expenses of the Fund (excluding brokerage fees and commissions, interest and other borrowing expenses, taxes, indirect expenses (such as expenses of other investment companies in which the Fund invests) and extraordinary expenses) at an amount not to exceed 1.45% of its average daily net assets for Class A Shares through July 31, 2017.

MANAGEMENT AGREEMENT
Management Agreement • November 8th, 2022 • Neiman Funds • New York

The Trust has been organized to engage in the business of an investment company. The Trust currently offers multiple series of shares to investors, that include, shares of the Advisors Capital Active All Cap Fund (the “Fund”).

SUBSCRIPTION AGREEMENT BETWEEN THE TRUST AND THE INVESTOR NEIMAN ENHANCED DIVIDEND FUND A SERIES OF THE NEIMAN FUNDS LETTER OF INVESTMENT INTENT
Subscription Agreement • March 28th, 2003 • Neiman Funds

The undersigned (the “Purchaser”) hereby subscribes to purchase a beneficial interest (“Interest”) of the Neiman Enhanced Dividend Fund, a series of the Neiman Funds, in the amount of one hundred thousand dollars ($100,000.00) for five thousand (5,000) shares at net asset value of twenty dollars ($20.00) per share, in consideration for which the Purchaser agrees to transfer to you upon demand cash in the amount of one hundred thousand dollars ($100,000.00).

MANAGEMENT AGREEMENT
Management Agreement • November 1st, 2024 • Neiman Funds

The Trust has been organized to engage in the business of an investment company. The Trust currently offers multiple series of shares to investors, that include, shares of the Advisors Capital Growth Fund, Advisors Capital International Fund (each a “Fund” and together the “Funds”).

Schedule A to ADMINISTRATIVE SERVICE CONSULTANT AGREEMENT (September 17, 2024) Fund Name: Advisors Capital Total Return - Equity Fund Advisors Capital Small/Mid Cap Fund Advisors Capital Tactical Fixed Income Fund Advisors Capital Active All Cap Fund...
Administrative Service Consultant Agreement • November 1st, 2024 • Neiman Funds

NFM receives a monthly fee from the Advisor equal to an annual rate of 0.05% of each Fund's assets under $100 million, 0.03% of the next $100 million of each Fund's average daily net assets, and 0.02% of the average daily net assets of each Fund thereafter (subject to a minimum monthly fee of $1,000 for each Fund).

Schedule A to ADMINISTRATIVE SERVICE CONSULTANT AGREEMENT (September 27, 2022) Fund Name: Advisors Capital US Dividend Fund Advisors Capital Small/Mid Cap Fund Advisors Capital Tactical Fixed Income Fund Advisors Capital Active All Cap Fund
Administrative Service Consultant Agreement • November 8th, 2022 • Neiman Funds

NFM receives a monthly fee from the Advisor equal to an annual rate of 0.05% of each Fund's assets under $100 million, 0.03% of the next $100 million of each Fund's average daily net assets, and 0.02% of the average daily net assets of each Fund thereafter (subject to a minimum monthly fee of $1,000 for each Fund).

Letter Agreement
Letter Agreement • July 28th, 2017 • Neiman Funds

You have engaged us to act as the sole investment advisor to the Neiman Large Cap Value Fund (the “Fund”), pursuant to a Management Agreement dated November 30, 2009. Effective August 1, 2017, we hereby contractually agree to waive management fees and reimburse expenses to the extent necessary to maintain total annual operating expenses of the Fund (excluding brokerage fees and commissions, interest and other borrowing expenses, taxes, indirect expenses (such as expenses of other investment companies in which the Fund invests) and extraordinary expenses) at an amount not to exceed 1.45% of its average daily net assets for No-Load Class and at an amount not to exceed 1.45% of its average daily net assets for Class A Shares through July 31, 2018.

AMENDMENT TO MANAGEMENT AGREEMENT
Management Agreement • June 2nd, 2006 • Neiman Funds

This Amendment, dated as of February 28, 2006, is by and between Neiman Funds (the "Trust"), on behalf of the Neiman Fund (the "Fund"), and Neiman Capital Management, LLC (the "Adviser") (each a "Party" and collectively, the "Parties").

MANAGEMENT AGREEMENT AMENDMENT
Management Agreement • January 29th, 2024 • Neiman Funds
Letter Agreement
Letter Agreement • July 22nd, 2016 • Neiman Funds

You have engaged us to act as the sole investment advisor to the Neiman Large Cap Value Fund (the “Fund”), pursuant to a Management Agreement dated November 30, 2009. Effective August 1, 2016, we hereby contractually agree to waive management fees and reimburse expenses to the extent necessary to maintain total annual operating expenses of the Fund (excluding brokerage fees and commissions, interest and other borrowing expenses, taxes, indirect expenses (such as expenses of other investment companies in which the Fund invests) and extraordinary expenses) at an amount not to exceed 1.45% of its average daily net assets for No-Load Class and at an amount not to exceed 1.45% of its average daily net assets for Class A Shares through July 31, 2017.

Draft better contracts in just 5 minutes Get the weekly Law Insider newsletter packed with expert videos, webinars, ebooks, and more!