WITNESSETH:Sub-Advisory Agreement • October 1st, 2003 • New River Funds • Virginia
ARTICLE I DEFINITIONSCustody Agreement • October 1st, 2003 • New River Funds • New York
BETWEEN NEW RIVER FUNDS ANDUnderwriting Agreement • October 1st, 2003 • New River Funds • Virginia
INVESTMENT ADVISORY AGREEMENT Between NORTHERN LIGHTS FUND TRUST and SOUTHERNSUN ASSET MANAGEMENT, INC.Investment Advisory Agreement • August 26th, 2008 • Northern Lights Fund Trust • New York
AGREEMENT, made as of July 22, 2008 between Northern Lights Fund Trust, a Delaware statutory trust (the "Trust"), and SouthernSun Asset Management, Inc. , a a corporation organized and existing under the laws of the State of Tennessee (the "Adviser") located at 6000 Poplar Avenue, Suite 220, Memphis, TN 38119 ..
OFAgreement and Declaration of Trust • June 25th, 2003 • New River Funds • Delaware
WITNESSETH:Sub-Advisory Agreement • October 1st, 2003 • New River Funds • Virginia
AMENDED AND RESTATED CUSTODY AGREEMENTCustody Agreement • December 28th, 2007 • New River Funds • New York
THIS AMENDED AND RESTATED CUSTODY AGREEMENT (the “Amendment”) is entered into as of April 20, 2007 (the “Effective Date”), between New River Funds, a statutory trust organized and existing under the laws of the State of Delaware having its principal office and place of business at 1881 Grove Avenue, Radford, VA 24141 (the “Fund”) and The Bank of New York, a New York corporation authorized to do a banking business having its principal office and place of business at One Wall Street, New York, New York 10286 (“Custodian”).
FUND ACCOUNTINGFund Accounting Service Agreement • October 1st, 2003 • New River Funds • Virginia
ADMINISTRATION SERVICE AGREEMENT between NEW RIVER FUNDS andService Agreement • February 2nd, 2007 • New River Funds • Virginia
AGREEMENT made as of the 12th day of September 2003, as revised on October 1, 2006, by and between New River Funds, a Delaware statutory trust, having its principal office and place of business at 1902 Downey Street, Radford, Virginia 24141 (the "Trust") and Gemini Fund Services, LLC, a Nebraska limited liability company having its principal office and place of business at the Hauppauge Corporate Center, 450 Wireless Boulevard, Hauppauge, New York 11788 (“GFS”).
FUND ACCOUNTING SERVICE AGREEMENT Between NEW RIVER FUNDS and INDEXService Agreement • December 28th, 2004 • New River Funds • Virginia
AGREEMENT made as of the 12th day of September, 2003 by and between New River Funds, a Delaware statutory trust, having its principal office and place of business at 1902 Downey Street, Radford, Virginia 24141 (the “Trust”), and Gemini Fund Services LLC, a Nebraska limited liability company having its principal office and place of business at the Hauppauge Corporate Center, 150 Motor Parkway, Suite 205, Hauppauge, New York 11788 (“GFS”).
UNDERWRITING AGREEMENT Between NEW RIVER FUNDS and AQUARIUS FUND DISTRIBUTORS, INC.Underwriting Agreement • December 28th, 2004 • New River Funds • Virginia
AGREEMENT made this 12th day of September 2003, by and between NEW RIVER FUNDS, a Delaware statutory trust, having its principal office and place of business at 1902 Downey Street, Radford, Virginia 24141 (the “Trust”), and AQUARIUS FUND DISTRIBUTORS, INC., a Nebraska corporation having its principal office and place of business at 4020 South 147th Street, Omaha, Nebraska 68137 (“AFD”).
EXHIBIT 99.H.3 ---------------------------------------------------------------- ---------------- TRANSFER AGENCY SERVICE AGREEMENTTransfer Agency Service Agreement • October 1st, 2003 • New River Funds • Virginia
NEW RIVER FUNDS SUB-ADVISORY AGREEMENTSub-Advisory Agreement • February 2nd, 2007 • New River Funds • Virginia
THIS SUB-ADVISORY AGREEMENT (the “Agreement”) made this ___ day of ____________, 2007, by and between New River Advisers LLC, a limited liability company organized and existing under the laws of the Commonwealth of Virginia (the “Manager”), and Howe and Rusling, Inc., a corporation organized and existing under the laws of the State of New York (the “Sub-Adviser”).
FUND ACCOUNTING SERVICE AGREEMENT Between NEW RIVER FUNDS and INDEXFund Accounting Service Agreement • February 2nd, 2007 • New River Funds • Virginia
This AMENDED AND RESTATED FUND ACCOUNTING SERVICE AGREEMENT is entered into as of October 1, 2006, by and between New River Funds, a Delaware statutory trust, having its principal office and place of business at 1902 Downey Street, Radford, Virginia 24141 (the “Trust”), and Gemini Fund Services LLC, a Nebraska limited liability company having its principal office and place of business at 450 Wireless Boulevard, Hauppauge, New York 11788 (“GFS”).
New River Core Equity Fund New River Small Cap Fund Fourth Amended and Restated Contractual Management Fee Waiver AgreementWaiver Agreement • December 28th, 2007 • New River Funds • Delaware
This Fourth Amended and Restated Agreement (“Agreement”) is made effective as of this 26th day of November, 2007, by and between New River Funds, a Delaware statutory trust (the “Trust”), on behalf of its New River Core Equity Fund and New River Small Cap Fund series (the “Funds”), and New River Advisers, LLC (the “Investment Manager”).
NEW RIVER FUNDS INVESTMENT MANAGEMENT AGREEMENTFunds Investment Management Agreement • October 1st, 2003 • New River Funds • Virginia
NEW RIVER FUNDS INTERIM SUB-ADVISORY AGREEMENTNew River Funds • December 29th, 2006 • New River Funds • Virginia
THIS SUB-ADVISORY AGREEMENT (the “Agreement”) made this ____ day of October, 2006, by and between New River Advisers LLC, a limited liability company organized and existing under the laws of the Commonwealth of Virginia (the “Manager”), on behalf of the New River Funds (the “Trust”), and Howe and Rusling, Inc., a corporation organized and existing under the laws of the State of New York (the “Sub-Adviser”).
NEW RIVER FUNDS INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • December 28th, 2004 • New River Funds • Virginia
THIS INVESTMENT MANAGEMENT AGREEMENT (the “Agreement”) made as of the 12th day of September, 2003, by and between New River Funds, a Delaware statutory trust (the “Trust”), on behalf of each series of the Trust listed in Appendix A hereto (hereinafter referred to individually as a “Fund” and collectively as the “Funds”) and New River Advisers LLC, a limited liability company organized and existing under the laws of the Commonwealth of Virginia (the “Manager”).
AGREEMENT AND PLAN OF REORGANIZATION New River Small Cap Fund and SouthernSun Small Cap FundAgreement and Plan of Reorganization • August 26th, 2008 • Northern Lights Fund Trust • Delaware
This Agreement and Plan of Reorganization (“Agreement”) is made as of [August __,] 2008, by and between New River Funds, a Delaware statutory trust (“New River Funds”), on behalf of its investment portfolio, the New River Small Cap Fund (the “Acquired Fund”), and Northern Lights Fund Trust, a Delaware statutory trust (“Northern Lights Funds”), on behalf of its investment portfolio, the SouthernSun Small Cap Fund (the “Acquiring Fund” and, together with the Acquired Fund, the “Funds”). SouthernSun Asset Management, Inc., a corporation organized under the laws of the State of Tennessee (“SouthernSun”), joins this Agreement solely for purposes of paragraphs 4.3, 4.4, 5.11, 5.12, 8.2 and 11.1. Third Security, LLC a limited liability company organized under the laws of Virginia (“Third Security”), joins this Agreement solely for purposes of paragraphs 4.3, 4.4, 8.2 and 11.1.
NEW RIVER FUNDS New River Core Equity Fund New River Core Fixed Income Fund New River Small Cap Fund Amended and Restated Contractual Management Fee Waiver AgreementNew River Funds • October 29th, 2004
Amended and Restated Agreement, made effective as of the 1st day of July, 2004, by and between New River Funds, a Delaware statutory trust (the “Trust”), on behalf of its New River Core Equity Fund, New River Core Fixed Income Fund and New River Small Cap Fund series (the “Funds”), and New River Advisers LLC (the “Investment Manager”).
TRANSFER AGENCY SERVICE AGREEMENTTransfer Agency Service Agreement • December 28th, 2004 • New River Funds • Virginia
AGREEMENT made this 12th day of September, 2003, and revised January 9, 2004, by and between New River Funds, a Delaware statutory trust, having its principal office and place of business at 1881 Grove Avenue, Radford, Virginia, 24141 (the “Trust”), and Gemini Fund Services, LLC, a Nebraska limited liability company having its principal office at 150 Motor Parkway, Hauppauge, NY 11788 (“GFS”).
UNDERWRITING AGREEMENTUnderwriting Agreement • August 26th, 2008 • Northern Lights Fund Trust
This schedule was amended on March 30, 2007 to add Pacific Financial, Palantir Fund, Roanoke Small-Cap Growth Fund and The Gratio Values Fund.
NORTHERN LIGHTS FUND TRUST OPERATING EXPENSES LIMITATION AGREEMENT SOUTHERSUN SMALL CAP FUNDTrust Operating Expenses Limitation Agreement • August 26th, 2008 • Northern Lights Fund Trust • New York
THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is effective as of the 22nd day of July, 2008, by and between NORTHERN LIGHTS FUND TRUST, a Delaware statutory trust (the “Trust”), on behalf of SOUTHERSUN SMALL CAP FUND (the “Fund”) a series of the Trust, and the advisor of the Fund, SouthernSun Asset Management, Inc. (the “Advisor”).
