INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • December 8th, 2017 • Highland Funds I • Delaware
This Investment Advisory Agreement (the “Agreement”) made December 9, 2017, by and between Highland Capital Management Fund Advisors, L.P., a Delaware limited partnership (the “Adviser”), and Highland Funds I, a Delaware statutory trust (the “Trust”), on behalf of its series, Highland Floating Rate Fund (the “Fund”).
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • October 28th, 2019 • Highland Funds I • New York
THIS AGREEMENT is made as of the 1st day of March, 2019, by and between each Trust (hereinafter each a “Trust”, and collectively the “Trusts” as applicable) on behalf of each series listed on Appendix A hereto (as such Appendix be amended from time to time) (each, a “Series”) and THE BANK OF NEW YORK MELLON, a New York corporation authorized to do a banking business having its principal office and place of business at 225 Liberty Street, New York, New York 10286 (the “Bank”).
LETTER AGREEMENTLetter Agreement • December 6th, 2019 • Highland Funds Ii • Massachusetts
CUSTODY AGREEMENTCustody Agreement • October 28th, 2019 • Highland Funds I • New York
AGREEMENT, dated as of March 11, 2019 between Highland Funds I, a Delaware Statutory trust, having its principal office and place of business at 300 Crescent Court, Suite 700, Dallas, Texas 75201 (the “Trust”) and The Bank of New York Mellon, a New York corporation authorized to do a banking business, having its principal office and place of business at 225 Liberty Street, New York, New York 10286 (“Custodian”).
INVESTMENT ADVISORY AGREEMENT AGREEMENT made as of May 2, 2008, by and between Highland Capital Management, L.P., a Delaware limited partnership (the "Adviser"), and Highland Funds I, a Delaware statutory trust (the "Trust"), on behalf of its series,...Investment Advisory Agreement • October 30th, 2009 • Highland Funds I • Delaware
MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • October 19th, 2012 • Pyxis Funds I • New York
This Agreement is made as of October 1, 2012 by and among each management investment company identified on Appendix A and Appendix B hereto (each such investment company and each management investment company made subject to this Agreement in accordance with Section 19.5 below, shall hereinafter be referred to as a “Fund”), and STATE STREET BANK AND TRUST COMPANY, a Massachusetts trust company (the “Custodian”).
AMENDED AND RESTATED CREDIT AGREEMENT, dated as of June 13, 2011 among HIGHLAND FLOATING RATE OPPORTUNITIES FUND, a series of Highland Funds I STATE STREET BANK AND TRUST COMPANY, and the other lending institutions party hereto and STATE STREET BANK...Credit Agreement • October 28th, 2016 • Highland Funds I
AMENDED AND RESTATED CREDIT AGREEMENT, dated as of June 13, 2011 (this “Agreement”), by and among (i) HIGHLAND FUNDS I, a Delaware statutory trust (the “Fund”), on behalf of its series HIGHLAND FLOATING RATE OPPORTUNITIES FUND (the “Borrower”); (ii) the one or several banks from time to time parties to this Agreement (the “Banks”); and (iii) STATE STREET BANK AND TRUST COMPANY, a Massachusetts trust company, as agent for the Banks hereunder (in such capacity, the “Agent”).
ADMINISTRATION AGREEMENTAdministration Agreement • October 19th, 2012 • Pyxis Funds I • Pennsylvania
THIS ADMINISTRATION AGREEMENT (this “Agreement”) is made as of the 25th day of September, 2012 (the “Effective Date”), by and between Pyxis Funds I (the “Trust”), and SEI Investments Global Funds Services, a statutory trust formed under the laws of the State of Delaware (the “Administrator”).
CUSTODY AGREEMENT by and between EACH FUND LISTED ON ANNEX A and THE BANK OF NEW YORK MELLONCustody Agreement • December 6th, 2019 • Highland Funds Ii • New York
CUSTODY AGREEMENT, dated as of the latest date set forth on the signature page hereto, between each management investment company listed on Annex A (each, a “Fund”) and THE BANK OF NEW YORK MELLON, a bank organized under the laws of the state of New York (the “Custodian”).
FORM OF EXHIBIT AHighland Funds I • April 15th, 2011
THIS REVISED EXHIBIT A, dated as of [ ], 2011, is Exhibit A to that certain Custodian Services Agreement dated as of November 17, 2006 between PFPC Trust Company and Highland Funds I, as amended March 30, 2010. This Exhibit A is revised for the addition of Highland Floating Rate Opportunities Fund and shall supersede all previous forms of this Exhibit A.
MASTER SUB-ADMINISTRATION AGREEMENTMaster Sub-Administration Agreement • October 28th, 2013 • Highland Funds I • New York
This Master Sub-Administration Agreement (“Agreement”) dated and effective as of January 7, 2013, is by and between State Street Bank and Trust Company, a Massachusetts trust company (the “Sub-Administrator”), and Pyxis Capital, L.P., a Delaware Limited Partnership (the “Administrator”).
LETTER AGREEMENTLetter Agreement • October 28th, 2019 • Highland Funds I • Delaware
AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • December 6th, 2019 • Highland Funds Ii • New York
This Amendment (“Amendment”) is made as of the 8th day of April, 2019 by and between each management investment company listed on Annex A to the Agreement (as defined below) (each, a “Fund”) and THE BANK OF NEW YORK MELLON (“BNY Mellon”).
DISTRIBUTION AGREEMENTDistribution Agreement • October 28th, 2015 • Highland Funds I • Pennsylvania
THIS DISTRIBUTION AGREEMENT (this “Agreement’) is made as of this 25th day of September, 2012, by and between Pyxis Funds I (the “Company”), a Delaware statutory trust, and SEI Investments Distribution Co. (the “Distributor”), a Pennsylvania corporation.
PYXIS FUNDS I AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST September 14, 2012Agreement and Declaration of Trust • October 19th, 2012 • Pyxis Funds I • Delaware
THIS AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST made as of this 14th day of September 2012, by the Trustees hereunder, and amends and restates that certain Agreement and Declaration of Trust, dated February 27, 2006 (the “Original Declaration”).
AUTHORIZED PARTICIPANT AGREEMENTAuthorized Participant Agreement • October 19th, 2012 • Pyxis Funds I • Pennsylvania
This Authorized Participant Agreement (this “Agreement”) is entered into as of this day of 20 (the “Effective Date”), by and between (the “Participant”) and SEI Investments Distribution Co. (together with its affiliates, the “Distributor”), principal underwriter of Pyxis Funds I (the “Trust”), and is subject to acceptance by the Trust and [ ] as index receipt agent (the “Index Receipt Agent”) to each investment portfolio of the Trust that is listed for trading on one or more U.S. national securities exchanges or associations and operates as an “Exchange Traded Fund” or “ETF” (each, a “Series”). Capitalized terms used herein and not otherwise defined have the meaning assigned to them in SECTION 14 of this Agreement.
SELLING AND/OR SERVICES AGREEMENT FOR HIGHLAND FAMILY OF FUNDSServices Agreement • April 27th, 2017 • Highland Funds I • New York
This Selling and/or Services Agreement (“Agreement”) is made by and between [NAME OF INTERMEDIARY] (“Intermediary”) and Highland Capital Funds Distributor, Inc. (“Distributor”), and is effective as of the date accepted and agreed to by the Distributor below.
SECURITIES LENDING AND SERVICES AGREEMENT BETWEEN HIGHLAND FUNDS I (F/K/A PYXIS FUNDS I) ON BEHALF OF EACH OF ITS SERIES LISTED ON SCHEDULE C AND STATE STREET BANK AND TRUST COMPANYSecurities Lending and Services Agreement • October 28th, 2013 • Highland Funds I • Massachusetts
Agreement (the “Agreement”) dated the 4th day of March 2013 between Highland Funds I (f/k/a Pyxis Funds I) (the “Trust”), on behalf of each of its series listed on Schedule C, severally and not jointly (collectively, the “Funds”, and the Trust acting on behalf of the Funds, the “Borrower”), and State Street Bank and Trust Company, a Massachusetts trust company (“State Street”), setting forth the terms and conditions under which State Street, acting as principal and not as agent on behalf of any party, may from time to time lend certain securities to the Borrower against the receipt of Securities Loan Collateral, as defined herein.
SUB-ADMINISTRATION AGREEMENTSub-Administration Agreement • October 29th, 2018 • Highland Funds I • Pennsylvania
THIS SUB-ADMINISTRATION AGREEMENT (this “Agreement”) is made as of the 23rd day of July, 2018 (the “Effective Date”), by and between Highland Capital Management Fund Advisors, L.P., a limited partnership formed under the laws of the state of Delaware (the “Adviser”), and SEI Investments Global Funds Services, a statutory trust formed under the laws of the State of Delaware (the “Administrator”).
LETTER AGREEMENTLetter Agreement • October 29th, 2012 • Pyxis Funds I • Massachusetts
MASTER ADMINISTRATION AGREEMENTMaster Administration Agreement • July 1st, 2014 • Highland Funds I • New York
This Master Administration Agreement (“Agreement”) dated and effective as of January 7, 2013, is by and among State Street Bank and Trust Company, a Massachusetts trust company (the “Administrator”), and each management investment company identified on Appendix A hereto (each such investment company and each management investment company made subject to this Agreement in accordance with Section 18 below, shall hereinafter be referred to as a “Trust” and collectively, the “Trusts”).
FORM OF EXHIBIT AHighland Funds I • February 25th, 2011
THIS REVISED EXHIBIT A, dated as of [ ], 2011, is Exhibit A to that certain Sub-Administration Services Agreement dated as of December 4, 2006 between PFPC Inc. and Highland Capital Management, L.P, as amended March 30, 2010. This Exhibit A is revised for the addition of Highland Floating Rate Opportunities Fund and shall supersede all previous forms of this Exhibit A.
DISTRIBUTION AGREEMENTDistribution Agreement • July 1st, 2014 • Highland Funds I • New York
This Distribution Agreement (“Agreement”) is made by and between the investment companies of the Highland Family of Funds, identified on Schedule A (each a “Fund” and collectively, the “Funds”) and Highland Capital Funds Distributor, Inc. (the “Distributor”), and is effective as of the date accepted and agreed to by the Distributor below.
ADMINISTRATION AGREEMENTAdministration Agreement • October 29th, 2018 • Highland Funds I • Pennsylvania
THIS ADMINISTRATION AGREEMENT (this “Agreement”) is made as of the 23rd day of July, 2018 (the “Effective Date”), by and between Highland Funds I and Highland Funds II (each a “Trust,” and collectively the “Trusts”), and SEI Investments Global Funds Services, a statutory trust formed under the laws of the State of Delaware (the “Administrator”).
LETTER AGREEMENTLetter Agreement • October 28th, 2021 • Highland Funds I • Delaware
ADMINISTRATION SERVICES AGREEMENTAdministration Services Agreement • October 28th, 2013 • Highland Funds I
THIS AGREEMENT is made as of December 4, 2006 by and between HIGHLAND CAPITAL MANAGEMENT, L.P., a Delaware limited partnership (“Highland”), and HIGHLAND FUNDS I, a Delaware statutory trust (the “Trust”).
TRANSFER AGENCY AND SERVICE AGREEMENT BETWEEN EACH OF THE ENTITIES, INDIVIDUALLY AND NOT JOINTLY, AS LISTED ON SCHEDULE A AND BOSTON FINANCIAL DATA SERVICES, INC.Transfer Agency and Service Agreement • October 28th, 2013 • Highland Funds I • New York
THIS AGREEMENT made as of the 26th day of December, 2012, by and between EACH OF THE ENTITIES, JNDIVIDUALLY AND NOT JOINTLY, as listed on Schedule A, having their principal office and place of business at 200 Crescent Court, Suite 700, Dallas, Texas 75201 (collectively, the “Funds” and individually, the “Fund”) and BOSTON FINANCIAL DATA SERVICES, INC., a Massachusetts corporation having its principal office and place of business at 2000 Crown Colony Drive, Quincy, Massachusetts 02169-0953 (the “Transfer Agent”).
DISTRIBUTION SERVICES AGREEMENTDistribution Services Agreement • October 19th, 2012 • Pyxis Funds I • Pennsylvania
THIS DISTRIBUTION SERVICES AGREEMENT (this “Agreement”) is made as of this 25th day of September, 2012 (“Effective Date”) by and between Pyxis Capital, L.P. (“Advisor”), a a Delaware limited partnership organized under the laws of the state of Delaware, and SEI Investments Distribution Co., a corporation organized under the laws of the Commonwealth of Pennsylvania (“SIDCO”).
INVESTMENT ADVISORY AGREEMENT BETWEEN Highland Funds I AND Highland Capital Management Fund Advisors, L.P. INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • October 28th, 2015 • Highland Funds I • Delaware
AGREEMENT made as of Feb. 27, 2015, by and between Highland Capital Management Fund Advisors, L.P., a Delaware limited partnership (the “Adviser”), and Highland Funds I, a Delaware statutory trust (the “Trust”), on behalf of its series listed on Exhibit A attached hereto and made a part hereof, as such Exhibit A may be amended from time to time (each, a “Fund” and collectively, the “Funds”).
LETTER AGREEMENTLetter Agreement • October 28th, 2015 • Highland Funds I • Delaware
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • October 19th, 2012 • Pyxis Funds I • Massachusetts
THIS AGREEMENT is made as of the 1st day of October, 2012, by and between STATE STREET BANK AND TRUST COMPANY, a trust company chartered under the laws of the Commonwealth of Massachusetts having its principal office and place of business at One Lincoln Center, Boston, Massachusetts 02111 (“State Street” or the “Transfer Agent”), and PYXIS FUNDS I, a Delaware statutory trust (the “Trust”) having its principal office and place of business at 200 Crescent Court, Suite 700, Dallas, TX 75201.
LETTER AGREEMENTLetter Agreement • October 29th, 2014 • Highland Funds I • Delaware
FORM OF INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • February 25th, 2011 • Highland Funds I • Delaware
AGREEMENT made as of [ ], 2011, by and between Highland Capital Management, L.P., a Delaware limited partnership (the “Adviser”), and Highland Funds I, a Delaware statutory trust (the “Trust”), on behalf of its series listed on Exhibit A attached hereto and made a part hereof, as such Exhibit A may be amended from time to time (each a “Fund”).
Each of the Investment Companies listed on Appendix I hereto c/o Highland Capital Management Fund Advisors, L.P.Highland Funds I • October 28th, 2016
AMENDMENT TO MASTER SUB-ADMINISTRATION AGREEMENTMaster Sub-Administration Agreement • October 29th, 2018 • Highland Funds I • New York
This Amendment to the Master Sub-Administration Agreement is made as of November 29, 2017 (the “Amendment”) by and between State Street Bank and Trust Company, a Massachusetts trust company (the “Sub-Administrator”) and Highland Capital Management Fund Advisors, L.P. (f/k/a Pyxis Capital, L.P.) (the “Administrator”). Capitalized terms used in this Amendment without definition shall have the respective meanings ascribed to such terms in the Agreement.
