EXHIBIT (G)Custody Agreement • April 9th, 2012 • Northern Lights Fund Trust Iii
INVESTMENT ADVISORY AGREEMENT Between NORTHERN LIGHTS FUND TRUST III and ABS GLOBAL INVESTMENTSInvestment Advisory Agreement • September 20th, 2024 • Northern Lights Fund Trust Iii • New York
This AGREEMENT is made as of August 21, 2024, between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”), and ABS Global Investments, a Delaware limited liability company (the “Adviser”) located at 537 Steamboat Road, 4th Floor, Greenwich, CT 06830.
SUBADVISORY AGREEMENTSubadvisory Agreement • April 25th, 2018 • Northern Lights Fund Trust Iii • Delaware
THIS AGREEMENT is made and entered into as of the 1st day of March, 2017, by and between PERSIMMON CAPITAL MANAGEMENT, LP, a limited partnership organized under the laws of Delaware registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), (the “Adviser”) and WEATHERBIE CAPITAL, LLC a limited liability company organized under the laws of Delaware registered under the Advisers Act (the “Subadviser”), with respect to the Persimmon Long/Short Fund (the “Fund”), a series of the Northern Lights Fund Trust III, a Delaware statutory trust (the “Trust”).
NORTHERN LIGHTS FUND TRUST III AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT COUNTERPOINT FUNDS LLCOperating Expenses Limitation and Security Agreement • August 30th, 2023 • Northern Lights Fund Trust Iii • New York
THIS AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is made as of the 28th day of August, 2023, by and between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”), on behalf of CP High Yield Trend ETF (the “Fund”) a series of the Trust, and the advisor of the Fund, COUNTERPOINT FUNDS LLC (the “Advisor”).
UNDERWRITING AGREEMENTUnderwriting Agreement • June 7th, 2019 • Northern Lights Fund Trust Iii • Nebraska
THIS UNDERWRITING AGREEMENT effective the 1st day of February, 2019, by and between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust, having its principal office and place of business at 17645 Wright Street, Suite 200, Omaha, Nebraska 68130 (the “Trust”), and NORTHERN LIGHTS DISTRIBUTORS, LLC, a Nebraska limited liability company having its principal office and place of business at 17645 Wright Street, Suite 200, Omaha, Nebraska 68130 (“NLD”).
Master Custodian AgreementMaster Custodian Agreement • April 21st, 2021 • Northern Lights Fund Trust Iii • Massachusetts
This Agreement is made as of March 4, 2021 (this “Agreement”), between each management investment company identified on Appendix A and each management investment company which becomes a party to this Agreement in accordance with the terms hereof (in each case, a “Fund”), including, if applicable, each series of the Fund identified on Appendix A and each series which becomes a party to this Agreement in accordance with the terms hereof, and STATE STREET BANK AND TRUST COMPANY, a Massachusetts trust company (the “Custodian” or “State Street”).
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • May 26th, 2017 • Mutual Fund & Variable Insurance Trust • New York
WHEREAS, the Adviser acts as an investment adviser to series of the Mutual Fund and Variable Insurance Trust, a Delaware statutory trust (the "Trust"), pursuant to a Management Agreement dated as of January 1, 2016 (the "Management Agreement");
FUND SERVICES AGREEMENT between NORTHERN LIGHTS FUND TRUST III andFund Services Agreement • April 9th, 2012 • Northern Lights Fund Trust Iii • New York
THIS FUND SERVICES AGREEMENT (the “Agreement”) made as of the 23rd day of February, 2012, by and between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust having its principal office and place of business at 4020 South 147th Street, Omaha, Nebraska 68137 (the "Trust") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 4020 South 147th Street, Omaha, Nebraska 68137 (“GFS”). This Agreement replaces and supersedes all prior understandings and agreements between the parties hereto for the services described below.
AMENDED AGREEMENT AND DECLARATION OF TRUST of Northern Lights Fund Trust III a Delaware Statutory TrustTrust Agreement • June 7th, 2019 • Northern Lights Fund Trust Iii • Delaware
AGREEMENT AND DECLARATION OF TRUSTDeclaration of Trust • December 30th, 2011 • Northern Lights Fund Trust Iii • Delaware
CUSTODY AGREEMENTCustody Agreement • December 14th, 2021 • Northern Lights Fund Trust Iii • Massachusetts
ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • September 6th, 2019 • Northern Lights Fund Trust Iii • Nebraska
This ETF Distribution Agreement (this “Agreement”) is effective the 29th day of August, 2019, between Northern Lights Fund Trust III, a Delaware statutory trust (the “Trust”), on behalf of itself and the fund(s) listed on Schedule B, as may be amended from time to time (each, a “Fund”, and collectively, the “Funds”), and Northern Lights Distributors, LLC a Nebraska limited liability company (the “Distributor”).
NORTHERN LIGHTS FUND TRUST III OPERATING EXPENSES LIMITATION AGREEMENT THE TEBERG FUNDOperating Expenses Limitation Agreement • November 22nd, 2023 • Northern Lights Fund Trust Iii • New York
THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is effective as of the 21st day of November, 2023, by and between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”), on behalf of The Teberg Fund (the “Fund”) a series of the Trust, and the Advisor of the Fund, Absolute Capital Management, LLC (the “Advisor”).
SUBADVISORY AGREEMENTSubadvisory Agreement • August 23rd, 2012 • Northern Lights Fund Trust Iii • New York
THIS AGREEMENT (“Agreement”) is made and entered into as of the 16th day of August, 2012, by and between TAYLOR INVESTMENT ADVISORS, LP , (the “Adviser”), a Texas limited partnership registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) located at 100 Crescent Court, Suite 525, Dallas, Texas 75201 , and BLACKROCK INVESTMENT MANAGEMENT, LLC, a limited liability company organized under the laws of Delaware (the “Subadviser”) and also registered under the Advisers Act, with respect to Taylor Xplor Managed Futures Strategy Fund (the “Fund”), a series of the NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”).
CONSULTING AGREEMENTConsulting Agreement • June 14th, 2022 • Northern Lights Fund Trust Iii • Nebraska
THIS CONSULTING AGREEMENT (this “Agreement”) dated January 1, 2017 (the “Original Effective Date”), as amended and restated on April 1, 2022 (the “Effective Date”), is entered into by and between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust having its office and principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the “Trust”), and NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company having its office and principal place of business at 4221 North 203rd Street, Suite 100, Elkhorn, Nebraska 68022 (“NLCS”).
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • February 29th, 2024 • Northern Lights Fund Trust Iii • New York
THIS AGREEMENT (“Agreement”) is made and entered into as of 16th day of February, 2024, by and between ABSOLUTE CAPITAL MANAGEMENT, LLC, (the “Adviser”), a Pennsylvania limited liability company registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) located at 101 Pennsylvania, Blvd., Pittsburgh, PA 15228, and First Associated Investment Advisors, Inc., a Minnesota corporation (the “Subadviser”) and also registered under the Advisers Act, with respect to the Fund listed on Exhibit A hereto (the “Fund”), series of the NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”).
CUSTODIAN AND TRANSFER AGENT AGREEMENTCustodian and Transfer Agent Agreement • December 27th, 2023 • Fpa Funds Trust • New York
THIS AGREEMENT (this Agreement), dated as of __________, 202_, between FPA Funds Trust (the Fund, including its separate series, the Portfolios), an open-end management investment company organized under the laws of the State of Delaware and registered with the Commission under the Investment Company Act of 1940 (the 1940 Act), and BROWN BROTHERS HARRIMAN & CO., a limited partnership formed under the laws of the State of New York (BBH&Co. or, when referring to BBH&Co. in its capacity as custodian, the Custodian, and when referring to BBH&Co. in its capacity as transfer agent, TA). For purposes of this Agreement, reference hereafter to the “Fund” shall mean the Fund and/or the respective Portfolio(s), as the context requires.
CUSTODY AGREEMENTCustody Agreement • July 14th, 2017 • Northern Lights Fund Trust Iii • Ohio
THIS CUSTODY AGREEMENT (this “Agreement”), is made as of June 7, 2017, by and between NORTHERN LIGHTS FUND TRUST III, a statutory trust organized under the laws of the State of Delaware (the "Company"), and FIFTH THIRD BANK, an Ohio banking corporation (the "Custodian").
FUND SERVICES AGREEMENT between NORTHERN LIGHTS FUND TRUST IIIFund Services Agreement • October 14th, 2021 • Northern Lights Fund Trust Iii • New York
THIS FUND SERVICES AGREEMENT (the “Agreement”) made as of the 26th day of August, 2021, by and between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the "Trust") and ULTIMUS FUND SOLUTIONS, LLC, an Ohio limited liability company having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (“UFS”).
INTERIM INVESTMENT ADVISORY AGREEMENT Between NORTHERN LIGHTS FUND TRUST III and Absolute Capital Management, LLCInterim Investment Advisory Agreement • July 24th, 2018 • Northern Lights Fund Trust Iii • New York
This AGREEMENT is made as of June 26, 2018 between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”), and Absolute Capital Management, LLC, a Pennsylvania limited liability company (the “Adviser”) located at 101 Pennsylvania, Blvd., Pittsburgh, PA 15228.
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • July 24th, 2015 • Northern Lights Fund Trust Iii • Colorado
AGREEMENT made as of the 28th day of May, 2015, by and between FDO Partners, LLC, a Massachusetts limited liability company, located at 134 Mt. Auburn Street, Cambridge, MA 02138 (the “Sub-Adviser”), and Good Harbor Financial, LLC, a Delaware limited liability company located at 155 North Wacker Drive, Suite 1850, Chicago, Illinois 60606 (the “Adviser”).
Northern Lights Fund Trust III 80 Arkay Drive Hauppauge, NY 11788Agreement and Plan of Reorganization • May 23rd, 2017 • Mutual Fund & Variable Insurance Trust
Re: AGREEMENT AND PLAN OF REORGANIZATION, DATED AS OF _____________, 20__ (THE "AGREEMENT"), BY AND BETWEEN MUTUAL FUND AND VARIABLE INSURANCE TRUST ("MFVIT") on behalf of ITS SERIES, RATIONAL SELECT ASSET FUND (THE "NEW Fund") AND NORTHERN LIGHTS FUND TRUST iii ("NLFT") on behalf of ITS SERIES, TACTICAL ASSET ALLOCATION Fund (THE "EXISTING FUND")
CUSTODY AGREEMENTCustody Agreement • September 20th, 2024 • Northern Lights Fund Trust Iii • Illinois
AGREEMENT dated as of June 20, 2024, between Northern Lights Fund Trust III, a statutory business trust organized under the laws of the State of Delaware (the “Trust”), having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, OH 45246 on behalf of each series of the Trust listed on Schedule B hereto, as it may be amended from time to time (each, a “Fund” and, collectively, the “Funds”), and THE NORTHERN TRUST COMPANY (the “Custodian”), an Illinois company with its principal place of business at 50 South LaSalle Street, Chicago, Illinois 60603.
ETF FUND SERVICES AGREEMENTEtf Fund Services Agreement • October 14th, 2021 • Northern Lights Fund Trust Iii • New York
THIS ETF FUND SERVICES AGREEMENT (this “Agreement”) dated the 26th day of August, 2021 (the “Effective Date”), is entered into by and between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the "Trust") and ULTIMUS FUND SOLUTIONS, LLC, an Ohio limited liability company having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (“UFS”).
ETF FUND SERVICES AGREEMENTEtf Fund Services Agreement • September 6th, 2019 • Northern Lights Fund Trust Iii • New York
THIS ETF FUND SERVICES AGREEMENT (this “Agreement”) dated the 29th day of August, 2019, (the “Effective Date”), is entered into by and between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the "Trust") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 17645 Wright Street, Suite 200, Omaha, Nebraska 68130 (“GFS”).
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • June 2nd, 2015 • Northern Lights Fund Trust Iii • New York
THIS AGREEMENT (“Agreement”) is made and entered into as of May 6, 2015, by and between PERSIMMON CAPITAL MANAGEMENT, LP (the “Adviser”), a Delaware limited partnership registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) located at 1777 Sentry Parkway West, Gwynedd Hall, Suite 102, Blue Bell, Pennsylvania 19422, and INFINITAS CAPITAL, LLC a Limited Liability Company organized under the laws of New York State (the “Subadviser”) and also registered under the Advisers Act, with respect to the Fund listed on Schedule A hereto (the “Fund”), a series of the NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”).
DISTRIBUTION PLAN PURSUANT TO RULE 12B-1 UNDER THE INVESTMENT COMPANY ACT OF 1940 NORTHERN LIGHTS FUND TRUST III On behalf of its series SWAN DEFINED RISK FUNDDistribution Plan • November 13th, 2012 • Northern Lights Fund Trust Iii
DISTRIBUTION PLAN made as of May 30, 2012, by and between Northern Lights Fund Trust III (the "Trust") on behalf of its separate series, Swan Defined Risk Fund (the “Fund”) and the distributor for the Fund, Northern Lights Distributors, LLC (the “DISTRIBUTOR”).
FPA GLOBAL EQUITY ETF Form of INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • December 27th, 2023 • Fpa Funds Trust • Delaware
THIS INVESTMENT ADVISORY AGREEMENT (this “Agreement”) is made as of ________________ by and between FPA Global Equity ETF (the “Fund”), a series of the FPA Funds Trust, a Delaware statutory trust (the “Trust”), and First Pacific Advisors, LP, a Delaware limited partnership (the “Adviser”).
INVESTMENT ADVISORY AGREEMENT Between NORTHERN LIGHTS FUND TRUST III and GL CAPITAL PARTNERS, LLCInvestment Advisory Agreement • December 10th, 2012 • Northern Lights Fund Trust Iii • New York
AGREEMENT, made as of October 2, 2012 between Northern Lights Fund Trust III, a Delaware statutory trust (the "Trust"), and GL CAPITAL PARTNERS, LLC. a Massachusetts Limited Liability Company (the "Advisor") located at 400 Fifth Avenue, Suite 600, Waltham, Massachusetts 02451.
FORM OF AUTHORIZED PARTICIPANT AGREEMENT FPA Funds TrustAuthorized Participant Agreement • December 27th, 2023 • Fpa Funds Trust • New York
This authorized participant agreement (this “Agreement”) is entered into by UMB Distribution Services, LLC (the “Distributor”), [Name of Participant] (the “Participant”), Brown Brothers Harriman & Co. (the “Transfer Agent”), and FPA Funds Trust (the “Trust” and, together with the Distributor, Participant, and Transfer Agent, the “Parties”), a series trust offering a number of portfolios of securities (collectively, the “Funds”). Capitalized terms used but not defined herein are defined in the current prospectus for each Fund and included in the Trust’s Registration Statement on Form N-1A, as it may be amended or otherwise filed with the U.S. Securities and Exchange Commission (“SEC”) (together with such Fund’s Statement of Additional Information incorporated therein, the “Prospectus”).
NORTHERN LIGHTS FUND TRUST III OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT FIRST PACIFIC ADVISORS, LPOperating Expenses Limitation and Security Agreement • December 16th, 2021 • Northern Lights Fund Trust Iii • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is made as of the 21st day of October, 2021, by and between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”), on behalf of FPA Global Equity ETF (the “Fund”), a series of the Trust, and the advisor of the Fund, FIRST PACIFIC ADVISORS, LP (the “Advisor”).
CO-ADMINISTRATION AGREEMENTCo-Administration Agreement • December 27th, 2023 • Fpa Funds Trust • Wisconsin
THIS CO-ADMINISTRATION AGREEMENT (the “Agreement”) is made as of this 28th day of July, 2023, by and between FPA Funds Trust, a Delaware statutory trust (the “Trust”), UMB Fund Services, Inc., a Wisconsin corporation (“UMBFS”), and Mutual Fund Administration, LLC, a California corporation (“MFAC”). UMBFS and MFAC are collectively referred to herein as the “Co-Administrators,” in singular or plural usage, as required by context.
CUSTODIAN AGREEMENTCustodian Agreement • July 22nd, 2021 • Northern Lights Fund Trust Iii • New York
THIS AGREEMENT, dated as of June 9, 2021, between Northern Lights Fund Trust III (the Fund, including on behalf of each of its separate series listed on Schedule A hereto, the Portfolios), a management investment company organized under the laws of the State of Delaware and registered with the Commission under the Investment Company Act of 1940 (the 1940 Act), and BROWN BROTHERS HARRIMAN & CO., a limited partnership formed under the laws of the State of New York (BBH&Co. or the Custodian). It is acknowledged and agreed that the terms of this Agreement shall apply separately and respectively to the Fund in respect of each Portfolio, and for purposes of this Agreement, references hereafter to the “Fund” shall mean the Fund and/or the respective Portfolio(s), as the context requires. All capitalized terms shall have the meaning ascribed to them in this Agreement.
MASTER SERVICES AGREEMENTMaster Services Agreement • October 19th, 2023 • Northern Lights Fund Trust Iii • Delaware
This Master Services Agreement (this “Agreement”), dated February 23, 2023, is between Northern Lights Fund Trust III (the “Trust”), a Delaware statutory trust, and Ultimus Fund Solutions, LLC (“Ultimus”), a limited liability company organized under the laws of the state of Ohio.
TRANSFER AGENT SERVICING AGREEMENTTransfer Agent Servicing Agreement • December 13th, 2013 • Northern Lights Fund Trust Iii • Wisconsin
THIS AGREEMENT is made and entered into as of the 13th day of December, 2013, by and between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the "Trust") and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company ("USBFS").
