MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • February 11th, 2019 • Highland Global Allocation Fund • 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”).
HIGHLAND GLOBAL ALLOCATION FUND II AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUSTAgreement and Declaration of Trust • February 11th, 2019 • Highland Global Allocation Fund • Massachusetts
THIS AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST made on this 17th day of August, 2017 by the Trustees hereunder and by the holders of shares of beneficial interest issued hereunder and to be issued hereunder as hereinafter provided, amending and restating the Agreement and Declaration of Trust made on the 28th of June, 2017:
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 • August 14th, 2018 • Highland Global Allocation Fund • New York
THIS AGREEMENT made as of the 2nd day of December, 2012, by and between EACH OF THE ENTITIES, INDIVIDUALLY 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”).
CUSTODY AGREEMENT by and between EACH FUND LISTED ON ANNEX A and THE BANK OF NEW YORK MELLONCustody Agreement • April 8th, 2019 • Highland Global Allocation Fund • 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”).
SECURITIES LENDING AND SERVICES AGREEMENT BETWEEN HIGHLAND FUNDS II (F/K/A PYXIS FUNDS II) ON BEHALF OF EACH OF ITS SERIES LISTED ON SCHEDULE C AND STATE STREET BANK AND TRUST COMPANYLending and Services Agreement • February 11th, 2019 • Highland Global Allocation Fund • Massachusetts
Agreement (the “Agreement”) dated the 29th day of April 2013 between Highland Funds II (f/k/a Pyxis Funds II) (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.
FORM OF SELLING AND/OR SERVICES AGREEMENT FOR HIGHLAND FAMILY OF FUNDSServices Agreement • August 14th, 2018 • Highland Global Allocation Fund • 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.
MASTER ADMINISTRATION AGREEMENTMaster Administration Agreement • August 14th, 2018 • Highland Global Allocation Fund • 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”).
DISTRIBUTION AGREEMENTDistribution Agreement • August 14th, 2018 • Highland Global Allocation Fund • 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 Fund Distributors, (the “Distributor”), and is effective as of the date accepted and agreed to by the Distributor below .
BNPP NY Lending AgreementLending Agreement • February 11th, 2019 • Highland Global Allocation Fund • New York
This BNPP NY Lending Agreement (including all terms, schedules, supplements and exhibits attached hereto, this “Agreement”) is entered into between the customer specified below (“Customer”) and BNP Paribas, acting through its New York Branch (“BNPP NY”) on behalf of itself and as agent for the BNPP Entities (as defined in the Account Agreement attached as Exhibit A hereto). The Agreement sets forth the terms and conditions on which BNPP NY will transact business with Customer. Customer and BNPP NY, on behalf of itself and as agent for the BNPP Entities, have also entered into the Account Agreement. For the avoidance of doubt, all loans under this Agreement are provided by BNPP NY.
ADMINISTRATION AGREEMENTAdministration Agreement • February 11th, 2019 • Highland Global Allocation Fund • Pennsylvania
THIS ADMINISTRATION AGREEMENT (this “Agreement”) is made as of the day of December, 2018 (the “Effective Date”), by and between each closed-end management investment company registered under the Investment Company Act of 1940, as amended (the “1940 Act”) set forth on Schedule I (Funds), as such Schedule I may be amended from time to time, attached hereto (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”).
TRANSFER AGENCY AND REGISTRAR SERVICES AGREEMENTTransfer Agency and Registrar Services Agreement • February 11th, 2019 • Highland Global Allocation Fund • New York
THIS TRANSFER AGENCY AND REGISTRAR SERVICES AGREEMENT (this “Agreement”), dated as of August 8, 2018 (the “Effective Date”), is entered into by and between HIGHLAND GLOBAL ALLOCATION FUND, a Massachusetts business trust (the “Company”), and AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, a New York limited liability trust company (“AST”; together with the Company, the “Parties”; each, the “Party”).
FIRST AMENDMENT TO SECURITIES LENDING AUTHORIZATION AGREEMENT BETWEEN HIGHLAND FUNDS II, ON BEHALF OF ITS SERIES AS LISTED ON SCHEDULE B, AND STATE STREET BANK AND TRUST COMPANYFirst Amendment • February 11th, 2019 • Highland Global Allocation Fund
This First Amendment (this “Amendment”) dated as of January 22, 2018 is between HIGHLAND FUNDS II (formerly known as PYXIS FUNDS II), on behalf of its series as listed on Schedule B to the Agreement (as defined below), severally and not jointly, each a registered management investment company organized and existing under the laws of Delaware (each a “Trust”), and STATE STREET BANK AND TRUST COMPANY acting either directly or through any State Street Affiliates (defined below) (collectively, “State Street”).
SECURITIES LENDING AUTHORIZATION AGREEMENT Between PYXIS FUNDS II ON BEHALF OF ITS SERIES AS LISTED ON SCHEDULE B and STATE STREET BANK AND TRUST COMPANYLending Authorization Agreement • February 11th, 2019 • Highland Global Allocation Fund • Massachusetts
This Agreement shall be deemed for all purposes to constitute a separate and discrete agreement between State Street and each of the series of shares of the Trust as listed on Schedule B to this Agreement (the Trust acting on behalf of each such series, a “Fund” and collectively, the “Funds”) as it may be amended by the parties, and no series of shares of the Trust shall be responsible or liable for any of the obligations of any other series of the Trust under this Agreement or otherwise, notwithstanding anything to the contrary contained herein.
FIFTH AMENDMENT TO THE AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF HIGHLAND GLOBAL ALLOCATION FUNDAgreement and Declaration • December 30th, 2021 • Highland Global Allocation Fund
AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • June 21st, 2019 • Highland Global Allocation Fund • 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”).
FORM OF AMENDMENT TO SECURITIES LENDING AND SERVICES AGREEMENT BETWEEN HIGHLAND FUNDS II, ON BEHALF OF ITS SERIES AS LISTED ON SCHEDULE C, AND STATE STREET BANK AND TRUST COMPANYLending and Services Agreement • February 11th, 2019 • Highland Global Allocation Fund
This Amendment (the “Amendment”) dated as of August [ ], 2018 is between HIGHLAND FUNDS II (formerly known as PYXIS FUNDS II), on behalf of its series as listed on Schedule C to the Agreement (as defined below), severally and not jointly, (the “Trust”), HIGHLAND GLOBAL ALLOCATION FUND (“GAF”) and STATE STREET BANK AND TRUST COMPANY (“State Street”).
FORM OF INVESTMENT ADVISORY AGREEMENTForm of Investment Advisory Agreement • August 14th, 2018 • Highland Global Allocation Fund • Delaware
AGREEMENT made as of [DATE], by and between Highland Capital Management Fund Advisors, L.P., a Delaware limited partnership (the “Adviser”), and Highland Global Allocation Fund, a Massachusetts business trust (the “Trust”).
FORM OF LETTER AGREEMENTForm of Letter Agreement • August 14th, 2018 • Highland Global Allocation Fund • Massachusetts
FORM OF AMENDMENT TO SECURITIES LENDING AUTHORIZATION AGREEMENT BETWEEN HIGHLAND FUNDS II, ON BEHALF OF ITS SERIES AS LISTED ON SCHEDULE B, AND STATE STREET BANK AND TRUST COMPANYHighland Global Allocation Fund • August 14th, 2018
This Amendment (the “Amendment”) dated as of August [ ], 2018 is between HIGHLAND FUNDS II (formerly known as PYXIS FUNDS II), on behalf of its series as listed on Schedule B to the Agreement (as defined below), severally and not jointly, (the “Trust”), HIGHLAND GLOBAL ALLOCATION FUND (“GAF”) and STATE STREET BANK AND TRUST COMPANY acting either directly or through any State Street Affiliates (collectively, “State Street”).
AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • April 8th, 2019 • Highland Global Allocation Fund • New York
This Amendment (“Amendment”) is made as of the 8th day of April, 2019, by and between each Fund listed on Annex A to the Agreement (as defined below) (each, a “Fund”) and THE BANK OF NEW YORK MELLON (“BNY Mellon”).
AMENDMENT TO THE AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF HIGHLAND GLOBAL ALLOCATION FUND IIHighland Global Allocation Fund • February 11th, 2019
FORM OF AMENDMENT TO SECURITIES LENDING AUTHORIZATION AGREEMENT BETWEEN HIGHLAND FUNDS II, ON BEHALF OF ITS SERIES AS LISTED ON SCHEDULE B, AND STATE STREET BANK AND TRUST COMPANYHighland Global Allocation Fund • February 11th, 2019
This Amendment (the “Amendment”) dated as of August [ ], 2018 is between HIGHLAND FUNDS II (formerly known as PYXIS FUNDS II), on behalf of its series as listed on Schedule B to the Agreement (as defined below), severally and not jointly, (the “Trust”), HIGHLAND GLOBAL ALLOCATION FUND (“GAF”) and STATE STREET BANK AND TRUST COMPANY acting either directly or through any State Street Affiliates (collectively, “State Street”).
State Street Bank and Trust Company Channel Center, Mailstop CCB0502Highland Global Allocation Fund • August 14th, 2018
AMENDMENT TO THE AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF HIGHLAND GLOBAL ALLOCATION FUND IIAgreement and Declaration • August 14th, 2018 • Highland Global Allocation Fund
AMENDMENT to Transfer Agency and Service Agreement between Highland Funds Each of the Entities, Individually and not Jointly, as listed on Schedule A and Boston Financial Data Services, Inc.Transfer Agency and Service Agreement • August 14th, 2018 • Highland Global Allocation Fund
This Amendment is made as of this 25th day of September, 2017, between each of the entities, individually and not jointly, as listed on Schedule A (collectively, the “Funds” and individually, the “Fund”) and Boston Financial Data Services, Inc. (the “Transfer Agent”). The Funds and the Transfer Agent are parties to a Transfer Agency and Service Agreement dated December 26, 2012, as amended, (the “Agreement”). In accordance with Section 16.1 (Amendment) and Section 17 (Additional Portfolios/Funds) of the Agreement, the parties desire to amend the Agreement as set forth herein.
FORM OF INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • February 11th, 2019 • Highland Global Allocation Fund • Delaware
AGREEMENT made as of [DATE], by and between Highland Capital Management Fund Advisors, L.P., a Delaware limited partnership (the “Adviser”), and Highland Global Allocation Fund, a Massachusetts business trust (the “Trust”).
