AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • January 27th, 2003 • Ge Funds • New York
GE FUNDSSub-Advisory Agreement • June 24th, 1997 • Ge Funds • New York
GE FUNDS GE SMALL-CAP VALUE EQUITY FUNDSub-Advisory Agreement • July 24th, 1998 • Ge Funds • New York
INVESTMENT ADVISORY AGREEMENT Between NORTHERN LIGHTS FUND TRUST and GENESIS CAPITAL, LLCInvestment Advisory Agreement • December 20th, 2013 • Northern Lights Fund Trust • New York
AGREEMENT, made as of November 12, 2013 between Northern Lights Fund Trust, a Delaware statutory trust (the "Trust"), and Genesis Capital, LLC, a Washington limited liability company organized and existing under the laws of the State of Washington (the "Adviser") located at 7191 Wagner Way NW, Suite 302, Gig Harbor, WA 98335.
MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • January 28th, 2013 • Pyxis Funds Ii • 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”).
GE FUNDSSub-Advisory Agreement • January 27th, 1999 • Ge Funds • New York
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • March 31st, 2017 • Highland Funds Ii • Delaware
AGREEMENT made as of March 31, 2017, by and between Highland Capital Management Fund Advisors, L.P., a Delaware limited partnership (the “Adviser”), and Highland Funds II, a Delaware statutory trust (the “Trust”), on behalf of its series, Highland – First Foundation Income Fund (the “Fund”).
GE FUNDSInvestment Advisory and Administration Agreement • April 25th, 2000 • Ge Funds
GE FUNDSSub-Advisory Agreement • April 25th, 2000 • Ge Funds • New York
Form of Agreement and Plan of ReorganizationAgreement and Plan of Reorganization • June 14th, 2013 • Highland Funds Ii • Massachusetts
THIS AGREEMENT AND PLAN OF REORGANIZATION dated as of [•], 2013, is by and among each Target Company, as defined below, on behalf of each of its series that is a Target Fund, as defined below, each Acquiring Company, as defined below, on behalf of each of its series that is an Acquiring Fund, as defined below, and, for purposes of paragraphs 7.3 and 10.2 of this Agreement only, Highland Capital Management Fund Advisors, L.P. (“HCMFA”).
GE FUNDS GE SMALL-CAP EQUITY FUND SUB-ADVISORY AGREEMENTSub-Advisory Agreement • January 28th, 2011 • Ge Funds • New York
This agreement (“Agreement”) is made as of August 23, 2010, by and among GE ASSET MANAGEMENT INCORPORATED (“GEAM”), a Delaware corporation, GE FUNDS, a Massachusetts business trust (“Trust”), on behalf of the GE SMALL-CAP EQUITY FUND (“Fund”), a series of the Trust, solely with respect to Section 13(b) of this Agreement, and SOUTHERNSUN ASSET MANAGEMENT, LLC, a Delaware company (“Sub-Adviser”).
LETTER AGREEMENTExpense Limitation and Recoupment Agreement • September 14th, 2022 • Highland Funds Ii • Massachusetts
EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • October 28th, 2020 • Advisors' Inner Circle Fund III • Delaware
EXPENSE LIMITATION AGREEMENT, effective as of September 30, 2020, by and between Chevy Chase Trust Company (the “Adviser”) and The Advisors’ Inner Circle Fund III (the “Trust”) (the “Agreement”), on behalf of the series of the Trust set forth in Schedule A attached hereto (the “Funds”).
FORM OF INVESTMENT ADVISORY AGREEMENTS BETWEEN EACH FUND AND HIGHLAND FUNDS ASSET MANAGEMENT, L.P. INVESTMENT ADVISORY AGREEMENT AGREEMENT made as of February 18, 2011, by and between Highland Funds Asset Management, L.P., a Delaware limited...Investment Advisory Agreement • May 31st, 2011 • Highland Funds Ii • Delaware
FORM OF INVESTMENT ADVISORY AGREEMENTS BETWEEN EACH FUND AND HIGHLAND FUNDS ASSET MANAGEMENT, L.P. INVESTMENT ADVISORY AGREEMENT AGREEMENT made as of February 18, 2011, by and between Highland Funds Asset Management, L.P., a Delaware limited partnership (the "Adviser"), and Highland Funds II, a Massachusetts statutory trust (fka GE Funds the "Trust"), on behalf of its series, Highland Core Value Equity Fund (fka GE Core Value Equity Fund the "Fund"). WHEREAS, the Trust is engaged in business as open-end management investment company and is registered as such under the Investment Company Act of 1940, as amended (the "1940 Act"); and WHEREAS the Adviser is engaged principally in the business of rendering investment management services and is registered as an investment adviser under the Investment Advisers Act of 1940, as amended; NOW, THEREFORE, WITNESSETH: That it is hereby agreed between the parties hereto as follows: SECTION 1. Appointment of Adviser. The Fund hereby appoints the Adv
SUBADVISORY AGREEMENTSubadvisory Agreement • December 20th, 2013 • Northern Lights Fund Trust • Washington
THIS AGREEMENT is made and entered into as of this 12th day of November, 2013, by and between GENESIS CAPITAL, LLC (the "Adviser"), a Washington limited liability company registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) located at 7191 Wagner Way NW, Suite 302, Gig Harbor, WA 98335 and ANCHOR CAPITAL MANAGEMENT GROUP, INC. (the “Subadviser”), a Corporation organized under the laws of California and also registered under the Advisers Act, located at 15 Enterprise, Suite 450, Aliso Viejo, California 92656, with respect to Anchor Alternative Income Fund (the “Fund”), a series of the NORTHERN LIGHTS FUND TRUST, a Delaware statutory trust (the “Trust”).
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 COMPANYSecurities Lending and Services Agreement • January 25th, 2018 • Highland Funds Ii • 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.
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • March 31st, 2017 • Highland Funds Ii • Delaware
AGREEMENT made as of March 31, 2017, by and between Highland Capital Management Fund Advisors, L.P., a Delaware limited partnership (the “Adviser”) and First Foundation Advisors, a California corporation (the “Sub-Adviser”).
HIGHLAND TOTAL RETURN FUND AMENDED AND RESTATED INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • January 29th, 2014 • Highland Funds Ii • Delaware
AGREEMENT made as of February 18, 2011, by and among Highland Capital Management Fund Advisors, L.P. (formerly, Pyxis Capital, L.P., and formerly Highland Funds Asset Management, L.P.), a Delaware limited partnership (the “Adviser”), Highland Funds II (formerly, Pyxis Funds II, and formerly Highland Funds II), a Massachusetts business trust (the “Trust”), on behalf of its series Highland Total Return Fund (formerly, Pyxis Total Return Fund, and formerly Highland Total Return Fund) (the “Fund”), solely with respect to Section 10(b) of this Agreement, and GE Asset Management Incorporated, a Delaware corporation (the “Sub-Adviser”).
CUSTODY AGREEMENT by and between EACH FUND LISTED ON ANNEX A and THE BANK OF NEW YORK MELLONCustody Agreement • July 16th, 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”).
INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of February 18, 2011, by and among Highland Funds Asset Management, L.P., a Delaware limited partnership (the "Adviser"), Highland Funds II, a Massachusetts business trust (fka GE Funds "Trust"), on...Investment Sub-Advisory Agreement • May 31st, 2011 • Highland Funds Ii • Delaware
FORM OF CUSTODY AGREEMENTCustody Agreement • February 18th, 2011 • Ge Funds • New York
AGREEMENT, dated as of February , 2011 between 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 One Wall Street, New York, New York 10286 (“Custodian”) and Highland Funds II, a Massachusetts business trust having its principal office and place of business at 13455 Noel Road, Suite 800, Dallas, Texas 75240 (the “Fund”).
MASTER SUB-ADMINISTRATION AGREEMENTMaster Sub-Administration Agreement • January 28th, 2013 • Pyxis Funds Ii • 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”).
AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • July 16th, 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”).
TRANSFER AGENCY SERVICES AGREEMENTTransfer Agency Services Agreement • November 22nd, 2004 • Ge Funds • Massachusetts
THIS AGREEMENT is made as of September 17, 2004 by and among PFPC Inc., a Massachusetts corporation (“PFPC”), and GE Funds, GE Institutional Funds, GE Lifestyle Funds, GE Investment Funds, Elfun Funds, and S&S Funds (collectively, the “Funds”), on behalf of their respective series set forth on Exhibit A attached hereto and made a part hereof (collectively, the “Series”), as such Exhibit A may be amended from time to time, and the GE Stock IRA Program (the “GE IRA Program” and with the Funds, the “GE Fund Products”). Each GE Fund Product is a party to this Agreement for administrative convenience, but this Agreement shall be interpreted as a separate agreement between PFPC and each GE Fund Product.
SELLING AND/OR SERVICES AGREEMENT FOR HIGHLAND FAMILY OF FUNDSSelling and/or Services Agreement • January 25th, 2017 • Highland Funds Ii • 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.
LETTER AGREEMENTExpense Limitation and Recoupment Agreement • January 28th, 2016 • Highland Funds Ii • Massachusetts
LETTER AGREEMENTExpense Limitation and Recoupment Agreement • January 28th, 2013 • Pyxis Funds Ii • Massachusetts
MASTER ADMINISTRATION AGREEMENTMaster Administration Agreement • January 28th, 2013 • Pyxis Funds Ii • 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 • December 1st, 2014 • Highland Funds Ii • 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.
GE FUNDSShareholder Servicing and Distribution Agreement • July 9th, 1999 • Ge Funds
LETTER AGREEMENTExpense Limitation and Recoupment Agreement • January 28th, 2015 • Highland Funds Ii • Massachusetts
BNPP NY Lending AgreementLending Agreement • January 28th, 2019 • Highland Funds Ii • 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.
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 COMPANYSecurities Lending Authorization Agreement • January 25th, 2018 • Highland Funds Ii
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”).
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 • January 28th, 2013 • Pyxis Funds Ii • New York
THIS AGREEMENT made as of the 26th 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”).
SECURITIES LENDING AUTHORIZATION AGREEMENT Between PYXIS FUNDS II ON BEHALF OF ITS SERIES AS LISTED ON SCHEDULE B and STATE STREET BANK AND TRUST COMPANYSecurities Lending Authorization Agreement • January 25th, 2018 • Highland Funds Ii • 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.
