APPENDIX IV-4 LIST OF FUNDS SERVICES & FEES
APPENDIX IV-4
LIST OF FUNDS
SERVICES & FEES
This Appendix IV-4 is part of the Fund Services Agreement (the “Agreement”), dated May 17, 2011, as amended, between Northern Lights Fund Trust II (the “Trust”) and Gemini Fund Services, LLC (“GFS”). Set forth below are the Services elected by the Fund(s) identified on this Appendix IV-4 along with the associated Fees. Capitalized terms used herein that are not otherwise defined shall have the same meanings ascribed to them in the Agreement.
EFFECTIVE DATE
The Effective Date for the Fund(s) set forth on this Appendix IV-4 shall be upon commencement of operations.
COVERED FUNDS
The Fund(s) to be covered under this Agreement include:
| Fund Name | Board Approval Date |
| WOA All Asset I | August 11, 2011 |
*Funds with the same investment adviser are collectively referred to as the “Complex.”
SELECTED SERVICES and FEES
[REDACTED – schedule has been excluded because it is both (1) not material and (2) would likely cause competitive harm to the registrant if publicly disclosed]
Signature page follows
IN WITNESS WHEREOF, the parties hereto have executed this Appendix IV-4 to the Fund Services Agreement effective as of December 9, 2020.
| NORTHERN LIGHTS FUND TRUST II | GEMINI FUND SERVICES, LLC | |
| By: /s/ Xxxxx Xxxx | By: /s/ Xxxx Xxxxxxx | |
| Xxxxx Xxxx | Xxxx Xxxxxxx | |
| President | Chief Executive Officer |
The undersigned investment adviser (the “Adviser”) hereby acknowledges and agrees to the terms of The Agreement and further acknowledges and agrees that:
(1) GFS expends substantial time and money, on an ongoing basis, to recruit and train its employees; (2) GFS's business is highly competitive and is marketed throughout the United States, and (3) if the Adviser were to hire any GFS employees who are involved in the procurement of the Services under the Agreement then GFS may suffer lost sales and other opportunities and would incur substantial time and money in hiring and training replacement(s) for those employees. Accordingly, the Adviser agrees that it, including its respective affiliates and subsidiaries, shall not solicit, attempt to induce or otherwise hire an employee of GFS for so long as this Agreement is in effect and for a period of two (2) years after termination of this Agreement, unless expressly agreed upon in writing by both parties. In the event that this provision is breached by the Adviser, the Adviser agrees to pay damages to GFS in the amount of two times the current annual salary of such employee or former employee. For purposes of this provision, “hire” means to employ as an employee or to engage as an independent contractor, whether on a full-time, part-time or temporary basis.
Xxxxx Xxxxx WaterOak Advisors
Two International Place, 00xx Xxxxx
Xxxxxx, XX 00000
By: /s/ Xxxxxx Xxxxxxx
Name: Xxxxxx Xxxxxxx
Title: Chief Administrative Officer
Shareholder Desktop Web Package
Proprietary Secure Web-Based Direct Interface With Transfer Agent Data
Supports Five Levels of Access
 | Fund Administrator |
| Broker/Dealer |
| Broker/Dealer Branch |
| Registered Representative |
| Shareholder |
Customizable Look And Feel (Logo And Color Scheme)
Account Inquiry
| Portfolio Summary |
| Account Position |
| Transaction History |
| General Account Information |
Online Transactions (Must have this reflected in the prospectus to offer this functionality)
| Exchanges |
| Purchases |
| Redemptions |
| Prospectus and SAI Access |
Account Maintenance
| Change of Shareholder Information |
| o | Address |
| o | Phone Number |
| o | Email Address |
Online Statement Access
| Quarterly Statements and Confirms |
| Electronic Delivery (Should have this reflected in the prospectus and application to offer this functionality) |
| o | Statements |
| o | Confirms |
| o | Regulatory Mailings |
Shareholder Desktop Online New Accounts
| Allows clients the ability to set up a new account online if they provide valid ACH information and agree to all disclaimers and agreements on site. |
| E-Signature capability |
Fund Data Web Package
Performance Web Page
- Comprehensive performance report hosted by GFS
- Fund performance updated nightly
- Up to 20 indexes available
- Data provided in simple format to be encapsulated into Fund’s own website to provide a custom look and feel
- Growth of $10,000 graph available
Holdings web page
- Fund holding updated periodically to meet fund disclosure rules hosted by GFS
- Fund holding updated periodically to meet fund disclosure rules
- Top ten report available
- Data provided in simple format to be encapsulated into Fund’s own website to provide a custom look and feel
Historical NAV web page
- Provides historical NAV information for a specified period of time and for a specified fund
- Data provided in simple format to be encapsulated into Fund’s own website to provide a custom look and feel
Fulfillment web page
- Provides an online request form for shareholders who wish to request a hard copy of the fulfillment material mailed to them
- Request is automatically routed online to the Shareholder Services Team at GFS for processing
- Reporting of Fulfillment requests made online or via phone available via GFS Reporting Services Tool.
GFS reporting utilizes the next generation secure web-based report delivery vehicle which allows for direct request or subscription based delivery reports available in multiple formats (PDF, Excel, XML, CSV)
