UNDERWRITING AGREEMENT
[Certain identified information has been excluded from this exhibit because it is not material and would likely cause competitive harm to the registrant if publicly disclosed]
Schedule A
Fund Name
Xxxxxx Convertible Bond Fund
Xxxxxx Convertible Plus Fund
Xxxxxx Intermediate Bond Fund
Xxxxxx Market Neutral Income Fund
Schedule B
Fee Schedule
Xxxxxx Convertible Bond Fund
Xxxxxx Convertible Plus Fund
Xxxxxx Intermediate Bond Fund
Xxxxxx Market Neutral Income Fund
Page 1 of 3
This Fee Schedule is part of the Underwriting Agreement effective February 1, 2019 (the “Underwriting Agreement”), by and between Xxxxxx Investment Trust and Northern Lights Distributors, LLC (“NLD”).
Service Fees:
[Omitted]
Registered Representative Licensing:
[Omitted]
Out-of-Pocket Expenses:
The Fund(s) shall pay all reasonable out-of-pocket expenses incurred by NLD in connection with activities performed for the Fund(s) hereunder including, without limitation:
Schedule B
Fee Schedule
Xxxxxx Convertible Bond Fund
Xxxxxx Convertible Plus Fund
Xxxxxx Intermediate Bond Fund
Xxxxxx Market Neutral Income Fund
Page 2 of 3
| · | typesetting, printing and distribution of prospectuses and shareholder reports |
| · | production, printing, distribution and placement of advertising and sales literature and materials |
| · | engagement of designers, free-xxxxx writers and public relations firms |
| · | long-distance telephone lines, services and charges |
| · | postage |
| · | overnight delivery charges |
| · | FINRA and registration fees |
| · | marketing expenses |
| · | record retention fees |
| · | travel, lodging and meals |
| · | NSCC charges |
| · | Fund platform fees and service fees |
| · | web-site monitoring expenses |
In the event the fees authorized by the Fund(s) for payment to NLD are insufficient to cover the fees due to NLD for its services provided hereunder, Wellesley Asset Management, Inc., the investment adviser to the Fund(s), agrees to pay NLD the remaining balance of any fees due and payable to NLD according to this fee schedule within 15 days of request.
IN WITNESS WHEREOF, the parties hereto have executed this Schedule to the Underwriting Agreement effective October 20, 2021.
|
XXXXXX INVESTMENT TRUST
By: _/s/Xxxx Miller__________________ Xxxx Xxxxxx President |
NORTHERN LIGHTS DISTRIBUTORS, LLC
By: _/s/Xxxxx Guerette___________________ Xxxxx Xxxxxxxx President |
Schedule B
Fee Schedule
Xxxxxx Convertible Bond Fund
Xxxxxx Convertible Plus Fund
Xxxxxx Intermediate Bond Fund
Xxxxxx Market Neutral Income Fund
Page 3 of 3
The undersigned investment adviser hereby acknowledges and agrees to the terms of this Underwriting Agreement.
WELLESLEY ASSET MANAGEMENT, INC.
00 Xxxxxxx Xxxxxx, Xxxxx 000
Xxxxxxxxx, XX 00000
By: /s/Xxxx Miller_________________________
Xxxx Xxxxxx
Chief Executive Officer
