AMENDMENT TO AMENDED AND RESTATED CONSULTING AGREEMENT
AMENDMENT TO AMENDED AND RESTATED CONSULTING AGREEMENT
THIS AMENDMENT TO AMENDED AND RESTATED CONSULTING AGREEMENT (this “Amendment”) is effective as of September 11, 2023, and is made by and between UNIFIED SERIES TRUST, an Ohio business trust having its office and principal place of business at 000 Xxxxxxxx Xxxxx, Xxxxx 000, Xxxxxxxxxx, Xxxx 00000 (the “Trust”), and NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company having its office and principal place of business at 0000 Xxxxx 000xx Xxxxxx, Xxxxx 000, Xxxxxxx, Xxxxxxxx 00000 (“NLCS”).
WHEREAS, the parties entered into that certain Amended and Restated Consulting Agreement dated April 1, 2021, as amended (the “Agreement”); and
WHEREAS, the parties desire to amend the Agreement as herein described; and
WHEREAS, Section 14. A allows the Agreement to be amended by a written agreement properly authorized and signed by both parties.
NOW, THEREFORE, in consideration of the premises and the mutual covenants and agreements herein set forth, the parties hereto agree as follows:
| I. | Amendments. |
| 1. | Schedule A to the Agreement hereby is deleted in its entirety and replaced with |
Schedule A attached hereto.
| 2. | Schedule D to the Agreement hereby is deleted in its entirety and replaced with |
Schedule D attached hereto.
| II. | Miscellaneous. |
| 1. | Except as hereby amended, the Agreement shall remain in full force and effect. |
| 2. | This Amendment may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. |
IN WITNESS WHEREOF, each party hereto has caused this Amendment to be executed by its duly authorized officer as of the date and year first above written.
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By: /s/ Xxxxxxx X. Xxxxxxxx Xxxxxxx X. Xxxxxxxx Treasurer |
NORTHERN LIGHTS COMPLIANCE SERVICES, LLC
By: /s/ Xxxxxx X. Xxxx Xxxxxx X. Xxxx President |
Schedule A
FEES
This Schedule A is part of the Amended and Restated Consulting Agreement, dated April 1, 2021 (the “Agreement”), entered into by and between Unified Series Trust (the “Trust”) and Northern Lights Compliance Services, LLC (“NLCS”). Capitalized terms used herein that are not otherwise defined shall have the same meanings ascribed to them in the Agreement.
REDACTED
IN WITNESS WHEREOF, the parties hereto have executed this Schedule A to the Agreement effective September 11, 2023.
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By: /s/ Xxxxxxx X. Xxxxxxxx Xxxxxxx X. Xxxxxxxx Treasurer |
NORTHERN LIGHTS COMPLIANCE SERVICES, LLC
By: /s/ Xxxxxx X. Xxxx Xxxxxx X. Xxxx President |
Schedule D
LIST OF FUNDS
As of September 11, 2023
(Funds marked with an “*” are “Grandfathered Funds” for purposes of Schedule A of the Agreement)
Absolute Select Value ETF*
Absolute Capital Opportunities Fund
Absolute Convertible Arbitrage Fund
Absolute Flexible Fund
Absolute Strategies Fund
Appleseed Fund*
Xxxx Growth Fund*
Ballast Small/Mid Cap ETF*
Channel Short Duration Income Fund*
Xxxxxxxx Large Cap Dividend Fund*
Xxxxxxxx Small Cap Dividend Fund*
Xxxxxxxx Multi-Asset Income Fund*
Xxxx Mid Cap Value Fund*
Xxxx Small Cap Value Fund*
Xxxxxx Investments Institutional Group Fund Family:
Xxxxxx Investments Institutional Group Stock Fund for Retirement Plans*
Xxxxxx Investments Institutional Group Bond Fund for Retirement Plans*
Xxxxxx Investments Institutional Group ESG Stock Fund for Retirement Plans*
Xxxxxx Investments Institutional Group ESG Bond Fund for Retirement Plans*
Xxxxxx Investments Institutional Group U.S. Small Cap Equity Fund*
Xxxxxx Investments Institutional Group All Foreign Equity Environmental and Social Values Fund*
Xxxxxx Investments Institutional Group U.S. Large Cap Equity Environmental and Social Values Fund*
OneAscent International Equity ETF
OneAscent Emerging Markets ETF
OneAscent Large Cap Core ETF
OneAscent Core Plus Bond ETF
Silk Invest New Horizons Frontier Fund*
Standpoint Multi-Asset Fund*
Tactical Multi-Purpose Fund*
