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 June 28, 2022 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 Xxxxxxx and Restated Consulting Agreement dated April 1, 2021 (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; and
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. | Section 14.O. to the Agreement hereby is deleted in its entirety and replaced with the following: |
Notices. All notices and other communications hereunder shall be in writing and shall be deemed duly given (a) on the date of delivery if delivered personally, (b) on the fifth Business Day following the date of mailing, if mailed by registered or certified mail, return receipt requested, postage prepaid to the party to receive such notice, (c) if dispatched via a nationally recognized overnight courier service (delivery receipt requested) with charges paid by the dispatching party, on the later of (i) the first Business Day following the date of dispatch, or (ii) the scheduled date of delivery by such service, or (d) on the date sent by electronic mail if sent during normal business hours of the recipient during a Business Day, and otherwise on the next Business Day, if sent after normal business hours of the recipient, provided that in the case of electronic mail, each notice or other communication shall be confirmed within one Business Day by dispatch of a copy of such notice pursuant to one of the other methods described herein, at the following addresses, or such other address as a party may designate from time to time by notice in accordance with this Section.
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To the Trust: Attn: Xxxxxx X. Xxxx, President 000 Xxxxxxxx Xxxxx, Xxxxx 000 Xxxxxxxxxx, XX 00000 xxxxx@xxxxxxxxxxxxxxxxxxxx.xxx |
To NLCS:
Northern Lights Compliance Services, LLC Attn: Legal Department 0000 Xxxxx 000xx Xxxxxx, Xxxxx 000 Xxxxxxx, XX 00000 xxxxx@xxxxxxxxxxxx.xxx |
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With a copy to: |
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Xxxxxxxx Xxxx Xxxxxxxxx Xxxxxxxx, Esq. 000 Xxxxxx Xxxxxx, Xxxxx 0000 Xxxxxxxxxx, Xxxx 00000-4024 Xxxxxxxxx.xxxxxxxx@xxxxxxxxxxxx.xxx |
| 2. | Schedule A to the Agreement hereby is deleted in its entirety and replaced with |
Schedule A attached hereto.
| 3. | 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/ Xxxxxx X. Xxxx Xxxxxx X. Xxxx President |
NORTHERN LIGHTS COMPLIANCE SERVICES, LLC
By: /s/ Xxxxx Xxxxxx Xxxxx Xxxxxx President |
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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 June 28, 2022.
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By: /s/ Xxxxxx X. Xxxx Xxxxxx X. Xxxx President |
NORTHERN LIGHTS COMPLIANCE SERVICES, LLC
By: /s/ Xxxxx Xxxxxx Xxxxx Xxxxxx President |
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Schedule D
LIST OF FUNDS
As of June 28, 2022
(Funds marked with an “*” are “Grandfathered Funds” for purposes of Schedule A of the Agreement)
Absolute Core Strategy ETF*
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*
LHA Tactical Beta Variable Series Fund
NightShares 2000 ETF
NightShares 500 ETF
OneAscent Large Cap Core ETF
OneAscent Core Plus Bond ETF
Silk Invest New Horizons Frontier Fund*
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Standpoint Multi-Asset Fund*
Tactical Multi-Purpose Fund*
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