APPENDIX IV-36 LIST OF FUNDS SERVICES & FEES
APPENDIX IV-36
LIST OF FUNDS
SERVICES & FEES
This Appendix IV-36 is part of the Fund Services Agreement (the “Agreement”), dated October 19, 2021, between Northern Lights Fund Trust II (the “Trust”) and Ultimus Fund Solutions, LLC (“UFS”). Set forth below are the Services elected by the Fund(s) identified on this Appendix IV-36 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.
COVERED FUNDS
The Fund(s) to be covered under this Agreement include:
| Fund(s) |
| Xxxxxx Fund |
| Xxxxxx Small Cap Fund |
| Xxxxxx Small Intrinsic Value Fund |
| Xxxxxx Blue Chip Equity Income Fund |
Funds with the same investment adviser are collectively referred to as a “Fund Family.”
[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
Appendix IV-36 | Page 1
APPENDIX IV-36
LIST OF FUNDS
SERVICES & FEES
IN WITNESS WHEREOF, the parties hereto have executed this Appendix IV-36 to the Fund Services Agreement effective as of August 14, 2023.
|
By: _/s/ Xxxxx Xxxx Xxxxx Xxxx President |
ULTIMUS FUND SOLUTIONS, LLC
By: _/s/ Xxxx Xxxxxxx_ Xxxx Xxxxxxx 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) UFS expends substantial time and money, on an ongoing basis, to recruit and train its employees; (2) UFS's business is highly competitive and is marketed throughout the United States, and (3) if the Adviser were to hire any UFS employees who are involved in the procurement of the Services under this Agreement then UFS may suffer lost sales and other opportunities and would incur substantial expense 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 UFS 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 UFS 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.
Xxxxxx Capital Management, Inc.
0000 Xxxxx Xxxxxx
Dallas, TX 75201
By: _/s/ Xxxxx Xxxxxx
Name: Xxxxx Xxxxxx
Title: CEO
Appendix IV-36 | Page 2
