UNDERWRITING AGREEMENT Between THE MULTI‐STRATEGY GROWTH & INCOME FUND and NORTHERN LIGHTS DISTRIBUTORS, LLCUnderwriting Agreement • November 16th, 2011 • Multi-Strategy Growth & Income Fund • Nebraska
THIS UNDERWRITING AGREEMENT made the 19th day of September 2011 by and between THE MULTI‐STRATEGY GROWTH & INCOME FUND, a Delaware statutory trust, having its principal office and place of business at 450 Wireless Boulevard, Hauppauge, NY 11788 (the “Trust”), and NORTHERN LIGHTS DISTRIBUTORS, LLC, a Nebraska limited liability company having its principal office and place of business at 4020 South 147th Street, Omaha, Nebraska 68137 (“NLD”).
By-Laws of THE MULTI-STRATEGY GROWTH & INCOME FUNDBy-Laws • November 16th, 2011 • Multi-Strategy Growth & Income Fund
FUND SERVICES AGREEMENT between THE MULTI-STRATEGY GROWTH & INCOME FUND andFund Services Agreement • November 16th, 2011 • Multi-Strategy Growth & Income Fund • New York
THIS FUND SERVICES AGREEMENT (the “Agreement”) made as of the 19th day of September, 2011, by and between THE MULTI-STRATEGY GROWTH & INCOME FUND, a Delaware statutory trust having its principal office and place of business at 450 Wireless Blvd., Hauppauge, New York 11788 (the "Trust") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 4020 South 147th Street, Omaha, Nebraska 68137 (“GFS”). This Agreement replaces and supersedes all prior understandings and agreements between the parties hereto for the services described below.
SUBADVISORY AGREEMENTSubadvisory Agreement • November 16th, 2011 • Multi-Strategy Growth & Income Fund • Delaware
THIS AGREEMENT is made and entered into as of the 11 day of November, 2011, by and between RJL Captial Management, LLC (the “Adviser”), a California limited liability company registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and FIRST ALLIED ASSET MANAGEMENT, INC., a corporation organized under the laws of Delaware (the “Subadviser”) and also registered under the Advisers Act, with respect to The Multi-Strategy Growth & Income Fund (the “Fund” or the "Trust").
CONSULTING AGREEMENTConsulting Agreement • November 16th, 2011 • Multi-Strategy Growth & Income Fund • New York
This Consulting Agreement (the “Agreement”) is effective September 19, 2011 between NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company located at 450 Wireless Boulevard, Hauppauge, NY 11788 (“NLCS”), and THE MULTI-STRATEGY GROWTH & INCOME FUND, a registered investment company organized as a Delaware statutory trust, located at c/o Gemini Fund Services, LLC, 450 Wireless Boulevard, Hauppauge, NY 11788 (the "Trust"), on behalf of the portfolio listed on the attached Appendix A (each a “Fund” and collectively “Funds”).
INVESTMENT ADVISORY AGREEMENT between THE MULTI-STRATEGY GROWTH & INCOME FUND and RJL CAPITAL MANAGEMENT, LLCInvestment Advisory Agreement • November 16th, 2011 • Multi-Strategy Growth & Income Fund • New York
AGREEMENT, is between THE MULTI-STRATEGY GROWTH & INCOME FUND, a Delaware statutory trust (the "Trust"), and RJL CAPITAL MANAGEMENT, LLC a California limited liability company (the "Adviser") located at 13520 Evening Creek Drive N., Suite 300, San Diego, CA 92128.
SUBSCRIPTION AGREEMENT BETWEEN THE FUND AND THE INVESTORSubscription Agreement • November 16th, 2011 • Multi-Strategy Growth & Income Fund
The undersigned (the "Purchaser") hereby subscribes to purchase a beneficial interest ("Interest") in the The Multi-Strategy Growth & Income Fund, in the amount of $100,000.00 for 10,000 shares at net asset value of $10.00 per share, in consideration for which the Purchaser agrees to transfer to you upon demand cash in the amount of$100,000.00.
THE MULTI-STRATEGY GROWTH & INCOME FUND OPERATING EXPENSES LIMITATION AGREEMENT THE MULTI-STRATEGY GROWTH & INCOME FUNDOperating Expenses Limitation Agreement • November 16th, 2011 • Multi-Strategy Growth & Income Fund • New York
WHEREAS, the Advisor renders advice and services to the Fund pursuant to the terms and provisions of an Investment Advisory Agreement between the Trust and the Advisor dated as of the 19th day of September, 2011 (the “Investment Advisory Agreement”); and
SELLING AGREEMENTSelling Agreement • November 16th, 2011 • Multi-Strategy Growth & Income Fund • Nebraska
Northern Lights Distributors, LLC (the "Distributor") serves as the principal underwriter of shares of The Multi-Strategy Growth & Income Fund (the "Fund"], a closed-end investment company, shares of which company is distributed by Distributor at its respective net asset value plus sales charges as applicable, pursuant to a written agreement (the "Underwriting Agreement"). Distributor invites you (the "Company") to participate as a non-exclusive agent in the distribution of shares of the Fund upon the following terms and conditions:
