CUSTODY AGREEMENTCustody Agreement • September 5th, 2012 • Compass EMP Funds Trust • Minnesota
THIS AGREEMENT is made and entered into as of this 14th day of August, 2012, by and between COMPASS EMP FUNDS TRUST, a Delaware statutory trust (the “Trust”), acting for and on behalf of each series as are currently authorized and issued by the Trust or may be authorized and issued by the Trust subsequent to the date of this Agreement (each a “Fund” and collectively the “Funds”) and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America (the “Custodian”).
MANAGEMENT AGREEMENTManagement Agreement • September 5th, 2012 • Compass EMP Funds Trust • Ohio
The Trust has been organized to engage in the business of an open-end management investment company. The Trust currently intends to offer 17 series of shares to investors.
UNDERWRITING AGREEMENT Between COMPASS EMP FUNDS TRUST and NORTHERN LIGHTS DISTRIBUTORS, LLCUnderwriting Agreement • September 5th, 2012 • Compass EMP Funds Trust • Nebraska
THIS UNDERWRITING AGREEMENT made the 12th day of July 2012 by and between COMPASS EMP FUNDS TRUST, a Delaware statutory trust, having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (the “Trust”), and NORTHERN LIGHTS DISTRIBUTORS, LLC, a Nebraska limited liability company having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“NLD”).
FUND SERVICES AGREEMENT between COMPASS EMP FUNDS TRUST andFund Services Agreement • September 5th, 2012 • Compass EMP Funds Trust • New York
THIS FUND SERVICES AGREEMENT (the “Agreement”) effective as of the 12th day of July, 2012, by and between COMPASS EMP FUNDS TRUST, a Delaware business trust having its principal office and place of business at 4020 S. 147th Street, Omaha, Nebraska 68137 (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.
SELLING AGREEMENTSelling Agreement • September 5th, 2012 • Compass EMP Funds Trust • Nebraska
Northern Lights Distributors, LLC (the “Distributor”) serves as the principal underwriter of shares of the Compass EMP Funds Trust (the “Trust”), an open-end investment company in series form, shares of which companies are distributed by Distributor at their respective net asset values 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 any and all of the funds subject to Distributor’s Underwriting Agreement, that are a part of, or may become a part of, the Trust1 (each, a “Fund,” together the “Funds”) upon the following terms and conditions:
Expense Limitation AgreementExpense Limitation Agreement • September 5th, 2012 • Compass EMP Funds Trust
SUBSCRIPTION AGREEMENT BETWEEN THE FUND AND THE INVESTOR COMPASS EMP ULTRA SHORT-TERM FIXED INCOME FUND LETTER OF INVESTMENT INTENTSubscription Agreement • September 5th, 2012 • Compass EMP Funds Trust
Effective as of the date first written above, the undersigned (the "Purchaser") subscribes to purchase a beneficial interest ("Interest") in the Compass EMP Ultra Short-Term Fixed Income Fund, in the amount of $100,000.00 for 10,000 shares (in any combination of Class A shares Load waived and/or Class I shares, or of solely Class A shares load waived or Class I 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.
