INTERIM INVESTMENT ADVISORY AGREEMENTInterim Investment Advisory Agreement • July 29th, 2011 • Unified Series Trust • Ohio
THIS INTERIM INVESTMENT ADVISORY AGREEMENT (“Agreement”) made as of the 18th day of July, 2011 by and between Dean Investment Associates, LLC (“you”), an Ohio limited liability company, and Unified Series Trust (the “Trust”), an Ohio business trust.
INTERIM INVESTMENT SUB-ADVISORY AGREEMENTInterim Investment Sub-Advisory Agreement • July 29th, 2011 • Unified Series Trust • Ohio
THIS INTERIM INVESTMENT SUB-ADVISORY AGREEMENT (“AGREEMENT”) is made and entered into as of the 18th day of July, 2011, by and between Dean Capital Management, LLC, a Kansas limited liability company located at 7450 West 130th Street, Suite 150, Overland Park, Kansas 66213 (the “Sub-Advisor”), and Dean Investment Associates, LLC, an Ohio limited liability company located at 3500 Pentagon Blvd., Beavercreek, OH 45431 (the “Advisor”).
Dean Investment Associates Letterhead] Letter Agreement July 28, 2011Letter Agreement • July 29th, 2011 • Unified Series Trust
SYMONS CAPITAL MANAGEMENT, INC.Letter Agreement • July 29th, 2011 • Unified Series Trust
Effective as of April 1, 2011, we hereby agree to waive our advisory fee and/or reimburse expenses of the Fund, but only to the extent necessary to maintain the Fund’s total annual operating expenses (excluding brokerage fees and commissions; borrowing costs such as (a) interest and (b) dividend expenses on securities sold short; taxes; 12b-1 fees, if any; any indirect expenses such as expenses incurred by other investment companies in which the Fund may invest; and extraordinary litigation expenses) at 1.46% of the Fund’s average daily net assets. This Agreement shall continue in place until the earlier to occur of March 31, 2016, or such date as the Fund is liquidated in accordance with the provisions of the Trust’s Declaration of Trust or Bylaws. We understand that we may not terminate or amend this Agreement prior to March 31, 2016, except that we may voluntarily agree to lower the expense cap below 1.46%.
