AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • October 28th, 2013 • Highland Funds I • Delaware
AGREEMENT made as of December 4, 2006, by and between Highland Capital Management Fund Advisors, L.P. (formerly, Pyxis Capital, L.P., and formerly Highland Funds Asset Management, L.P.), a Delaware limited partnership (the “Adviser”), and Highland Funds I (formerly, Pyxis Funds I, and formerly Highland Funds I), a Delaware statutory trust (the “Trust”), on behalf of its series, Highland Long/Short Equity Fund (formerly, Pyxis Long/Short Equity Fund, formerly Highland Long/Short Equity Fund, and formerly Highland Equity Opportunities Fund) (the “Fund”).
AMENDED AND RESTATED CREDIT AGREEMENT, dated as of June 13, 2011 among HIGHLAND FLOATING RATE OPPORTUNITIES FUND, a series of Highland Funds I STATE STREET BANK AND TRUST COMPANY, and the other lending institutions party hereto and STATE STREET BANK...Credit Agreement • October 28th, 2013 • Highland Funds I
AMENDED AND RESTATED CREDIT AGREEMENT, dated as of June 13, 2011 (this “Agreement”), by and among (i) HIGHLAND FUNDS I, a Delaware statutory trust (the “Fund”), on behalf of its series HIGHLAND FLOATING RATE OPPORTUNITIES FUND (the “Borrower”); (ii) the one or several banks from time to time parties to this Agreement (the “Banks”); and (iii) STATE STREET BANK AND TRUST COMPANY, a Massachusetts trust company, as agent for the Banks hereunder (in such capacity, the “Agent”).
SECURITIES LENDING AND SERVICES AGREEMENT BETWEEN HIGHLAND FUNDS I (F/K/A PYXIS FUNDS I) ON BEHALF OF EACH OF ITS SERIES LISTED ON SCHEDULE C AND STATE STREET BANK AND TRUST COMPANYSecurities Lending and Services Agreement • October 28th, 2013 • Highland Funds I • Massachusetts
Agreement (the “Agreement”) dated the 4th day of March 2013 between Highland Funds I (f/k/a Pyxis Funds I) (the “Trust”), on behalf of each of its series listed on Schedule C, severally and not jointly (collectively, the “Funds”, and the Trust acting on behalf of the Funds, the “Borrower”), and State Street Bank and Trust Company, a Massachusetts trust company (“State Street”), setting forth the terms and conditions under which State Street, acting as principal and not as agent on behalf of any party, may from time to time lend certain securities to the Borrower against the receipt of Securities Loan Collateral, as defined herein.
MASTER SUB-ADMINISTRATION AGREEMENTMaster Sub-Administration Agreement • October 28th, 2013 • Highland Funds I • New York
This Master Sub-Administration Agreement (“Agreement”) dated and effective as of January 7, 2013, is by and between State Street Bank and Trust Company, a Massachusetts trust company (the “Sub-Administrator”), and Pyxis Capital, L.P., a Delaware Limited Partnership (the “Administrator”).
ADMINISTRATION SERVICES AGREEMENTAdministration Services Agreement • October 28th, 2013 • Highland Funds I
THIS AGREEMENT is made as of December 4, 2006 by and between HIGHLAND CAPITAL MANAGEMENT, L.P., a Delaware limited partnership (“Highland”), and HIGHLAND FUNDS I, a Delaware statutory trust (the “Trust”).
TRANSFER AGENCY AND SERVICE AGREEMENT BETWEEN EACH OF THE ENTITIES, INDIVIDUALLY AND NOT JOINTLY, AS LISTED ON SCHEDULE A AND BOSTON FINANCIAL DATA SERVICES, INC.Transfer Agency and Service Agreement • October 28th, 2013 • Highland Funds I • New York
THIS AGREEMENT made as of the 26th day of December, 2012, by and between EACH OF THE ENTITIES, JNDIVIDUALLY AND NOT JOINTLY, as listed on Schedule A, having their principal office and place of business at 200 Crescent Court, Suite 700, Dallas, Texas 75201 (collectively, the “Funds” and individually, the “Fund”) and BOSTON FINANCIAL DATA SERVICES, INC., a Massachusetts corporation having its principal office and place of business at 2000 Crown Colony Drive, Quincy, Massachusetts 02169-0953 (the “Transfer Agent”).
LETTER AGREEMENTExpense Limitation and Recoupment Agreement • October 28th, 2013 • Highland Funds I • Delaware
AMENDED AND RESTATED INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • October 28th, 2013 • Highland Funds I • Delaware
AGREEMENT made as of May 6, 2010, by and among Highland Funds I (formerly, Pyxis Funds I, and formerly Highland Funds I), a Delaware statutory trust (the “Trust”), on behalf of its series Highland Long/Short Healthcare Fund (formerly, Pyxis Long/Short Healthcare Fund, formerly Highland Long/Short Healthcare Fund, and formerly Highland Healthcare Fund) (the “Fund”), Highland Capital Management Fund Advisors, L.P. (formerly, Pyxis Capital, L.P. and formerly Highland Funds Asset Management, L.P.), a Delaware limited partnership (the “Adviser”) and Cummings Bay Capital Management, L.P., a Delaware limited partnership (the “Sub-Adviser”).
AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • October 28th, 2013 • Highland Funds I • Delaware
AGREEMENT made as of June 10, 2011, by and between Highland Capital Management Fund Advisors, L.P. (formerly, Pyxis Capital, L.P., and formerly Highland Funds Asset Management, L.P.), a Delaware limited partnership (the “Adviser”), and Highland Funds I (formerly, Pyxis Funds I, and formerly Highland Funds I), a Delaware statutory trust (the “Trust”), on behalf of its series listed on Exhibit A attached hereto and made a part hereof, as such Exhibit A may be amended from time to time (each a “Fund”).
LETTER AGREEMENTExpense Limitation and Recoupment Agreement • October 28th, 2013 • Highland Funds I • Delaware
Pyxis Funds I Underwriting AgreementUnderwriting Agreement • October 28th, 2013 • Highland Funds I
Effective as of the closing of the sale of BNY Mellon Distributors LLC to Foreside Distributors, LLC by The Bank of New York Mellon Corporation, Pyxis Funds I (the “Fund Company”), on behalf of each series thereof (each a “Fund” and collectively, the “Funds”), and Foreside Funds Distributors LLC (the “Distributor”) hereby enter into this Underwriting Agreement on terms identical to those of the Underwriting Agreement between the parties effective as of July 1, 2010, as amended (the “Existing Agreement”) except as noted below. Capitalized terms used herein without definition have the meanings given them in the Existing Agreement.
Underwriting Agreement for: HIGHLAND FUNDS IUnderwriting Agreement • October 28th, 2013 • Highland Funds I
Effective as of the closing of the sale of PNC Global Investment Servicing Inc., the indirect parent of PFPC Distributors, Inc. to THE BANK OF NEW YORK MELLON CORPORATION by THE PNC FINANCIAL SERVICES GROUP, INC., HIGHLAND FUNDS I (the “Fund”), on behalf of each portfolio thereof (each a “Portfolio” and collectively, the “Portfolios”), and BNY Mellon Distributors Inc. (formerly known as PFPC Distributors, Inc.) (the “Distributor”) hereby enter into this Underwriting Agreement on terms identical to those of the Underwriting Agreement between the parties effective as of December 4, 2006, as amended from time to time (the “Existing Agreement”) except as noted below. Capitalized terms used herein without definition have the meanings given them in the Existing Agreement.
LETTER AGREEMENTManagement Fee Waiver Agreement • October 28th, 2013 • Highland Funds I • Delaware
LETTER AGREEMENTExpense Limitation and Recoupment Agreement • October 28th, 2013 • Highland Funds I • Delaware
