HIGHLAND FLOATING RATE OPPORTUNITIES FUND II AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUSTAgreement and Declaration of Trust • August 25th, 2017 • Highland Floating Rate Opportunities Fund Ii • Massachusetts
THIS AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST made on this 17th day of August, 2017 by the Trustees hereunder and by the holders of shares of beneficial interest issued hereunder and to be issued hereunder as hereinafter provided, amending and restating the Agreement and Declaration of Trust made on the 28th of June, 2017:
FORM OF INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • August 25th, 2017 • Highland Floating Rate Opportunities Fund Ii • Delaware
AGREEMENT made as of [ ], by and between Highland Capital Management Fund Advisors, L.P., a Delaware limited partnership (the “Adviser”), and Highland Floating Rate Opportunities Fund II, a Massachusetts business trust (the “Trust”), on behalf of its series, Highland Floating Rate Opportunities Fund II (the “Fund”).
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 • August 25th, 2017 • Highland Floating Rate Opportunities Fund Ii • New York
THIS AGREEMENT made as of the 2nd day of December, 2012, by and between EACH OF THE ENTITIES, INDIVIDUALLY 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”).
MASTER SUB-ADMINISTRATION AGREEMENTMaster Sub-Administration Agreement • August 25th, 2017 • Highland Floating Rate Opportunities Fund Ii • 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”).
SELLING AND/OR SERVICES AGREEMENT FOR HIGHLAND FAMILY OF FUNDSServices Agreement • August 25th, 2017 • Highland Floating Rate Opportunities Fund Ii • New York
This Selling and/or Services Agreement (“Agreement”) is made by and between [NAME OF INTERMEDIARY] (“Intermediary”) and Highland Capital Funds Distributor, Inc. (“Distributor”), and is effective as of the date accepted and agreed to by the Distributor below.
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 • August 25th, 2017 • Highland Floating Rate Opportunities Fund Ii • 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.
DISTRIBUTION AGREEMENTDistribution Agreement • August 25th, 2017 • Highland Floating Rate Opportunities Fund Ii • New York
This Distribution Agreement (“Agreement”) is made by and between the investment companies of the Highland Family of Funds, identified on Schedule A (each a “Fund” and collectively, the “Funds”) and Highland Capital Fund Distributors, (the “Distributor”), and is effective as of the date accepted and agreed to by the Distributor below .
ADMINISTRATION SERVICES AGREEMENTAdministration Services Agreement • August 25th, 2017 • Highland Floating Rate Opportunities Fund Ii
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”).
Highland Floating Rate Opportunities Funds IIAdministration Services Agreement • August 25th, 2017 • Highland Floating Rate Opportunities Fund Ii
Reference is made to that certain Administration Services Agreement, dated as of December 4, 2006, as amended (the “Agreement”), by and between Highland Capital Management Fund Advisors, L.P., a Delaware limited partnership (the “Highland”) and Highland Funds I, a Delaware statutory trust (the “HFI”).
MASTER CUSTODIAN AGREEMENTAgreement • August 25th, 2017 • Highland Floating Rate Opportunities Fund Ii • New York
AMENDMENT to Transfer Agency and Service Agreement between Highland Funds Each of the Entities, Individually and not Jointly, as listed on Schedule A and Boston Financial Data Services, Inc.Transfer Agency and Service Agreement • August 25th, 2017 • Highland Floating Rate Opportunities Fund Ii
This Amendment is made as of this st day of August, 2017, between each of the entities, individually and not jointly, as listed on Schedule A (collectively, the “Funds” and individually, the “Fund”) and Boston Financial Data Services, Inc. (the “Transfer Agent”). The Funds and the Transfer Agent are parties to a Transfer Agency and Service Agreement dated December 26, 2012, as amended, (the “Agreement”). In accordance with Section 16.1 (Amendment) and Section 17 (Additional Portfolios/Funds) of the Agreement, the parties desire to amend the Agreement as set forth herein.
