LETTER AGREEMENTExpense Limitation and Recoupment Agreement • January 25th, 2018 • Highland Funds Ii • Massachusetts
SECURITIES LENDING AND SERVICES AGREEMENT BETWEEN HIGHLAND FUNDS II (F/K/A PYXIS FUNDS II) ON BEHALF OF EACH OF ITS SERIES LISTED ON SCHEDULE C AND STATE STREET BANK AND TRUST COMPANYSecurities Lending and Services Agreement • January 25th, 2018 • Highland Funds Ii • Massachusetts
Agreement (the “Agreement”) dated the 29th day of April 2013 between Highland Funds II (f/k/a Pyxis Funds II) (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.
FIRST AMENDMENT TO SECURITIES LENDING AUTHORIZATION AGREEMENT BETWEEN HIGHLAND FUNDS II, ON BEHALF OF ITS SERIES AS LISTED ON SCHEDULE B, AND STATE STREET BANK AND TRUST COMPANYSecurities Lending Authorization Agreement • January 25th, 2018 • Highland Funds Ii
This First Amendment (this “Amendment”) dated as of January 22, 2018 is between HIGHLAND FUNDS II (formerly known as PYXIS FUNDS II), on behalf of its series as listed on Schedule B to the Agreement (as defined below), severally and not jointly, each a registered management investment company organized and existing under the laws of Delaware (each a “Trust”), and STATE STREET BANK AND TRUST COMPANY acting either directly or through any State Street Affiliates (defined below) (collectively, “State Street”).
SECURITIES LENDING AUTHORIZATION AGREEMENT Between PYXIS FUNDS II ON BEHALF OF ITS SERIES AS LISTED ON SCHEDULE B and STATE STREET BANK AND TRUST COMPANYSecurities Lending Authorization Agreement • January 25th, 2018 • Highland Funds Ii • Massachusetts
This Agreement shall be deemed for all purposes to constitute a separate and discrete agreement between State Street and each of the series of shares of the Trust as listed on Schedule B to this Agreement (the Trust acting on behalf of each such series, a “Fund” and collectively, the “Funds”) as it may be amended by the parties, and no series of shares of the Trust shall be responsible or liable for any of the obligations of any other series of the Trust under this Agreement or otherwise, notwithstanding anything to the contrary contained herein.
AMENDMENT TO MASTER SUB-ADMINISTRATION AGREEMENTMaster Sub-Administration Agreement • January 25th, 2018 • Highland Funds Ii • New York
This Amendment to the Master Sub-Administration Agreement is made as of November 29, 2017 (the “Amendment”) by and between State Street Bank and Trust Company, a Massachusetts trust company (the “Sub-Administrator”) and Highland Capital Management Fund Advisors, L.P. (f/k/a Pyxis Capital, L.P.) (the “Administrator”). Capitalized terms used in this Amendment without definition shall have the respective meanings ascribed to such terms in the Agreement.
AMENDMENT TO MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • January 25th, 2018 • Highland Funds Ii
This Amendment, effective as of January 8, 2018 (the “Amendment”), is entered into by and between, STATE STREET BANK AND TRUST COMPANY, (the “Custodian”) and each management investment company identified on Appendix A and Appendix B hereto (each a “Fund”, and collectively the “Funds”).
MASTER MARGIN LOAN AGREEMENT dated as of May 18, 2017 between HIGHLAND SMALL- CAP EQUITY FUND, a series of Highland Funds II, as Borrower and THE BANK OF NEW YORK MELLON as BankMaster Margin Loan Agreement • January 25th, 2018 • Highland Funds Ii • New York
This MASTER MARGIN LOAN AGREEMENT (this “Agreement”), is entered into and dated as of May 18, 2017 (the “Effective Date”), between HIGHLAND FUNDS II, a Massachusetts business trust (the “Fund”), on behalf of its series HIGHLAND SMALL-CAP EQUITY FUND (the “Borrower”), and THE BANK OF NEW YORK MELLON, a New York State chartered bank, as lender (together with its successors and permitted assigns, the “Bank”).
CONTROL AGREEMENTControl Agreement • January 25th, 2018 • Highland Funds Ii • Massachusetts
AMENDMENT TO MASTER ADMINISTRATION AGREEMENTMaster Administration Agreement • January 25th, 2018 • Highland Funds Ii • New York
This Amendment to the Master Administration Agreement is made as of November 29, 2017 (the “Amendment”) by and between State Street Bank and Trust Company, a Massachusetts trust company (the “Administrator”) and each management investment company made subject to the Agreement (as defined below) in accordance therewith (each, a “Trust” and collectively, the “Trusts”). Capitalized terms used in this Amendment without definition shall have the respective meanings ascribed to such terms in the Agreement.
SPECIAL CUSTODY AGREEMENTSpecial Custody Agreement • January 25th, 2018 • Highland Funds Ii • Massachusetts
This Agreement dated as of May 18, 2017 (this “Agreement”), among HIGHLAND FUNDS II, ON BEHALF OF ITS SERIES HIGHLAND SMALL-CAP EQUITY FUND, (“Customer”), THE BANK OF NEW YORK MELLON, a New York Corporation (“Lender”), and STATE STREET BANK AND TRUST COMPANY, as custodian (“Custodian”).
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 • January 25th, 2018 • Highland Funds Ii
This Amendment is made as of this 11th day of December, 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.
