PRINCIPAL UNDERWRITING AGREEMENTPrincipal Underwriting Agreement • December 26th, 2019 • M Funds Trust • New York
THIS PRINCIPAL UNDERWRITING AGREEMENT (the “Agreement”) is dated as of [ ], 20[ ] by and between M+ FUNDS TRUST (the “Trust”) on behalf of each series of the Trust listed on Schedule A hereto (each a “Series of Trust”) and COWEN PRIME SERVICES, LLC, as Depositor (the “Company”).
ContractMaster Trust Agreement • December 26th, 2019 • M Funds Trust • Delaware
This MASTER TRUST AGREEMENT is dated as of December 18, 2019, and is among Cowen Prime Services, LLC, as Depositor, Alaia Capital, LLC, as Portfolio Consultant, Evaluator and Supervisor, and The Bank of New York Mellon, as Trustee. The Trust formed by this Trust Agreement shall be governed by the terms of this Trust Agreement; the Trust may from time to time create Series; and each Series created within the Trust shall be governed by the related Series Trust Agreement by and among the parties named therein and this Trust Agreement.
UNIT INVESTMENT TRUST FORM OF DEALER AGREEMENTM Funds Trust • December 26th, 2019 • New York
Cowen Prime Services, LLC (“Cowen”) serves as the principal underwriter for m+ funds Trust, Series [●] (together with any future series for which Cowen may serve as underwriter, the “Series”), a separate Series of m+ funds Trust, a unit investment trust (the “Trust”) registered under the Investment Company Act of 1940, as amended (the “1940 Act”). Cowen and [DEALER NAME] (“Dealer”) hereby agree that Dealer will participate in the distribution of units (“Units”) of each Series, subject to the terms of this dealer agreement, dated as of [DATE OF AGREEMENT] (“Agreement”).
m+ FUNDS TRUST, SERIES [●] SERIES TRUST AGREEMENTSeries Trust Agreement • December 26th, 2019 • M Funds Trust
This Series Trust Agreement (the “Series Trust Agreement”) among Cowen Prime Services, LLC, as Depositor, Alaia Capital, LLC, as Portfolio Consultant, Evaluator and Supervisor, and The Bank of New York Mellon, as Series Trustee, supplements the Master Trust Agreement, dated as of December 18, 2019, among the Depositor, the Portfolio Consultant, Evaluator and Supervisor and The Bank of New York Mellon, as Trustee and sets forth certain provisions in full and incorporates other provisions by reference to the document entitled “Standard Terms and Conditions of Trust For m+ funds Trust, Effective for Unit Investment Trusts Investing in Equity Securities, Debt Securities and/or Derivative Transactions Established On and After December 18, 2019 (the “Standard Terms and Conditions of Trust”) and such provisions as are set forth in full and such provisions as are incorporated by reference. The Master Trust Agreement created m+ funds Trust (the “Trust”). This Series Trust Agreement, including t
AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF COWEN PRIME SERVICES LLCLimited Liability Company Agreement • December 26th, 2019 • M Funds Trust • Delaware
This Amended and Restated Limited Liability Company Agreement (this “Agreement”) of Cowen Prime Services LLC (f/k/a Concept Capital Markets, LLC) (the “Company”) is entered into by Cowen PB Holdings LLC, a Delaware limited liability company (the “Member”) and the Company.
