UNDERWRITING AGREEMENT between CLA STRATEGIC ALLOCATION FUNDUnderwriting Agreement • January 9th, 2015 • CLA Strategic Allocation Fund • Nebraska
THIS UNDERWRITING AGREEMENT effective the 10th day of November, 2014, by and between CLA STRATEGIC ALLOCATION FUND, formerly TRICOR STRATEGIC ALLOCATION FUND, a Delaware statutory trust, having its principal office and place of business at 10501 W. Gowan Road, Suite 260, Las Vegas, Nevada 89129 (the “Trust”), and NORTHERN LIGHTS DISTRIBUTORS, LLC, a Nebraska limited liability company having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“NLD”).
FUND SERVICES AGREEMENT between CLA STRATEGIC ALLOCATION FUND (formerly TriCor Strategic Allocation Fund) andFund Services Agreement • January 9th, 2015 • CLA Strategic Allocation Fund • New York
THIS FUND SERVICES AGREEMENT (this “Agreement”) made as of the 10th day of November, 2014, by and between CLA STRATEGIC ALLOCATION FUND, formerly TRICOR STRATEGIC ALLOCATION FUND, a registered investment company organized as a Delaware statutory trust, having its principal office and place of business at 10501 W. Gowan Road, Suite 260, Las Vegas, Nevada 89129 (the “Trust”) and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 17605 Wright Street, Suite 2, Omaha, Nebraska 68130 (“GFS”). This Agreement replaces and supersedes all prior understandings and agreements between the parties hereto for the services described below.
MANAGEMENT AGREEMENTManagement Agreement • January 9th, 2015 • CLA Strategic Allocation Fund • New York
The Trust has been organized to engage in the business of a closed-end management investment company. The Trust currently offers one series of shares to investors.
ContractCustodian Agreement • January 9th, 2015 • CLA Strategic Allocation Fund • California
This Custodian Agreement (“Agreement”) is made as of January 16, 2015 by and between TriCor Strategic Allocation Fund ("Principal") and MUFG Union Bank, N.A. ("Custodian").
SELLING AGREEMENTSelling Agreement • January 9th, 2015 • CLA Strategic Allocation Fund • Nebraska
Northern Lights Distributors, LLC (the “Distributor”) serves as the principal underwriter of shares of CLA Strategic Allocation Fund (the “Fund”), a closed-end investment company, shares of which company is distributed by Distributor at its respective net asset value plus sales charges as applicable, pursuant to a written agreement (the “Underwriting Agreement”). Distributor invites you (the “Company”) to participate as a non-exclusive agent in the distribution of shares of the Fund upon the following terms and conditions:
OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENTOperating Expenses Limitation and Security Agreement • January 9th, 2015 • CLA Strategic Allocation Fund • Delaware
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 10th day of November, 2014, by and between CLA Strategic Allocation Fund, a Delaware statutory trust (the “Trust” or the “Fund”) and CLA Asset Management, LLC, the adviser of the Fund (the “Adviser”).
