ETF FUND SERVICES AGREEMENTEtf Fund Services Agreement • May 17th, 2024 • Northern Lights Fund Trust Ii • New York
THIS ETF FUND SERVICES AGREEMENT (this “Agreement”) dated the 19th day of October, 2021 (the “Effective Date”), is entered into by and between NORTHERN LIGHTS FUND TRUST II, a Delaware statutory trust having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the "Trust") and ULTIMUS FUND SOLUTIONS, LLC, an Ohio limited liability company having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (“UFS”).
AGREEMENT AND PLAN OF REORGANIZATIONAgreement and Plan of Reorganization • May 17th, 2024 • Northern Lights Fund Trust Ii
THIS AGREEMENT AND PLAN OF REORGANIZATION (“Agreement”) is made as of September 20, 2023, among NORTHERN LIGHTS FUND TRUST II, a Delaware statutory trust, with its principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, OH 45246 (“New Trust”), on behalf of each segregated portfolio of assets (“series”) thereof listed under the heading “New Funds” on Schedule A attached hereto (“Schedule A”) (each, a “New Fund”), and PROFESSIONALLY MANAGED PORTFOLIOS, a Massachusetts business trust, with its principal place of business at 615 East Michigan Street, Milwaukee, Wisconsin 53202 (“Old Trust”), on behalf of each series thereof listed under the heading “Existing Funds” on Schedule A (each, an “Existing Fund”), and solely with respect to section 4.8 and paragraph 6, Hodges Capital Management, Inc. (Each of the New Trust and Old Trust is sometimes referred to herein as an “Investment Company” and collectively, as “Investment Companies,” and the New Fund and Existing Fund are so
AMENDMENT NO. 3 TO ETF FUND SERVICES AGREEMENTEtf Fund Services Agreement • May 17th, 2024 • Northern Lights Fund Trust Ii
THIS Amendment NO. 3 TO ETF FUND SERVICES AGREEMENT (this “Amendment”), entered into as of April 11, 2024, by and among Northern Lights Fund Trust II, a Delaware statutory trust (the “Trust”), and Ultimus Fund Solutions, LLC, an Ohio limited liability company (“Ultimus”) (collectively, the “Parties”).
AMENDMENT TO CUSTODIAN AND TRANSFER AGENT AGREEMENTCustodian and Transfer Agent Agreement • May 17th, 2024 • Northern Lights Fund Trust Ii
THIS AMENDMENT TO CUSTODIAN AND TRANSFER AGENT AGREEMENT (this “Amendment”) is made as of April 11, 2024 by and between BROWN BROTHERS HARRIMAN & CO., a limited partnership organized under the laws of the State of New York (“BBH&Co.” or, when referring to BBH&Co. in its capacity as custodian, the “Custodian,” and when referring to BBH&Co. in its capacity as transfer agent, the “TA”), and NORTHERN LIGHTS FUND Trust II (the “Fund”), an open-end management investment company organized under the laws of the State of Delaware and registered with the Securities and Exchange Commission under the Investment Company Act of 1940, for itself and on behalf of each of its Portfolios listed on Schedule I to the Agreement (as defined below).
AMENDMENT NO. 1 TO FUND SERVICES AGREEMENTFund Services Agreement • May 17th, 2024 • Northern Lights Fund Trust Ii
THIS Amendment NO. 1 TO FUND SERVICES AGREEMENT (this “Amendment”), effective as of November 1, 2023, by and among Northern Lights Fund Trust II, a Delaware statutory trust (the “Trust”), and Ultimus Fund Solutions, LLC, an Ohio limited liability company (“Ultimus”) (collectively, the “Parties”).
AMENDMENT NO. 1 TO ETF FUND SERVICES AGREEMENTEtf Fund Services Agreement • May 17th, 2024 • Northern Lights Fund Trust Ii
THIS Amendment NO. 1 TO ETF FUND SERVICES AGREEMENT (this “Amendment”), effective as of May 17, 2023, by and among Northern Lights Fund Trust II, a Delaware statutory trust (the “Trust”), and Ultimus Fund Solutions, LLC, an Ohio limited liability company (“Ultimus”) (collectively, the “Parties”).
AMENDMENT NO. 2 TO ETF FUND SERVICES AGREEMENTEtf Fund Services Agreement • May 17th, 2024 • Northern Lights Fund Trust Ii
THIS Amendment NO. 2 TO ETF FUND SERVICES AGREEMENT (this “Amendment”), effective as of November 1, 2023, by and among Northern Lights Fund Trust II, a Delaware statutory trust (the “Trust”), and Ultimus Fund Solutions, LLC, an Ohio limited liability company (“Ultimus”) (collectively, the “Parties”).
DERIVATIVES RISK MANAGEMENT PROGRAM SUPPORT SERVICES ADDENDUMDerivatives Risk Management Program Support Services Addendum • May 17th, 2024 • Northern Lights Fund Trust Ii
This Derivatives Risk Management Program Support Services Addendum (this “Addendum”) with an effective date of August 1, 2022 shall be attached to and governed by that certain Fund Services Agreement between Ultimus Fund Solutions, LLC (“Ultimus”) and Northern Lights Fund Trust II (the “Trust”) dated October 19, 2021 (the “Agreement). All capitalized terms used herein, unless otherwise defined, have the meaning ascribed to them in the Agreement as it may be supplemented or amended from time to time.
DERIVATIVES RISK MANAGEMENT PROGRAM SUPPORT SERVICES ADDENDUMDerivatives Risk Management Program Support Services Addendum • May 17th, 2024 • Northern Lights Fund Trust Ii
This Derivatives Risk Management Program Support Services Addendum (this “Addendum”) with an effective date of May 17, 2023 shall be attached to and governed by that certain ETF Fund Services Agreement between Ultimus Fund Solutions, LLC (“Ultimus”) and Northern Lights Fund Trust II (the “Trust”) dated October 19, 2021 (the “Agreement). All capitalized terms used herein, unless otherwise defined, have the meaning ascribed to them in the Agreement as it may be supplemented or amended from time to time.
