INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • July 3rd, 2024 • Unified Series Trust • Delaware
This INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”) is made as of the [____] day of [_____________] 2024, by and between Welton Investment Partners, LLC, a Delaware limited liability company located at Eastwood Building, San Carlos Between 5th and 6h, P.O. Box 6147, Carmel, California USA 93921 (the “Sub-Adviser”), and Efficient Capital Management, LLC, a Delaware limited liability company located at 4355 Weaver Parkway, Suite 200, Warrenville, Illinois USA 60555 (the “Adviser”). The Adviser and the Sub-Adviser are each and individually a “Party” and collectively the “Parties.”
AMENDMENT TO DISTRIBUTION AGREEMENTDistribution Agreement • July 3rd, 2024 • Unified Series Trust
This Amendment (“Amendment”) is made as of May 21, 2024, by and between Unified Series Trust (the “Trust”) and Ultimus Fund Distributors, LLC (“Distributor”), and amends the Distribution Agreement, made as of February 1, 2019 (the “Agreement). All capitalized terms used in the Amendment and not defined herein shall have the meaning ascribed to them in the Agreement.
UNIFIED SERIES TRUST OPERATING EXPENSE LIMITATION AGREEMENT EFFICIENT ENHANCED multi-asset fundOperating Expense Limitation Agreement • July 3rd, 2024 • Unified Series Trust • Ohio
THIS OPERATING EXPENSE LIMITATION AGREEMENT (the “Agreement”) is effective as of the 21st day of May, 2024, by and between UNIFIED SERIES TRUST, an Ohio business trust (the “Trust”), on behalf of each series of the Trust set forth on Appendix A attached hereto (each a “Fund” and collectively the “Funds”) and the investment adviser of the Funds, Efficient Capital Management, LLC (the “Adviser”).
INVESTMENT ADVISORY AGREEMENT Between EFFICIENT ENHANCED MULTI-ASSET (CAYMAN) FUND, LTD. and EFFICIENT CAPITAL MANAGEMENT, LLCInvestment Advisory Agreement • July 3rd, 2024 • Unified Series Trust • Delaware
THIS INVESTMENT ADVISORY AGREEMENT, made as of May 31st, 2024 between Efficient Enhanced Multi-Asset (Cayman) Fund, Ltd., an exempted company incorporated in the Cayman Islands with limited liability (the “Fund”), and Efficient Capital Management, LLC, a Delaware limited liability company (the “Adviser”) located at 4355 Weaver Parkway, Suite 200, Warrenville, Illinois 60555.
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • July 3rd, 2024 • Unified Series Trust • Delaware
This INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”) is made as of the [____] day of [___________] 2024, by and between Winton Capital Management Limited, a limited liability company incorporated in England and Wales, located at One Hooper’s Court, Knightsbridge, London SW3 1AF, United Kingdom (the “Sub-Adviser”), and Efficient Capital Management, LLC, a Delaware limited liability company located at 4355 Weaver Parkway, Suite 200, Warrenville, Illinois USA 60555 (the “Adviser”). The Adviser and the Sub-Adviser are each and individually a “Party” and collectively the “Parties.”
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • July 3rd, 2024 • Unified Series Trust • Delaware
This INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”) is made as of the [_____] day of [_________________] 2024, by and between AQR Capital Management, LLC, a Delaware limited liability company located at One Greenwich Plaza, Suite 130, Greenwich, Connecticut 06830 (the “Sub-Adviser”), and Efficient Capital Management, LLC, a Delaware limited liability company located at 4355 Weaver Parkway, Suite 200, Warrenville, Illinois USA 60555 (the “Adviser”). The Adviser and the Sub-Adviser are each and individually a “Party” and collectively the “Parties.”
SUBADVISORY AGREEMENTSubadvisory Agreement • July 3rd, 2024 • Unified Series Trust • Massachusetts
Agreement made as of the [___] day of [___________] 2024, by and between Efficient Capital Management, LLC, a Delaware limited liability company (“Investment Manager”), and Columbia Management Investment Advisers, LLC, a Minnesota limited liability company (“Subadviser”).
AMENDMENT TO AMENDED AND RESTATED CONSULTING AGREEMENTConsulting Agreement • July 3rd, 2024 • Unified Series Trust
THIS AMENDMENT TO AMENDED AND RESTATED CONSULTING AGREEMENT (this “Amendment”) is effective as of May 21, 2024, and is made by and between UNIFIED SERIES TRUST, an Ohio business trust having its office and principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the “Trust”), and NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company having its office and principal place of business at 4221 North 203rd Street, Suite 100, Elkhorn, Nebraska 68022 (“NLCS”).
MANAGEMENT AGREEMENTManagement Agreement • July 3rd, 2024 • Unified Series Trust
Unified Series Trust (the “Trust”) herewith confirms our agreement with Efficient Capital Management, LLC (“you” or the “Adviser”) pursuant to this Management Agreement (the “Agreement”).
UNIFIED SERIES TRUST AMENDMENT TO THE CUSTODY AGREEMENTCustody Agreement • July 3rd, 2024 • Unified Series Trust
THIS AMENDMENT dated as of the last date in the signature block (the “Effective Date”), to the Custody Agreement dated as of September 23, 2005, as amended (the “Agreement”), is entered by and between UNIFIED SERIES TRUST, an Ohio business trust (the “Trust”) and U.S. BANK NATIONAL ASSOCIATION, a national banking association (the “Custodian”).
