COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • March 31st, 2014 • Unified Series Trust
THIS COMPLIANCE SERVICES AGREEMENT (the “Agreement”) effective as of May 31, 2013 (the “Effective Date”) between Unified Series Trust, an Ohio business trust (the “Trust”), and Buttonwood Compliance Partners, LLC, a Florida limited liability company (“Buttonwood”).
THIRD AMENDMENT TO MUTUAL FUND SERVICES AGREEMENTMutual Fund Services Agreement • March 31st, 2014 • Unified Series Trust • Indiana
This Third Amendment to the Mutual Fund Services Agreement (“Amendment”) is entered into and effective as of August , 2013 by and between Huntington Asset Services, Inc., formerly Unified Fund Services, Inc. (“HASI”), with its principal place of business at 2960 North Meridian Street, Suite 300, Indianapolis, IN 46208 (“Huntington”), and Unified Series Trust, an Ohio business trust (the “Trust”).
ContractUnified Series Trust • March 31st, 2014
Effective as of April 1, 2014, we hereby agree to waive our advisory fee and/or reimburse expenses of the Fund, but only to the extent necessary to maintain the Fund’s total annual operating expenses, excluding brokerage fees and commissions; borrowing costs (such as (a) interest and (b) dividend expenses on securities sold short); any 12b-1 fees; taxes; any indirect expenses, such as fees and expenses of acquired funds; and extraordinary litigation expenses) at 1.10% of the Fund’s average daily net assets. This Agreement shall continue in place until the earlier to occur of March 31, 2015, or such date as the Fund is liquidated in accordance with the provisions of the Declaration of Trust or Bylaws. We understand that we may not terminate this Agreement prior to such date, except that we may voluntarily agree to lower the expense cap.
