PRINCIPAL UNDERWRITING AGREEMENTPrincipal Underwriting Agreement • September 24th, 2021 • 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 AXIO FINANCIAL LLC, as Depositor (the “Company”).
THIRD AMENDED AND RESTATED OPERATING AGREEMENT OF AXIO GROUP LLCOperating Agreement • September 24th, 2021 • M Funds Trust • Delaware
THIS THIRD AMENDED AND RESTATED OPERATING AGREEMENT is made and entered into as of this 14th day of March, 2018, by and among the undersigned and provides as follows:
AXIO FINANCIAL LLC UNIT INVESTMENT TRUST FORM OF DEALER AGREEMENTM Funds Trust • September 24th, 2021 • New York
Axio Financial LLC (“Axio”) serves as the principal underwriter for m+ funds Trust, Series [●] (together with any future series for which Axio 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”). Axio 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”).
AMENDMENT NO. 1 DATED SEPTEMBER 24, 2021 TO MASTER TRUST AGREEMENT DATED DECEMBER 18, 2019Master Trust Agreement • September 24th, 2021 • M Funds Trust • Delaware
WHEREAS, on December 18, 2019, Cowen and Company, LLC (as successor in interest to Cowen Prime Services, LLC), as the Depositor (the “Original Depositor”), Alaia Capital, LLC, as the Portfolio Consultant, Evaluator and Supervisor (the “Portfolio Consultant”), and The Bank of New York Mellon, as Trustee (the “Trustee”), executed a Master Trust Agreement (the “Master Trust Agreement”) pursuant to which a Delaware Statutory Trust titled “m+ funds Trust” (the “Trust”) was formed;
m+ FUNDS TRUST, SERIES [●] FORM OF SERIES TRUST AGREEMENTSeries Trust Agreement • September 24th, 2021 • M Funds Trust
This Series Trust Agreement (the “Series Trust Agreement”) among Axio Financial LLC, as successor Depositor to Cowen and Company, LLC (as successor in interest to Cowen Prime Services, LLC), 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, as amended on September 24, 2021 (as so amended, the “Master Trust Agreement”), 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 February 6, 2020 (the “Standard Terms and Conditions of Trust”) and such provisions as are set forth in
