OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENTOperating Expenses Limitation and Security Agreement • December 19th, 2022 • Two Roads Shared Trust • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 7th day of December, 2022, by and between Two Roads Shared Trust, a Delaware statutory trust (the “Trust”), on behalf of the Hunter Small Cap Value Fund (the “Fund”), a series of the Trust, and the Adviser to the Fund, Hunter Perkins Capital Management, LLC d/b/a Hunter Capital Management (“Hunter Capital” or the “Adviser”).
NORTHERN LIGHTS FUND TRUST IV AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT Moerus Capital Management LLC THIS AMENDED AND RESTATED OPERATING EXPENSES LIMITATION ANDOperating Expenses Limitation and Security Agreement • March 29th, 2023 • Northern Lights Fund Trust IV • New York
WHEREAS, the Advisor renders advice and services to the Fund pursuant to the terms and provisions of an Investment Advisory Agreement between the Trust and the Advisor dated as of the 20th day of April, 2016 (the “Advisory Agreement”); and
NORTHERN LIGHTS FUND TRUST IV AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT MAIN MANAGEMENT ETF ADVISORS, LLC THIS AMENDED AND RESTATED OPERATING EXPENSES LIMITATION ANDOperating Expenses Limitation and Security Agreement • February 27th, 2024 • Northern Lights Fund Trust IV • New York
WHEREAS, the Advisor renders advice and services to the Funds pursuant to the terms and provisions of an Investment Advisory Agreement between the Trust and the Advisor dated as of the 27th day of April, 2017 (the “Advisory Agreement”); and
NORTHERN LIGHTS FUND TRUST II OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT FORMULAFOLIOS US EQUITY FUND FORMULAFOLIOS US EQUITY PORTFOLIOOperating Expenses Limitation and Security Agreement • March 26th, 2019 • Northern Lights Fund Trust Ii • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 1st day of April, 2019 by and between NORTHERN LIGHTS FUND TRUST II, a Delaware business trust (the “Trust”), on behalf of the FORMULAFOLIOS US EQUITY FUND and the FORMULAFOLIOS US EQUITY PORTFOLIO, (the “Funds”) a series of the Trust, and the advisor of the Fund, FORMULAFOLIO INVESTMENTS, LLC (the “Advisor”).
AMENDED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENTOperating Expenses Limitation and Security Agreement • September 25th, 2018 • Two Roads Shared Trust • New York
THIS AMENDED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 18th day of September, 2014, by and between TWO ROADS SHARED TRUST, a Delaware statutory trust (the “Trust”), on behalf of the REDWOOD MANAGED VOLATILITY PORTFOLIO (the “Portfolio”), a series of the Trust, and the Adviser to the Portfolio, Redwood Investment Management, LLC (“Redwood” or the “Adviser”).
Appendix A OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT Two Roads Shared Trust As of: March 6, 2019Operating Expenses Limitation and Security Agreement • August 28th, 2019 • Two Roads Shared Trust
TWO ROADS SHARED TRUST, On behalf of the Conductor Global Fund By: /s/ Jim Colantino Name: Jim Colantino Title: President IRONHORSE CAPITAL LLC By: /s/ H. Kerr Tigrett Name: H. Kerr Tigrett Title: Principal
NORTHERN LIGHTS FUND TRUST IV OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT Rule One Partners, LLCOperating Expenses Limitation and Security Agreement • September 26th, 2018 • Northern Lights Fund Trust IV • New York
WHEREAS, the Advisor renders advice and services to the Fund pursuant to the terms and provisions of an Investment Advisory Agreement between the Trust and the Advisor dated as of the 19th day of July, 2018 (the "Advisory Agreement"); and
Appendix A OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT Two Roads Shared Trust As of: February 28, 2015Operating Expenses Limitation and Security Agreement • February 27th, 2015 • Two Roads Shared Trust
TWO ROADS SHARED TRUST, On behalf of the LJM Preservation and Growth Fund By: /s/ Andrew Rogers Name: Andrew Rogers Title: President LJM FUNDS MANAGEMENT, LTD. By: /s/ J. Scott Sykora Name: J. Scott Sykora Title: President
Appendix A OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT Two Roads Shared Trust As of: March 6, 2019Operating Expenses Limitation and Security Agreement • April 24th, 2019 • Two Roads Shared Trust
TWO ROADS SHARED TRUST, On behalf of the Conductor Global Fund By: Name: Jim Colantino Title: President IRONHORSE CAPITAL LLC By: Name: H. Kerr Tigrett Title: Principal
NORTHERN LIGHTS FUND TRUST IV OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT KINGSVIEW WEALTH MANAGEMENT, LLCOperating Expenses Limitation and Security Agreement • February 9th, 2024 • Northern Lights Fund Trust IV • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the "Agreement") is made as of the October 24, 2023, by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the "Trust"), on behalf of each of the series set forth in Appendix A (each a "Fund" collectively the "Funds"), and the advisor of the Fund, KINGSVIEW WEALTH MANAGEMENT, LLC.
Appendix A OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT Two Roads Shared Trust As of: December 16, 2015Operating Expenses Limitation and Security Agreement • December 23rd, 2015 • Two Roads Shared Trust
TWO ROADS SHARED TRUST, On behalf of the Conductor Global Fund By: /s/ Andrew Rogers Name: Andrew Rogers Title: President IRONHORSE CAPITAL LLC By: /s/ H. Kerr Tigrett Name: H. Kerr Tigrett Title: Principal
Appendix A OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT Two Roads Shared Trust As of: May 29, 2016Operating Expenses Limitation and Security Agreement • May 31st, 2016 • Two Roads Shared Trust
TWO ROADS SHARED TRUST, On behalf of the Hanlon Managed Income Fund and Hanlon Tactical Dividend and Momentum Fund By: /s/ Andrew Rogers Name: Andrew Rogers Title: President HANLON INVESTMENT MANAGEMENT, INC. By: /s/ Tom Ericson Name: Tom Ericson Title: General Counsel
OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENTOperating Expenses Limitation and Security Agreement • October 22nd, 2013 • Two Roads Shared Trust • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 18th day of September, 2013, by and between TWO ROADS SHARED TRUST, a Delaware statutory trust (the “Trust”), on behalf of the LARKIN POINT EQUITY PRESERVATION FUND (the “Fund”), a series of the Trust, and the Adviser to the Fund, Larkin Point Investment Advisors, LLC (“Larkin Point” or the “Adviser”).
Appendix A OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT Two Roads Shared Trust As of: October 1, 2016Operating Expenses Limitation and Security Agreement • October 4th, 2016 • Two Roads Shared Trust
TWO ROADS SHARED TRUST, On behalf of the Conductor Global Fund By: /s/ Andrew Rogers Name: Andrew Rogers Title: President IRONHORSE CAPITAL LLC By: /s/ H.Kerr Tigrett Name: H. Kerr Tigrett Title: Principal
NORTHERN LIGHTS FUND TRUST IV AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT Moerus Capital Management LLCOperating Expenses Limitation and Security Agreement • March 22nd, 2024 • Northern Lights Fund Trust IV • New York
THIS AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is made as of the 25th day of January, 2024, by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), on behalf of the Moerus Worldwide Value Fund (the “Fund”) a series of the Trust, and the advisor of the Fund, Moerus Capital Management LLC (the “Advisor”).
OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENTOperating Expenses Limitation and Security Agreement • January 24th, 2018 • Two Roads Shared Trust • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of January 24, 2018, by and between TWO ROADS SHARED TRUST, a Delaware statutory trust (the “Trust”), on behalf of the SYMMETRY PANORAMIC US EQUITY FUND, SYMMETRY PANORAMIC INTERNATIONAL EQUITY FUND, SYMMETRY PANORAMIC GLOBAL EQUITY FUND, SYMMETRY PANORAMIC TAX-MANAGED GLOBAL EQUITY FUND, SYMMETRY PANORAMIC US EQUITY FUND, SYMMETRY PANORAMIC MUNICIPAL FIXED INCOME FUND, SYMMETRY PANORAMIC GLOBAL FIXED INCOME FUND AND SYMMETRY PANORAMIC ALTERNATIVES FUND (the “Funds”), two series of the Trust, and the Adviser to the Fund, Symmetry Partners, LLC (the “Adviser”).
OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENTOperating Expenses Limitation and Security Agreement • August 12th, 2015 • Two Roads Shared Trust • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 20th day of April, 2015, by and between TWO ROADS SHARED TRUST, a Delaware statutory trust (the “Trust”), on behalf of the series listed on Appendix A hereto (each a “Fund” and together, the “Funds”), and the Adviser to the Fund, HANLON INVESTMENT MANAGEMENT, INC. (“Hanlon” or the “Adviser”).
AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENTOperating Expenses Limitation and Security Agreement • August 28th, 2014 • Two Roads Shared Trust • New York
THIS AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 20th day of August, 2014, by and between TWO ROADS SHARED TRUST, a Delaware statutory trust (the “Trust”), on behalf of the DYNAMIC TOTAL RETURN FUND (the “Fund”), a series of the Trust, the Adviser to the Fund, DYNAMIC ADVISORS, LLC (“Dynamic” or the “Adviser”) and ONE OAK CAPITAL MANAGEMENT, LLC (“One Oak” or the “Sub-Adviser”).
Appendix A OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT Two Roads Shared Trust As of: February 28, 2015Operating Expenses Limitation and Security Agreement • March 2nd, 2015 • Two Roads Shared Trust
TWO ROADS SHARED TRUST, On behalf of the Conductor Global Fund By: /s/Andrew Rogers Name: Andrew Rogers Title: President IRONHORSE CAPITAL LLC By: /s/ H. Kerr Tigrett Name: H. Kerr Tigrett Title: Principal
Appendix A OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT Two Roads Shared Trust As of: August 1, 2015Operating Expenses Limitation and Security Agreement • July 24th, 2015 • Two Roads Shared Trust
TWO ROADS SHARED TRUST, On behalf of the Redwood Managed Volatility Fund By: /s/ Andrew Rogers Name: Andrew Rogers Title: President REDWOOD INVESTMENT MANAGEMENT, LLC By: /s/ Michael Messinger Name: Michael Messinger Title: Principal
AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENTOperating Expenses Limitation and Security Agreement • February 28th, 2019 • Two Roads Shared Trust
THIS AMENDMENT NO. 1 (the “Amendment”) dated November 30, 2018 to the AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) dated as of July 1, 2014, by and between TWO ROADS SHARED TRUST, a Delaware Statutory Trust (the “Trust”), on behalf of the ANFIELD UNIVERSAL FIXED INCOME FUND (the “Fund”), a series of the Trust, and the Adviser to the Fund, Anfield Capital Management, LLC (“Anfield” or the “Adviser”).
OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENTOperating Expenses Limitation and Security Agreement • February 28th, 2019 • Two Roads Shared Trust • New York
THIS SECURITY AGREEMENT (the “Agreement”) is effective as of the 26th day of February, 2019, by and between Two Roads Shared Trust, a Delaware statutory trust (the “Trust”), on behalf of the Superfund Managed Futures Strategy Fund (the “Fund”), a series of the Trust, and the Adviser to the Fund, Superfund Advisors, Inc. (the “Adviser”).
NORTHERN LIGHTS FUND TRUST IV OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT FormulaFolio Investments, LLC THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the RECITALS:Operating Expenses Limitation and Security Agreement • September 22nd, 2022 • Northern Lights Fund Trust IV • New York
WHEREAS, the Advisor renders advice and services to the Funds pursuant to the terms and provisions of an Investment Advisory Agreement between the Trust and the Advisor dated as of November 6, 2020 (the “Advisory Agreement”); and
