SEC Info - Northern Lights Fund Trust, et al. - ‘485BPOS’ on 9/27/16

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Northern Lights Fund Trust, et al. – ‘485BPOS’ on 9/27/16 – ‘EX-99.H OTH MAT CONT’

As of: Tuesday, 9/27/16 · Effective: 9/27/16 · Accession #: 1580642-16-11219 · File #s: 811-21720, 333-122917

Previous ‘485BPOS’: ‘485BPOS’ on 9/7/16 · Next: ‘485BPOS’ on 10/3/16 · Latest: ‘485BPOS’ on 4/25/24 · 131 References:

  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 9/27/16  Northern Lights Fund Trust        485BPOS     9/27/16    5:1.8M                                   Blu Giant, LLC/FA
          → Leader Short Duration Bond Fund ⇒ 4 Classes/Contracts
          → Leader Total Return Fund ⇒ 4 Classes/Contracts

Post-Effective Amendment
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 485BPOS     Post-Effective Amendment                            HTML    937K 
 2: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     13K 
 3: EX-99.I LEGAL OPININ  Miscellaneous Exhibit                     HTML      6K 
 4: EX-99.J OTHER OPININ  Miscellaneous Exhibit                     HTML      6K 
 5: EX-99.P CODE ETH  Miscellaneous Exhibit                         HTML     71K

EX-99.H OTH MAT CONT — Miscellaneous Exhibit

This exhibit is an HTML Document rendered as filed. [ Alternative Formats ]

Blu Giant, LLC

AMENDMENT TO

FUND SERVICES AGREEMENT

THIS Amendment TO FUND SERVICES AGREEMENT (this “Amendment”) is effective as of September 1, 2016, and is made by and between Gemini Fund Services, LLC, a Nebraska limited liability company (“GFS”), and Northern Lights Fund Trust, a Delaware statutory trust (the “Trust”).

WHEREAS, GFS seeks the Trust’s approval of an increase in the FIN 48 Compliance Fee as set forth in Appendix IV to that certain Fund Services Agreement dated June 22, 2011, by and between GFS and the Trust (the “Agreement”) from $250.00 per fund per calendar quarter to $495.00 per fund per calendar quarter in order to cover GFS’s cost of providing FIN 48 compliance services; and

WHEREAS, GFS seeks the Trust’s approval of an increase in the fees charged for securities quotations, also as set forth in Appendix IV to the Agreement, in order to cover the increased cost to GFS of obtaining such quotations; and

WHEREAS, GFS has previously obtained the Trust’s approval of a 5% increase of all base annual fees and any applicable minimum fees for Fund Accounting, Fund Administration, and Transfer Agency services as set forth in Appendix IV to the Agreement; and

WHEREAS, the Trust seeks GFS’s approval of the deletion of the CPI fee changes provision from the Agreement; and

WHEREAS, the Trust’s Board of Trustees is agreeable to the aforementioned fee increases and GFS is agreeable to the deletion of the CPI fee changes provision.

NOW, THEREFORE, in consideration of the premises and the mutual covenants and agreements herein set forth, the parties hereto agree as follows:

1. Amendments.

(a) The Agreement hereby is amended by inserting the following language in Appendix IV, which language shall supersede any existing references to FIN 48 compliance fees:

“FIN 48 Compliance fee. Each Fund shall pay GFS $495.00 per calendar quarter for FIN 48 Compliance.”

(b) Appendix IV to the Agreement hereby is amended by deleting all references to “Price Quotes” and the fees charged to obtain securities quotations and replacing such references with the following:

“Price Quotes. The charges for securities/commodity price quotes are determined by GFS’s cost of obtaining such quotes and, therefore, are subject to change. Current charges (presented as per security/per day unless otherwise noted) are as follows:

$ 0.10 Domestic and Canadian Equities, Mutual Funds, ADRs, ETFs
$ 0.40 Non-North American Equities
$ 0.55 Corporate/Govt/Agency Bonds, Money Markets, Mortgage Backed Securities
$ 0.60 Municipal Bonds
$ 0.75 High Yield Bonds
$ 1.00 Non-North American Bonds
$ 0.15 Options
$ 0.25 Futures
$ 0.75 Reverse Mortgage Backed Securities
$ 1.00 Asset Backed & CMO Securities
$ 3.50 CLO
$ 3.50 CDO
$ 15.00 Leverage Loans/Bank Loans [monthly]
$ 62.50 CDX [monthly]
$ 62.50 CDS [monthly]

Other Securities/Complex, Hard-to-Value	Market
Manual Pricing Inputs/Advisor Provided	$100 per month up to 10 manual inputs”

(c) Appendix IV to the Agreement hereby is amended to reflect a 5% increase of all base annual fees and any applicable minimum fees for Fund Accounting, Fund Administration, and Transfer Agency services as set forth in Appendix IV to the Agreement.

(d) The Agreement hereby is amended by deleting Section 3(c) in its entirety.

2. Miscellaneous.

(a) Except as hereby amended, the Agreement shall remain in full force and effect.

(b) This Amendment may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument.

IN WITNESS WHEREOF, each party hereto has caused this Amendment to be executed by its duly authorized officer as of the date and year first above written.

NORTHERN LIGHTS FUND TRUST

By: /s/Andrew Rogers________________

Name: Andrew Rogers

Title: President

GEMINI FUND SERVICES, LLC

By: /s/Kevin Wolf_________________

Name: Kevin Wolf

Title: President

Dates Referenced Herein and Documents Incorporated by Reference

This ‘485BPOS’ Filing	Date	Other Filings

Filed on / Effective on:	9/27/16
	9/1/16	485BPOS, 497
	6/22/11
		List all Filings

131 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 4/25/24  Northern Lights Fund Trust        485BPOS     4/29/24   14:3.5M                                   Blu Giant, LLC/FA
 4/25/24  Northern Lights Fund Trust        485BPOS     4/29/24   14:4.1M                                   Blu Giant, LLC/FA
 4/24/24  Northern Lights Fund Trust        485BPOS     4/29/24   14:3M                                     Blu Giant, LLC/FA
 4/24/24  Northern Lights Fund Trust        485BPOS     4/29/24   14:4.2M                                   Blu Giant, LLC/FA
 4/24/24  Northern Lights Fund Trust        485BPOS     4/29/24   14:3.2M                                   Blu Giant, LLC/FA
 4/23/24  Northern Lights Fund Trust        485BPOS     4/29/24   14:2.9M                                   Blu Giant, LLC/FA
 4/15/24  Northern Lights Fund Trust        485APOS                1:1.1M                                   Blu Giant, LLC/FA
 4/10/24  Northern Lights Fund Trust        485APOS                2:1.1M                                   Blu Giant, LLC/FA
 2/23/24  Northern Lights Fund Trust        485BPOS     2/28/24   14:8.1M                                   Blu Giant, LLC/FA
 2/05/24  Northern Lights Fund Trust        485BPOS     2/05/24   14:4M                                     Blu Giant, LLC/FA
 1/26/24  Northern Lights Fund Trust        485BPOS     1/29/24   15:11M                                    Blu Giant, LLC/FA
 1/25/24  Northern Lights Fund Trust        485BPOS     1/29/24   14:2.7M                                   Blu Giant, LLC/FA
 1/25/24  Northern Lights Fund Trust        485BPOS     1/29/24   14:3.4M                                   Blu Giant, LLC/FA
 1/23/24  Northern Lights Fund Trust        485BPOS     1/29/24   14:3.2M                                   Blu Giant, LLC/FA
 1/23/24  Northern Lights Fund Trust        485BPOS     1/29/24   15:2.9M                                   Blu Giant, LLC/FA
 1/08/24  Northern Lights Fund Trust        POS EX      1/08/24    2:470K                                   Blu Giant, LLC/FA
11/28/23  Northern Lights Fund Trust        485BPOS    11/28/23   14:2.6M                                   Blu Giant, LLC/FA
11/22/23  Northern Lights Fund Trust        485APOS                1:1.2M                                   Blu Giant, LLC/FA
11/17/23  Northern Lights Fund Trust        485BPOS    11/17/23   14:5.1M                                   Blu Giant, LLC/FA
10/26/23  Northern Lights Fund Trust        485BPOS    10/30/23   14:6.9M                                   Blu Giant, LLC/FA
10/26/23  Northern Lights Fund Trust        485BPOS    10/30/23   19:4.1M                                   Blu Giant, LLC/FA
10/24/23  Northern Lights Fund Trust        485BPOS    10/30/23   14:7.7M                                   Blu Giant, LLC/FA
 9/29/23  Northern Lights Fund Trust        485APOS                1:1M                                     Blu Giant, LLC/FA
 9/27/23  Northern Lights Fund Trust        485BPOS     9/27/23   15:2.6M                                   Blu Giant, LLC/FA
 8/28/23  Northern Lights Fund Trust        485BPOS     8/28/23   14:3.7M                                   Blu Giant, LLC/FA
 8/28/23  Northern Lights Fund Trust        485BPOS     8/28/23   15:2.5M                                   Blu Giant, LLC/FA
 8/25/23  Northern Lights Fund Trust        485BPOS     8/28/23   14:11M                                    Blu Giant, LLC/FA
 8/25/23  Northern Lights Fund Trust        485BPOS     8/28/23   14:2.9M                                   Blu Giant, LLC/FA
 7/21/23  Northern Lights Fund Trust        485BPOS     7/21/23   14:10M                                    Blu Giant, LLC/FA
 7/14/23  Northern Lights Fund Trust        485APOS                1:1.1M                                   Blu Giant, LLC/FA
 7/10/23  Northern Lights Fund Trust        485BPOS     7/10/23   14:4.5M                                   Blu Giant, LLC/FA
 5/11/23  Northern Lights Fund Trust        485APOS                1:1.5M                                   Blu Giant, LLC/FA
 4/26/23  Northern Lights Fund Trust        485BPOS     5/01/23   14:3M                                     Blu Giant, LLC/FA
 4/26/23  Northern Lights Fund Trust        485BPOS     5/01/23   14:3.2M                                   Blu Giant, LLC/FA
 4/26/23  Northern Lights Fund Trust        485BPOS     5/01/23   14:2.6M                                   Blu Giant, LLC/FA
 4/25/23  Northern Lights Fund Trust        485BPOS     5/01/23   15:4.4M                                   Blu Giant, LLC/FA
 4/25/23  Northern Lights Fund Trust        485BPOS     5/01/23   14:2.7M                                   Blu Giant, LLC/FA
 4/19/23  Northern Lights Fund Trust        485BPOS     5/01/23   14:2.4M                                   Blu Giant, LLC/FA
 4/19/23  Northern Lights Fund Trust        485BPOS     5/01/23   14:2.8M                                   Blu Giant, LLC/FA
 2/24/23  Northern Lights Fund Trust        485BPOS     2/28/23   14:6.8M                                   Blu Giant, LLC/FA
 1/30/23  Northern Lights Fund Trust        485BPOS     1/30/23   14:3.1M                                   Blu Giant, LLC/FA
 1/26/23  Northern Lights Fund Trust        485BPOS     1/30/23   16:3M                                     Blu Giant, LLC/FA
 1/26/23  Northern Lights Fund Trust        485BPOS     1/30/23   15:3.2M                                   Blu Giant, LLC/FA
 1/26/23  Northern Lights Fund Trust        485BPOS     1/30/23   15:10M                                    Blu Giant, LLC/FA
 1/26/23  Northern Lights Fund Trust        485BPOS     1/30/23   15:3.2M                                   Blu Giant, LLC/FA
12/27/22  Northern Lights Fund Trust        485BPOS    12/27/22   16:3.2M                                   Blu Giant, LLC/FA
11/25/22  Northern Lights Fund Trust        485BPOS    11/28/22   15:4.7M                                   Blu Giant, LLC/FA
11/23/22  Northern Lights Fund Trust        485BPOS    11/28/22   14:2.4M                                   Blu Giant, LLC/FA
11/01/22  Northern Lights Fund Trust        485BPOS    11/01/22   15:3.2M                                   Blu Giant, LLC/FA
10/25/22  Northern Lights Fund Trust        485BPOS    10/28/22   15:6.6M                                   Blu Giant, LLC/FA
10/24/22  Northern Lights Fund Trust        485BPOS    10/28/22   15:6.8M                                   Blu Giant, LLC/FA
10/24/22  Northern Lights Fund Trust        485BPOS    10/28/22   15:3.2M                                   Blu Giant, LLC/FA
 9/23/22  Northern Lights Fund Trust        485APOS                1:1.3M                                   Blu Giant, LLC/FA
 8/29/22  Northern Lights Fund Trust        485BPOS     8/29/22   14:8.2M                                   Blu Giant, LLC/FA
 8/29/22  Northern Lights Fund Trust        485BPOS     8/29/22   14:4.4M                                   Blu Giant, LLC/FA
 8/25/22  Northern Lights Fund Trust        485BPOS     8/29/22   14:3.4M                                   Blu Giant, LLC/FA
 8/25/22  Northern Lights Fund Trust        485BPOS     8/29/22   14:3.1M                                   Blu Giant, LLC/FA
 8/25/22  Northern Lights Fund Trust        485BPOS     8/29/22   14:8.6M                                   Blu Giant, LLC/FA
 8/10/22  Northern Lights Fund Trust        485BPOS     8/10/22   14:3.2M                                   Blu Giant, LLC/FA
 6/29/22  Northern Lights Fund Trust        485APOS                1:1.4M                                   Blu Giant, LLC/FA
 6/29/22  Northern Lights Fund Trust        485BPOS     6/29/22   13:2.5M                                   Blu Giant, LLC/FA
 4/28/22  Northern Lights Fund Trust        485BPOS     5/01/22   14:2.9M                                   Blu Giant, LLC/FA
 4/27/22  Northern Lights Fund Trust        485BPOS     5/01/22   14:3M                                     Blu Giant, LLC/FA
 4/27/22  Northern Lights Fund Trust        485BPOS     5/01/22   15:3.2M                                   Blu Giant, LLC/FA
 4/27/22  Northern Lights Fund Trust        485BPOS     5/01/22   15:3M                                     Blu Giant, LLC/FA
 4/26/22  Northern Lights Fund Trust        485BPOS     5/01/22   15:2.6M                                   Blu Giant, LLC/FA
 4/26/22  Northern Lights Fund Trust        485BPOS     5/01/22   15:2.8M                                   Blu Giant, LLC/FA
 4/26/22  Northern Lights Fund Trust        485BPOS     5/01/22   15:3.3M                                   Blu Giant, LLC/FA
 4/26/22  Northern Lights Fund Trust        485BPOS     5/01/22   16:4.3M                                   Blu Giant, LLC/FA
 2/23/22  Northern Lights Fund Trust        485BPOS     2/28/22   14:6.4M                                   Blu Giant, LLC/FA
 1/26/22  Northern Lights Fund Trust        485BPOS     1/28/22   18:2.9M                                   Blu Giant, LLC/FA
 1/26/22  Northern Lights Fund Trust        485BPOS     1/28/22   17:3.2M                                   Blu Giant, LLC/FA
 1/25/22  Northern Lights Fund Trust        485BPOS     1/28/22   16:3.1M                                   Blu Giant, LLC/FA
 1/25/22  Northern Lights Fund Trust        485BPOS     1/28/22   17:8.2M                                   Blu Giant, LLC/FA
 1/25/22  Northern Lights Fund Trust        485BPOS     1/28/22   17:3.3M                                   Blu Giant, LLC/FA
11/23/21  Northern Lights Fund Trust        485BPOS    11/29/21   14:2.3M                                   Blu Giant, LLC/FA
10/27/21  Northern Lights Fund Trust        485BPOS    10/28/21   14:6.1M                                   Blu Giant, LLC/FA
10/26/21  Northern Lights Fund Trust        485BPOS    10/28/21   14:3.1M                                   Blu Giant, LLC/FA
10/25/21  Northern Lights Fund Trust        485BPOS    10/28/21   14:2.8M                                   Blu Giant, LLC/FA
10/22/21  Northern Lights Fund Trust        485BPOS    10/28/21   14:4.8M                                   Blu Giant, LLC/FA
10/15/21  Northern Lights Fund Trust        485BPOS    10/15/21   14:4.5M                                   Blu Giant, LLC/FA
10/06/21  Northern Lights Fund Trust        485BPOS    10/06/21   14:3M                                     Blu Giant, LLC/FA
 8/27/21  Northern Lights Fund Trust        485BPOS     8/28/21   14:7.7M                                   Blu Giant, LLC/FA
 8/27/21  Northern Lights Fund Trust        485BPOS     8/28/21   19:7.9M                                   Blu Giant, LLC/FA
 8/26/21  Northern Lights Fund Trust        485BPOS     8/28/21    3:1.2M                                   Blu Giant, LLC/FA
 8/25/21  Northern Lights Fund Trust        485BPOS     8/28/21    3:1.1M                                   Blu Giant, LLC/FA
 8/25/21  Northern Lights Fund Trust        485BPOS     8/28/21    3:1.1M                                   Blu Giant, LLC/FA
 8/16/21  Northern Lights Fund Trust        485APOS¶   11/23/21    2:1.1M                                   Blu Giant, LLC/FA
 7/30/21  Northern Lights Fund Trust        485BPOS     7/30/21    4:1.5M                                   Blu Giant, LLC/FA
 7/23/21  Northern Lights Fund Trust        485APOS¶   11/08/21    3:1.2M                                   Blu Giant, LLC/FA
 6/04/21  Northern Lights Fund Trust        485BPOS     6/05/21    3:1.2M                                   Blu Giant, LLC/FA
 5/21/21  Northern Lights Fund Trust        POS EX      5/21/21    2:463K                                   Blu Giant, LLC/FA
 5/14/21  Northern Lights Fund Trust        485BPOS     5/15/21    4:1.4M                                   Blu Giant, LLC/FA
 4/28/21  Northern Lights Fund Trust        485BPOS     4/30/21    3:1M                                     Blu Giant, LLC/FA
 4/28/21  Northern Lights Fund Trust        485BPOS     4/30/21    3:968K                                   Blu Giant, LLC/FA
 4/28/21  Northern Lights Fund Trust        485BPOS     4/30/21    4:1.4M                                   Blu Giant, LLC/FA
 4/28/21  Northern Lights Fund Trust        485BPOS     4/30/21    3:1.1M                                   Blu Giant, LLC/FA
 4/27/21  Northern Lights Fund Trust        485BPOS     4/30/21    3:1M                                     Blu Giant, LLC/FA
 4/27/21  Northern Lights Fund Trust        485BPOS     4/30/21    3:1.1M                                   Blu Giant, LLC/FA
 4/27/21  Northern Lights Fund Trust        485BPOS     4/30/21    4:1.2M                                   Blu Giant, LLC/FA
 4/26/21  Northern Lights Fund Trust        485BPOS     4/30/21    3:1.3M                                   Blu Giant, LLC/FA
 4/06/21  Northern Lights Fund Trust        485APOS¶    4/06/21    2:1.2M                                   Blu Giant, LLC/FA
 3/26/21  Northern Lights Fund Trust        485BPOS     3/26/21    2:1.3M                                   Blu Giant, LLC/FA
 3/24/21  Northern Lights Fund Trust        485APOS¶    3/24/21    8:1.4M                                   Blu Giant, LLC/FA
 3/01/21  Northern Lights Fund Trust        485APOS¶    3/01/21    2:1.3M                                   Blu Giant, LLC/FA
 2/24/21  Northern Lights Fund Trust        485BPOS     2/28/21    4:2.3M                                   Blu Giant, LLC/FA
 2/04/21  Northern Lights Fund Trust        485BPOS     2/04/21    4:1.3M                                   Blu Giant, LLC/FA
 1/28/21  Northern Lights Fund Trust        485BPOS     1/28/21   14:5.5M                                   Blu Giant, LLC/FA
 1/28/21  Northern Lights Fund Trust        485BPOS     1/28/21    3:1.1M                                   Blu Giant, LLC/FA
 1/27/21  Northern Lights Fund Trust        485BPOS     1/28/21    3:1.1M                                   Blu Giant, LLC/FA
 1/26/21  Northern Lights Fund Trust        485BPOS     1/28/21    3:1M                                     Blu Giant, LLC/FA
 1/26/21  Northern Lights Fund Trust        485APOS¶    1/26/21    2:1.2M                                   Blu Giant, LLC/FA
 1/25/21  Northern Lights Fund Trust        485BPOS     1/28/21    4:1.1M                                   Blu Giant, LLC/FA
 1/25/21  Northern Lights Fund Trust        485BPOS     1/28/21    3:1.2M                                   Blu Giant, LLC/FA
12/07/20  Northern Lights Fund Trust        485BPOS    12/07/20    3:1.2M                                   Blu Giant, LLC/FA
11/30/20  Northern Lights Fund Trust        485APOS¶   11/30/20    2:1.1M                                   Blu Giant, LLC/FA
11/24/20  Northern Lights Fund Trust        485BPOS    11/30/20    3:1.5M                                   Blu Giant, LLC/FA
11/24/20  Northern Lights Fund Trust        485BPOS    11/30/20    3:950K                                   Blu Giant, LLC/FA
11/13/20  Northern Lights Fund Trust        485APOS                2:3.5M                                   Blu Giant, LLC/FA
10/27/20  Northern Lights Fund Trust        485BPOS    10/28/20    4:1.5M                                   Blu Giant, LLC/FA
10/26/20  Northern Lights Fund Trust        485BPOS    10/28/20    4:1.2M                                   Blu Giant, LLC/FA
10/26/20  Northern Lights Fund Trust        485BPOS    10/28/20    4:2.1M                                   Blu Giant, LLC/FA
10/23/20  Northern Lights Fund Trust        485BPOS    10/28/20    4:2.1M                                   Blu Giant, LLC/FA
10/08/20  Northern Lights Fund Trust        485APOS¶   10/08/20    2:1.1M                                   Blu Giant, LLC/FA
 8/28/20  Northern Lights Fund Trust        485BPOS     8/28/20    3:2M                                     Blu Giant, LLC/FA
 8/27/20  Northern Lights Fund Trust        485BPOS     8/28/20    3:2.1M                                   Blu Giant, LLC/FA
 8/26/20  Northern Lights Fund Trust        485BPOS     8/28/20    3:1.1M                                   Blu Giant, LLC/FA
 8/26/20  Northern Lights Fund Trust        485BPOS     8/28/20    3:1.3M                                   Blu Giant, LLC/FA
 8/26/20  Northern Lights Fund Trust        485BPOS     8/28/20    3:1.4M                                   Blu Giant, LLC/FA
 8/26/20  Northern Lights Fund Trust        485BPOS     8/28/20    3:1.1M                                   Blu Giant, LLC/FA
 8/10/20  Northern Lights Fund Trust        485BPOS     8/10/20    3:1.3M                                   Blu Giant, LLC/FA

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Filing Submission 0001580642-16-011219 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)