EX-99.H OTH MAT CONT 12 ex99h18.htm

APPENDIX IV-33

LIST OF FUNDS

SERVICES & FEES

 

This Appendix IV-33 is part of the Fund Services Agreement (the “Agreement”), dated May 17, 2011, between Northern Lights Fund Trust II (the “Trust”) and Gemini Fund Services, LLC (“GFS”). Set forth below are the Services elected by the Fund(s) identified on this Appendix IV-33 along with the associated Fees. Capitalized terms used herein that are not otherwise defined shall have meanings ascribed to them in the Agreement.

 

EFFECTIVE DATE

 

The Effective Date for the Fund(s) set forth on this Appendix IV-33 shall be the later of the date of this Agreement or upon commencement of operations.

 

COVERED FUNDS

 

The Fund(s) to be covered under this Agreement include:

 

Fund Name Board Approval Date
Invenomic Fund April 18, 2017

 

Funds with the same investment adviser are collectively referred to as a “Fund Family.”

 

SELECTED SERVICES and FEES

 

The Fund(s) shall pay to GFS the following fees: (unless otherwise specified, all basis point fees will be calculated based upon the average net assets of a Fund Family for the previous month).

 

 

[REDACTED – schedule has been excluded because it is both (1) not material and (2) would likely cause competitive harm to the registrant if publicly disclosed]

 

 

 

  

 

 

 

(signatures on following page)

 
 

 

IN WITNESS WHEREOF, the parties hereto have executed this Appendix IV-33 to the Fund Services Agreement effective as of July 1, 2019.

 

NORTHERN LIGHTS FUND TRUST II  GEMINI FUND SERVICES, LLC
    
    
By: __/s/ Kevin Wolf___  By: /s/ Gary Tenkman
Kevin Wolf  Gary Tenkman
President  Chief Executive Officer

 

The undersigned investment adviser (the “Adviser”) hereby acknowledges and agrees to the terms of this Agreement and further acknowledges and agrees that:

(1) GFS expends substantial time and money, on an ongoing basis, to recruit and train its employees; (2) GFS's business is highly competitive and is marketed throughout the United States, and (3) if the Adviser were to hire any GFS employees who are involved in the procurement of the Services under this Agreement then GFS may suffer lost sales and other opportunities and would incur substantial expense in hiring and training replacement(s) for those employees. Accordingly, the Adviser agrees that it, including its respective affiliates and subsidiaries, shall not solicit, attempt to induce or otherwise hire an employee of GFS for so long as this Agreement is in effect and for a period of two (2) years after termination of this Agreement, unless expressly agreed upon in writing by both parties. In the event that this provision is breached by the Adviser, the Adviser agrees to pay damages to GFS in the amount of two times the current annual salary of such employee or former employee. For purposes of this provision, “hire” means to employ as an employee or to engage as an independent contractor, whether on a full-time, part-time or temporary basis.

 

Invenomic Capital Management LP

211 Congress Street, 7th Floor

Boston, MA 02110

 

 

 

By: /s/ Ben Deschaine

Name: Ben Deschaine

Title: President

 
 

 

Shareholder Desktop Web Package

Proprietary Secure Web-Based Direct Interface With Transfer Agent Data

 

Supports Five Levels of Access

*Fund Administrator
*Broker/Dealer
*Broker/Dealer Branch
*Registered Representative
*Shareholder

 

Customizable Look And Feel (Logo And Color Scheme)

 

Account Inquiry

*Portfolio Summary
*Account Position
*Transaction History
*General Account Information

 

Online Transactions (Must have this reflected in the prospectus to offer this functionality)

*Exchanges
*Purchases
*Redemptions
*Prospectus and SAI Access

 

Account Maintenance

*Change of Shareholder Information
oAddress
oPhone Number
oEmail Address

Online Statement Access

*Quarterly Statements and Confirms
*Electronic Delivery (Should have this reflected in the prospectus and application to offer this functionality)
oStatements
oConfirms
oRegulatory Mailings
 

 

Shareholder Desktop Online New Accounts

 

*Allows clients the ability to set up a new account online if they provide valid ACH information and agree to all disclaimers and agreements on site.
*E-Signature capability
 
 

 

 

Fund Data Web Package

Performance Web Page

  • Comprehensive performance report hosted by GFS
    • Fund performance updated nightly
    • Up to 20 indexes available
    • Data provided in simple format to be encapsulated into Fund’s own website to provide a custom look and feel
    • Growth of $10,000 graph available

 

Holdings web page

  • Fund holding updated periodically to meet fund disclosure rules hosted by GFS
    • Fund holding updated periodically to meet fund disclosure rules
    • Top ten report available
    • Data provided in simple format to be encapsulated into Fund’s own website to provide a custom look and feel

 

Historical NAV web page

  • Provides historical NAV information for a specified period of time and for a specified fund
    • Data provided in simple format to be encapsulated into Fund’s own website to provide a custom look and feel

 

Fulfillment web page

  • Provides an online request form for shareholders who wish to request a hard copy of the fulfillment material mailed to them
    • Request is automatically routed online to the Shareholder Services Team at GFS for processing
    • Reporting of Fulfillment requests made online or via phone available via GFS Reporting Services Tool.

 

GFS reporting utilizes the next generation secure web-based report delivery vehicle which allows for direct request or subscription based delivery reports available in multiple formats (PDF, Excel, XML, CSV)