EX-99.H OTH MAT CONT 7 ex28h3e.htm

Amendment

to

Fund Administration Addendum

For

UNIFIED SERIES TRUST

 

 

This Amendment revises the Fund Administration Addendum (the “Addendum”) to the Master Services Agreement, dated January 5, 2017, as amended May 21, 2019 (the “Agreement”) between Unified Series Trust (the “Trust”) and Ultimus Fund Solutions, LLC (“Ultimus”).

 

The Parties agree to amend the Addendum as follows:

 

1.The following sub-sections are added to Section 4, Other Services, of the Addendum, with respect to each Fund that is an exchange-traded funds (“ETF”) as follows:
4.12cooperate with, and take all reasonable actions in the performance of its duties under this Agreement, to ensure that the necessary information is made available to the SEC or any other regulatory authority or applicable securities exchange in connection with any regulatory audit of the Trust or any Fund;
4.13administer contracts on behalf of the Trust with the Fund’s index receipt agent;
4.14coordinate with the Fund’s service providers to facilitate the setup of the Fund on applicable securities exchanges;
4.15monitor sales of shares and ensure that shares are properly and duly listed with the applicable securities exchanges and that securities exchange listing requirements are met;
4.16process share creation units and redemption units with the Fund’s transfer agent;
4.17maintain create/redeem records to the extent they are not otherwise maintained by other service providers; and
4.18arrange for vendors to provide the post each Fund’s IOPV and other information required by exemptive orders.

 

Except as set forth in this Amendment, the Addendum is unaffected and shall continue in full force and effect in accordance with its terms. If there is a conflict between this Amendment and the Agreement, the terms of the Amendment will prevail.

 

Signatures are located on the next page.

 

The parties duly executed this Amendment to Fund Administration Addendum as of November 20, 2019.

 

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Unified Series Trust   Ultimus Fund Solutions, LLC

 

 

By:

 

 

/s/ David R. Carson

 

 

 

By:

 

 

/s/ David James

Name: David R. Carson   Name: David James
Title: President   Title: EVP and Chief Legal and Risk Officer

 

 

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