EX-99.M 12B-1 PLAN 7 ex99mxi.htm

APPENDIX A

Funds and Classes as of November 23, 2020

 

Fund / Fund Family Share Classes Share Class Features(1) Redemption Fee
12b-1 Plan(2) Front-End Sales Charge(3) Contingent Deferred Sales Charge(3)
Swan Defined Risk Fund A ü ü   None
C ü   ü None
I       None
T ü ü   None
No Load ü     None
Y       None
Persimmon Long/Short Fund I       1.00%**

Good Harbor Funds

\

Good Harbor Tactical Select Fund

Leland Thomson Reuters Private Equity Buyout Index Fund

Leland Thomson Reuters Venture Capital Index Fund

 

 A ü     1.00%*
C ü   ü 1.00%*

 

 

I

 

 

       1.00%*

Pinnacle Funds

Pinnacle Sherman Multi-Strategy Fund

Pinnacle TrendRating Innovative Equity Fund

 A ü ü   1.00%**
C ü   ü 1.00%**

 

I		      

 

1.00%**
The Covered Bridge Fund A ü ü   1.00%***
I       1.00%***

RESQ Funds

RESQ Strategic Income Fund

RESQ Dynamic Allocation Fund

 A ü ü   2.00%*
C ü     2.00%*

 

I		      

 

2.00%*

 

Issachar fund

 

 N ü     None

 

I		      

 

None
Newfound Risk Managed U.S. Growth Fund A ü ü   1.00%*
I       1.00%*
1 
 

 

HCM Tactical Growth Fund A ü ü   1.00%*
Investor ü     1.00%*
I       1.00%*

Counterpoint Funds

Counterpoint Tactical Income Fund

Counterpoint Tactical Equity Fund

Counterpoint Long-Short

Equity Fund

Counterpoint Tactical Municipal

Fund

 A ü ü   None
C

 

ü		    

 

None

 

 

I		      

 

 

None

ACM Funds

ACM Dynamic Opportunity Fund

ACM Tactical Income Fund

A ü ü ü 1.00%*

 

I		      

 

1.00%*

Swan Funds

Swan Defined Risk Emerging Markets Fund

Swan Defined Risk Foreign Fund

Swan Defined Risk U.S. Small Cap Fund

 A ü ü   None
C ü   ü None
I       None
T ü ü   None

 

Y		      

 

None
Swan Defined Risk Growth Fund A ü ü   None
C ü     None
I       None
Y       None
HCM Dividend Sector Plus Fund A ü ü   1.00%*
A1 ü ü   1.00%*
Investor ü     1.00%*
N ü     1.00%*
I       1.00%*

Absolute Funds

Absolute Capital Asset Allocator Fund

Absolute Capital Defender Fund

 A ü ü   None
Investor ü     None
Institutional       None
2 
 

 

Boyd Watterson Limited Duration Enhanced Income Fund A ü ü   None
C ü     None
R ü     None
Investor ü     None
I       None
I2       None
Marathon Value Portfolio Non Designated       None
The Teberg Fund Non Designated ü     None
HCM Income Plus Fund A ü     1.00%*
Investor ü     1.00%*
I       1.00%*

Centerstone Funds

Centerstone Investors Fund****

Centerstone International Fund****

 A ü ü ü 2.00%*
C ü   ü 2.00%*
I       2.00%*

 

(1) The features and expenses of each share class are described in further detail in the respective Fund’s Prospectus.

(2) The distribution and shareholder servicing expenses of a share class are provided for in the Fund’s respective 12b-1 Plan.

(3) The sales charges associated with a share class are described further in the respective Fund’s Prospectus.

* As a % of amount redeemed if held less than 30 days.

** As a % of amount redeemed if held less than 60 days.

*** As a % of amount redeemed, if sold within 90 days.

**** Fund has not yet commenced operation.

 

 

 

 

 

 

 

 

 

IN WITNESS WHEREOF, the Trust has executed this amended Multi-Class Plan as of the 23rd day of November, 2020.

 

 

NORTHERN LIGHTS FUND TRUST III

 

 

By: _/s/ Richard Malinowski_____________

Richard Malinowski, President

 

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