SPROTT ETF TRUST INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • March 28th, 2019 • Sprott ETF Trust • Delaware
This Investment Advisory Agreement (the “Agreement”) is made and entered into as of this 13 day of March, 2019, by and between Sprott Asset Management LP, a Canadian Limited Partnership (the “Adviser”), and Sprott ETF Trust, a Delaware statutory trust (the “Trust”), regarding the Fund listed in Appendix A (the “Fund(s)”).
FORM OF CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement”) between ALPS ETF TRUST, a Delaware statutory trust (the “Trust”), and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation. The “Effective Date” of this Agreement is , 2013.Chief Compliance Officer Services Agreement • May 24th, 2013 • ALPS ETF Trust • Colorado
In a joint effort between the Trust and ALPS to ensure that the Barron’s 400 ETF, a series of the Trust (the “Fund”), is in compliance with Rule 38a-1 (the “Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”), ALPS has agreed to render services to the Trust on behalf of the Fund by entering into a formal agreement with respect thereto effective from and after the Effective Date.
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • March 28th, 2019 • Sprott ETF Trust • Massachusetts
THIS AGREEMENT is made as of the 13th day of March, 2019, by and between STATE STREET BANK AND TRUST COMPANY, Massachusetts trust company having its principal office and place of business at One Lincoln Street, Boston, Massachusetts 02111 (“State Street” or the “Transfer Agent”), and Sprott ETF Trust, a Delaware statutory trust having its principal office and place of business at 200 Bay Street, Suite 2600, Toronto, Ontario, Canada M5J2J1 (the “Trust”). This Agreement shall be effective with respect to each Portfolio identified on Schedule A hereto as of the effective date identified on such Schedule A.
ALPS ETF TRUST SUB-ADVISORY AGREEMENTSub-Advisory Agreement • December 1st, 2023 • ALPS ETF Trust • Colorado
AGREEMENT, dated as of October 19, 2023 by and among ALPS Advisors, Inc. (the “Investment Adviser”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203, and Smith Capital Investors, LLC, a Colorado limited liability company (the “Sub-Adviser”), having its principal place of business at 1430 Blake Street Denver, Colorado 80202, and ALPS ETF Trust (the “Trust”) on behalf of the portfolios listed in Appendix A hereto, as amended from time to time, each a series of the Trust (each a “Fund” and collectively, the “Funds”).
ALPS ETF CUSTODY AGREEMENTCustody Agreement • April 29th, 2009 • ALPS ETF Trust • New York
AGREEMENT, dated as of March 26, 2008, between ALPS ETF Trust, a Delaware statutory trust, having its principal office and place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (the “Trust”) and The Bank of New York, a New York corporation authorized to do a banking business having its principal office and place of business at One Wall Street, New York, New York 10286 (“Custodian”).
ALPS ETF FOREIGN CUSTODY MANAGER AGREEMENTForeign Custody Manager Agreement • May 1st, 2008 • ALPS ETF Trust • New York
WHEREAS, BNY desires to serve as a Foreign Custody Manager and perform the duties set forth herein on the terms and conditions contained herein;
DISTRIBUTION AGREEMENTDistribution Agreement • March 28th, 2019 • Sprott ETF Trust • Colorado
THIS AGREEMENT is made as of March 6, 2019, between Sprott ETF Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
DISTRIBUTION AGREEMENTDistribution Agreement • March 29th, 2013 • ALPS ETF Trust • Colorado
THIS AGREEMENT is made as of March 31, 2013, between ALPS ETF Trust, a Delaware trust (the “Fund”), and ALPS Portfolio Solutions Distributor, Inc., a Colorado corporation (“ALPS”).
ALPS ETF ADMINISTRATION AGREEMENT ALSP/DORSEY WRIGHT SECTOR MOMENTUM ETFAdministration Agreement • January 6th, 2017 • ALPS ETF Trust • Colorado
This Administration Agreement (the “Agreement”) is made as of the 6th day of January 2017, among ALPS ETF, a trust established under the laws of the State of Delaware (the “Fund”), ALPS Advisors, Inc., a Colorado corporation (the “Adviser”), and ALPS Fund Services, Inc., a Colorado corporation having its principal office at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS”). The Fund, the Adviser and ALPS agree as follows:
ALPS ETF TRUST PARTICIPANT AGREEMENTParticipant Agreement • February 12th, 2021 • ALPS ETF Trust • Colorado
This Participant Agreement (the “Agreement”) is entered into by and among ALPS Portfolio Solutions Distributor, Inc. (the “Distributor”) and ________________ [Participant’s Name and NSCC#] (the “Participant”) and is subject to acceptance by State Street Bank and Trust Company, as transfer agent (the “Transfer Agent”). ALPS ETF Trust (the “Trust”) is an open-end management investment company organized as a Delaware statutory trust consisting of separate investment portfolios (each, a “Fund” and collectively, the “Funds”) as set forth in Attachment A hereto. The Distributor has been retained as principal underwriter of the Trust and provides certain services in connection with the sale and distribution of shares of beneficial interest of the Funds (the “Shares”). The Transfer Agent has been retained to provide certain transfer agency services with respect to the purchase and redemption of Shares.
ALPS ETF FOREIGN CUSTODY MANAGER AGREEMENTForeign Custody Manager Agreement • April 29th, 2009 • ALPS ETF Trust • New York
WHEREAS, BNY desires to serve as a Foreign Custody Manager and perform the duties set forth herein on the terms and conditions contained herein;
MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • March 28th, 2019 • Sprott ETF Trust • Massachusetts
This Agreement is made as of March 13, 2019 between each management investment company identified on Appendix A hereto (each such investment company and each management investment company made subject to this Agreement in accordance with Section 19.5 below, shall hereinafter be referred to as a “Fund”), and STATE STREET BANK AND TRUST COMPANY, a Massachusetts trust company (the “Custodian”). This Agreement shall be effective with respect to each Portfolio identified on Appendix A hereto as of the effective date identified on such Appendix A.
ALPS ETF TRUST FORM OF SUB-ADVISORY AGREEMENTSub-Advisory Agreement • January 22nd, 2013 • ALPS ETF Trust • California
AGREEMENT, dated as of , 2012 by and between ALPS Advisors, Inc. (the “Investment Adviser”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and Rich Investment Solution, LLC, a Delaware corporation (the “Sub-Adviser”), having its principal place of business at 845 Third Avenue, 6th Floor, New York, NY 10022.
DISTRIBUTION AGREEMENTDistribution Agreement • March 29th, 2019 • ALPS ETF Trust • Colorado
THIS AGREEMENT (the “Agreement”) is made as of April 16, 2018, between ALPS ETF Trust, a Delaware statutory trust (the “Trust”), and ALPS Portfolio Solutions Distributor, Inc., a Colorado corporation (“ALPS”).
ALPS ETF ADMINISTRATION AGREEMENT RIVERFRONT DYNAMIC UNCONSTRAINED INCOME ETF RIVERFRONT DYNAMIC CORE INCOME ETF RIVERFRONT DYNAMIC US DIVIDEND ADVANTAGE ETF RIVERFRONT DYNAMIC US FLEX-CAP ETFAdministration Agreement • June 2nd, 2016 • ALPS ETF Trust • Colorado
This Administration Agreement (the “Agreement”) is made as of the __ day of ______, 2016, among ALPS ETF, a trust established under the laws of the State of Delaware (the “Fund”), ALPS Advisors, Inc., a Colorado corporation (the “Adviser”), and ALPS Fund Services, Inc., a Colorado corporation having its principal office at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS”). The Fund, the Adviser and ALPS agree as follows:
ALPS ETF TRUST FUND ACCOUNTING AND SERVICES AGREEMENTFund Accounting and Services Agreement • March 30th, 2017 • ALPS ETF Trust • Colorado
THIS AGREEMENT is made between ALPS ETF Trust, a Delaware statutory trust (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”). This Agreement shall be effective with respect to each management investment company identified on Appendix A hereto as of the effective date identified on such Appendix A.
AUTHORIZED PARTICIPANT AGREEMENT FOR ALPS ETF TRUSTAuthorized Participant Agreement • March 29th, 2013 • ALPS ETF Trust • New York
This Authorized Participant Agreement (the “Agreement”) is entered into by and between ALPS Portfolio Solutions Distributor, Inc. (the “Distributor”) and (the “Authorized Participant” or “AP”) and is subject to acceptance by The Bank of New York (“BNY ETF Administrator” or the “Transfer Agent”). The Transfer Agent serves as the transfer agent for ALPS ETF Trust (the “Trust”) and is an Index Receipt Agent as that term is defined in the rules of the National Securities Clearing Corporation (“NSCC”). The Distributor, the Transfer Agent and the Authorized Participant acknowledge and agree that the Trust shall be a third party beneficiary of this Agreement, and shall receive the benefits contemplated by this Agreement, to the extent specified herein. The Distributor has been retained to provide services as principal underwriter of the Trust acting on an agency basis in connection with the sale and distribution of shares of beneficial interest, all without par value (sometimes referred to as
ALPS ETF TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • April 29th, 2009 • ALPS ETF Trust • New York
AGREEMENT made as of March 26, 2008, by and between ALPS ETF Trust, a Delaware statutory trust, having its principal office and place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (the “Trust”) and THE BANK OF NEW YORK, a New York banking company having its principal office and place of business at One Wall Street, New York, New York 10286 (the “Bank”).
Master Custodian AgreementMaster Custodian Agreement • March 30th, 2017 • ALPS ETF Trust • Massachusetts
This Agreement is made as of June 30, 2015 between each management investment company identified on Appendix A hereto (each such investment company and each management investment company made subject to this Agreement in accordance with Section 19.5 below, shall hereinafter be referred to as a “Fund”), and State Street Bank and Trust Company, a Massachusetts trust company (the “Custodian”). This Agreement shall be effective with respect to each portfolio identified on Appendix A hereto as of the effective date identified on such Appendix A.
Amendment to REPORT MODERNIZATION ADDENDUM to Amended and Restated Administration AgreementReport Modernization Addendum • October 28th, 2022 • ALPS ETF Trust
This Amendment (this "Amendment") dated February 16, 2022, is to the Report Modernization Addendum (the "Addendum") dated June 4, 2018, as amended to the Amended and Restated Administration Agreement dated March 6, 2017, as amended (the "Agreement"), by and between ALPS Advisors, Inc. (the "Adviser"), a Colorado corporation, ALPS Fund Services, Inc., a Colorado corporation ("ALPS"), and ALPS ETF Trust, a Delaware statutory trust (the "Trust").
Amendment No. 13 to Investment Advisory AgreementInvestment Advisory Agreement • December 1st, 2023 • ALPS ETF Trust
This Amendment No. 13, dated October 1, 2023 (this “Amendment”), to the Investment Advisory Agreement dated May 31, 2018 (the “Agreement”), as amended, by and between ALPS ETF Trust, a Delaware statutory trust (the “Trust”) and ALPS Advisors, Inc. (the “Adviser”). Any items not herein defined shall have the meaning ascribed to them in the Agreement.
Amendment No. 3 to Investment Advisory AgreementInvestment Advisory Agreement • March 29th, 2019 • ALPS ETF Trust
This Amendment No. 3, dated November 1, 2018 (this “Amendment”), to the Investment Advisory Agreement dated May 31, 2018 (the “Agreement”), as amended, by and between ALPS ETF Trust, a Delaware statutory trust (the “Trust”) and ALPS Advisors, Inc. (the “Adviser”). Any items not herein defined shall have the meaning ascribed to them in the Agreement.
Amendment to ALPS ETF Trust Administration AgreementAlps Etf Trust Administration Agreement • August 9th, 2023 • ALPS ETF Trust
This Amendment to ALPS ETF Trust Amended and Restated Administration Agreement (this “Amendment”), dated August 7, 2023 between ALPS ETF Trust, a Delaware statutory trust (the “Trust”), and ALPS Fund Services, Inc. (“ALPS”).
FORM OF ALPS ETF ADMINISTRATION AGREEMENT Alerian MLP ETFAdministration Agreement • August 10th, 2010 • ALPS ETF Trust • Colorado
This Administration Agreement (the “Agreement”) is made as of the day of , 2010, among ALPS ETF Trust on behalf of the Alerian MLP ETF, a trust established under the laws of the State of Delaware (the “Fund”), ALPS Advisors, Inc., a Colorado corporation (the “Adviser”), and ALPS Fund Services, Inc., a Colorado corporation having its principal office at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS”). The Fund, the Adviser and ALPS agree as follows:
ALPS ETF TRUST INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • April 29th, 2009 • ALPS ETF Trust • Colorado
This Investment Advisory Agreement (the “Agreement”) is made and entered into as of this 26th day of March, 2008, by and between ALPS Advisers, Inc., a Colorado corporation (the “Adviser”), and ALPS ETF Trust, a Delaware statutory trust (the “Trust”), regarding the Fund(s) listed in Appendix A (the “Funds”).
ALPS ETF TRUST FUND ACCOUNTING AGREEMENTFund Accounting Agreement • April 29th, 2009 • ALPS ETF Trust • New York
AGREEMENT made as of March 26, 2008, by and between ALPS ETF Trust, a Delaware statutory trust (the “Fund”), and The Bank of New York, a New York banking organization (“BNY”).
ALPS ETF ADMINISTRATION AGREEMENT ALPS SECTOR LEADERS ETF ALPS SECTOR LOW VOLATILITY ETFAdministration Agreement • June 29th, 2015 • ALPS ETF Trust • Colorado
This Administration Agreement (the “Agreement”) is made as of the 30th day of June, 2015, among ALPS ETF, a trust established under the laws of the State of Delaware (the “Fund”), ALPS Advisors, Inc., a Colorado corporation (the “Adviser”), and ALPS Fund Services, Inc., a Colorado corporation having its principal office at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS”). The Fund, the Adviser and ALPS agree as follows:
ALPS ETF TRUST SUB-ADVISORY AGREEMENTSub-Advisory Agreement • March 30th, 2022 • ALPS ETF Trust • New York
AGREEMENT, dated as of February 16, 2022 by and among ALPS Advisors, Inc. (the “Investment Adviser”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203, Brown Brothers Harriman & Co., through a separately identifiable department known as the Brown Brothers Harriman Mutual Fund Advisory Department, a New York limited partnership (the “Sub-Adviser”), having its principal place of business at 140 Broadway, New York, New York, 10005, and ALPS ETF Trust (the “Trust”) on behalf of the portfolios listed in Appendix A hereto, as amended from time to time, each a series of the Trust (each a “Fund” and collectively, the “Funds”).
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • March 30th, 2017 • ALPS ETF Trust • Delaware
AGREEMENT, dated as of _June 10_________, 2013 by and between RiverFront Investment Group, LLC, a Delaware limited liability company (“Sub-Adviser”) and the ALPS ETF Trust, a Delaware Statutory trust (the “Trust”), on behalf of the RiverFront Strategic Income Fund (the “Fund”).
April , 2016Agreement and Plan of Reorganization and Termination • June 8th, 2016 • Janus Detroit Street Trust
Re: Agreement and Plan of Reorganization and Termination, dated [ ], 2016 (“Agreement I”), between ALPS ETF Trust (the “Existing Trust”), a statutory trust created under the laws of the State of Delaware, on behalf of Janus Velocity Tail Risk Hedged Large Cap ETF (“Existing Fund I”), and Janus Detroit Street Trust (the “New Trust”), a statutory trust created under the laws of the State of Delaware, on behalf of its newly created series, Janus Velocity Tail Risk Hedged Large Cap ETF (“New Fund I”); and
ALPS ETF ADMINISTRATION AGREEMENT Sprott Gold Miners ETFAdministration Agreement • June 30th, 2014 • ALPS ETF Trust • Colorado
This Administration Agreement (the “Agreement”) is made as of the day of , 2014, among ALPS ETF, a trust established under the laws of the State of Delaware (the “Fund”), ALPS Advisors, Inc., a Colorado corporation (the “Adviser”), and ALPS Fund Services, Inc., a Colorado corporation having its principal office at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS”). The Fund, the Adviser and ALPS agree as follows:
Amendment to ALPS ETF Trust Fund Accounting AgreementAlps Etf Trust Fund Accounting Agreement • October 10th, 2014 • ALPS ETF Trust
This Amendment to ALPS ETF Trust Fund Accounting Agreement (this “Amendment”), dated September 8, 2014, between ALPS ETF Trust, a Delaware statutory trust (the “Trust”), and The Bank of New York Mellon (the “BNY”).
Amendment to ALPS ETF Trust Fund Accounting AgreementAlps Etf Trust Fund Accounting Agreement • December 27th, 2017 • ALPS ETF Trust
This Amendment to ALPS ETF Trust Fund Accounting Agreement (this “Amendment”), dated December 29, 2017 , between ALPS ETF Trust, a Delaware statutory trust (the “Trust”), and ALPS Fund Services, Inc. (the “ALPS”).
Form of Amendment to Investment Advisory AgreementInvestment Advisory Agreement • March 29th, 2016 • ALPS ETF Trust
This is an Amendment, dated ____________, 2016 (this “Amendment”), to the Investment Advisory Agreement dated June 10, 2013 (the “Agreement”) by and between ALPS ETF Trust, a Delaware statutory trust (the “Trust”) and ALPS Advisors, Inc. (the “Adviser”). Any items not herein defined shall have the meaning ascribed to them in the Agreement.
Amendment to ALPS ETF Trust Distribution AgreementAlps Etf Trust Distribution Agreement • March 30th, 2017 • ALPS ETF Trust
This Amendment to the ALPS ETF Trust Distribution Agreement (this “Amendment”), dated March 13, 2015, between ALPS ETF Trust, a Delaware statutory trust (the “Trust”), and ALPS Portfolio Solutions Distributor, Inc. (“ALPS”).
