Wakefield Alternative Series Trust Sample Contracts

MANAGEMENT AGREEMENT (May 31, 2012 and as amended June 19, 2014)
Management Agreement • October 28th, 2014 • Wakefield Alternative Series Trust • Ohio

The Trust has been organized to engage in the business of an open-end management investment company. The Trust currently offers a single series of shares to investors and may offer additional series.

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DISTRIBUTION AGREEMENT
Distribution Agreement • October 28th, 2016 • Wakefield Alternative Series Trust • Delaware

THIS AGREEMENT is made and entered into as of October 20, 2016, by and between Wakefield Alternative Series Trust, a Delaware statutory trust (the “Client”), and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”) and shall become effective upon the termination of the ALPS Distributors Agreement dated December 12, 2016, by and between Client and Alps Distributors.

By-Laws of WAKEFIELD ALTERNATIVE SERIES TRUST
Wakefield Alternative Series Trust • June 21st, 2012
AMENDED AND RESTATED DISTRIBUTION AGREEMENT
Distribution Agreement • October 28th, 2014 • Wakefield Alternative Series Trust • Colorado

THIS AMENDED AND RESTATED AGREEMENT is made as of February __, 2014, between Wakefield Alternative Series Trust, organized as a statutory trust under the laws of the State of Delaware (the “Fund”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).

FUND SERVICES AGREEMENT
Fund Services Agreement • October 28th, 2016 • Wakefield Alternative Series Trust • New York

THIS FUND SERVICES AGREEMENT (this “Agreement”) dated the _____ day of _____, 2016 (the “Effective Date”), is entered into by and between WAKEFIELD ALTERNATIVE SERIES TRUST, a Delaware statutory trust having its principal office and place of business at 700 17th Street, Suite 1550, Denver, CO 80202 (the "Trust") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“GFS”).

AGREEMENT AND DECLARATION OF TRUST of
Agreement and Declaration • October 4th, 2011 • Wakefield Alternative Series Trust • Delaware

AGREEMENT AND DECLARATION OF TRUST made this 30th day of September, 2011, by the Trustee(s) hereunder, and by the holders of shares of beneficial interest to be issued hereunder as hereinafter provided. This Agreement and Declaration of Trust shall be effective upon the filing of the Certificate of Trust in the office of the Secretary of State of the State of Delaware.

WAKEFIELD ALTERNATIVE SERIES TRUST CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • June 21st, 2012 • Wakefield Alternative Series Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement) is effective May 22, 2012 (the “Effective Date”), by and between WAKEFIELD ALTERNATIVE SERIES TRUST, a Delaware statutory trust (the “Trust”), on behalf of each of its series listed in Exhibit A, attached hereto, as such Exhibit may be modified from time to time by written agreement of the parties (each, a “Fund”), and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation.

WAKEFIELD ALTERNATIVE SERIES TRUST SUB-ADVISORY AGREEMENT
Sub-Advisory Agreement • October 28th, 2014 • Wakefield Alternative Series Trust • New York

SUB-ADVISORY AGREEMENT, dated as of June 19, 2014, between Wakefield Advisors, LLC (the “Adviser”), and Clinton Group, Inc. (the “Sub-Adviser”).

TRANSFER AGENCY AND SERVICES AGREEMENT
Transfer Agency and Services Agreement • June 21st, 2012 • Wakefield Alternative Series Trust • Colorado

THIS AGREEMENT is made as of May 22, 2012, between Wakefield Alternative Series Trust, organized as a statutory trust under the laws of the State of Delaware (the “Fund”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).

BROKER DEALER SELLING AGREEMENT
Broker Dealer • October 28th, 2014 • Wakefield Alternative Series Trust • Colorado

THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and a company having its principal place of business at (hereinafter “Broker/Dealer”).

Amendment No. 2 to Transfer Agency and Services Agreement
Agency and Services Agreement • October 28th, 2016 • Wakefield Alternative Series Trust

This Amendment No. 2, entered into as of January 11, 2016 (the “Execution Date”) and effective as of January 11, 2016 (the “Effective Date”), to the Transfer Agency and Services Agreement (this “Amendment”), by and between Wakefield Alternative Series Trust, a Delaware statutory trust established under the laws of the State of Delaware (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).

FUND SERVICES AGREEMENT
Fund Services Agreement • August 16th, 2012 • Wakefield Alternative Series Trust • Colorado

This Services Agreement (the “Agreement”) dated as of May 23, 2012, by and among WMFS Fund Limited, a Cayman Islands Limited Company (the “Fund”), and PYXIS GLOBAL FINANCIAL SERVICES, LLC a Colorado limited liability company ( “Pyxis”).

WAKEFIELD ALTERNATIVE SERIES TRUST SUB-ADVISORY AGREEMENT
Wakefield Alternative Series Trust Sub-Advisory Agreement • August 28th, 2014 • Wakefield Alternative Series Trust • New York

SUB-ADVISORY AGREEMENT, dated as of June 19, 2014, between Wakefield Advisors, LLC (the "Adviser"), and Clinton Group, Inc. (the "Sub-Adviser").

CUSTODY AGREEMENT dated as of February 14, 2012 by and between
Custody Agreement • June 21st, 2012 • Wakefield Alternative Series Trust • Massachusetts

THIS CUSTODY AGREEMENT (this "Agreement") is dated as of February 14, 2012 and is by and between WAKEFIELD MANAGED FUTURES STRATEGY FUND, A SERIES OF WAKEFIELD ALTERNATIVE SERIES TRUST (and any successor or permitted assign), a STATUTORY TRUST organized under the laws of the STATE OF DELAWARE, having its principal place of business at 700 17TH STREET, SUITE 2400, DENVER COLORADO 80202, and U.S. BANK NATIONAL ASSOCIATION (or any successor or permitted assign acting as custodian hereunder, the "Custodian"), a national banking association having a place of business at One Federal Street, Boston, MA 02110.

Expense Limitation Agreement June 19, 2014
Limitation Agreement • October 28th, 2014 • Wakefield Alternative Series Trust
Amendment to Transfer Agency and Services Agreement
Transfer Agency and Services Agreement • July 16th, 2014 • Wakefield Alternative Series Trust

This Amendment, entered into as of June 19, 2014 (the “Execution Date”) and effective as of July , 2014 (the “Effective Date”), to the Transfer Agency and Services Agreement (this “Amendment”), by and between Wakefield Alternative Series Trust, a Delaware statutory trust established under the laws of the State of Delaware (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).

Amendment No. 2 to Administration, Bookkeeping and Pricing Services Agreement
Services Agreement • October 28th, 2016 • Wakefield Alternative Series Trust

This Amendment No. 2, entered into as of January 11, 2016 (the “Execution Date”) and effective as of January 11, 2016 (the “Effective Date”), to the Administration, Bookkeeping and Pricing Services Agreement, by and between Wakefield Alternative Series Trust, a Delaware statutory trust established under the laws of the State of Delaware (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).

MANAGEMENT AGREEMENT
Management Agreement • August 7th, 2012 • Wakefield Alternative Series Trust • Delaware

The Company has been incorporated as an exempted company with limited liability in the Cayman Islands to engage in business as an open-end management investment company. The Company currently has one series of participating shares, which are offered solely to the Wakefield Managed Futures Strategy Fund, a series of Wakefield Alternative Series Trust.

Expense Limitation Agreement April 27, 2012
Expense Limitation Agreement • June 21st, 2012 • Wakefield Alternative Series Trust

You have engaged us to act as the sole investment adviser to the Wakefield Managed Futures Strategy Fund (the "Fund") pursuant to a Management Agreement dated as of November 15, 2011.

ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENT
Administration, Bookkeeping And • June 21st, 2012 • Wakefield Alternative Series Trust • Colorado

THIS AGREEMENT is made as of May 22, 2012, between Wakefield Alternative Series Trust, organized as a statutory trust under the laws of the State of Delaware (the “Fund”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).

SUBSCRIPTION AGREEMENT BETWEEN THE FUND AND THE INVESTOR
Subscription Agreement • June 21st, 2012 • Wakefield Alternative Series Trust

Effective as of the date first written above, the undersigned (the "Purchaser") subscribes to purchase a beneficial interest ("Interest") in the Wakefield Managed Futures Strategy Fund, in the amount of $100,000.00 for 10,000 shares at net asset value of $10.00 per share, in consideration for which the Purchaser agrees to transfer to you upon demand cash in the amount of $100,000.00.

Amendment to Amended and Restated Distribution Agreement
Amended and Restated Distribution Agreement • July 16th, 2014 • Wakefield Alternative Series Trust

This Amendment, entered into as of June 19, 2014 (the “Execution Date”) and effective as of July , 2014 (the “Effective Date”), to the Distribution Agreement (this “Amendment”), by and between Wakefield Alternative Series Trust, a Delaware statutory trust established under the laws of the State of Delaware (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation, having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (the “Distributor”).

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Amendment to Administration, Bookkeeping, and Pricing Services Agreement
Services Agreement • October 28th, 2014 • Wakefield Alternative Series Trust

This Amendment, entered into as of June 19, 2014 (the “Execution Date”) and effective as of August 13, 2014 (the “Effective Date”), to the Administration, Bookkeeping, and Pricing Services Agreement (this “Amendment”), by and between Wakefield Alternative Series Trust, a Delaware statutory trust established under the laws of the State of Delaware (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).

Amendment to Amended and Restated Distribution Agreement
Distribution Agreement • October 28th, 2014 • Wakefield Alternative Series Trust

This Amendment, entered into as of June 19, 2014 (the “Execution Date”) and effective as of August 13, 2014 (the “Effective Date”), to the Distribution Agreement (this “Amendment”), by and between Wakefield Alternative Series Trust, a Delaware statutory trust established under the laws of the State of Delaware (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation, having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (the “Distributor”).

Amendment to Transfer Agency and Services Agreement
Transfer Agency and Services Agreement • October 28th, 2014 • Wakefield Alternative Series Trust

This Amendment, entered into as of June 19, 2014 (the “Execution Date”) and effective as of August 13, 2014 (the “Effective Date”), to the Transfer Agency and Services Agreement (this “Amendment”), by and between Wakefield Alternative Series Trust, a Delaware statutory trust established under the laws of the State of Delaware (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).

Amendment to Administration, Bookkeeping, and Pricing Services Agreement
Services Agreement • July 16th, 2014 • Wakefield Alternative Series Trust

This Amendment, entered into as of June 19, 2014 (the “Execution Date”) and effective as of July , 2014 (the “Effective Date”), to the Administration, Bookkeeping, and Pricing Services Agreement (this “Amendment”), by and between Wakefield Alternative Series Trust, a Delaware statutory trust established under the laws of the State of Delaware (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).

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