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.
DISTRIBUTION AGREEMENTDistribution 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.
AMENDED AND RESTATED DISTRIBUTION AGREEMENTDistribution 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”).
By-Laws of WAKEFIELD ALTERNATIVE SERIES TRUSTBy-Laws • June 21st, 2012 • Wakefield Alternative Series Trust
FUND SERVICES AGREEMENTFund 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 ofDeclaration of Trust • 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 SUB-ADVISORY AGREEMENTSub-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 AGREEMENTTransfer 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 AGREEMENTBroker Dealer Selling Agreement • 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”).
WAKEFIELD ALTERNATIVE SERIES TRUST CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief 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.
Amendment No. 2 to Transfer Agency and Services AgreementTransfer 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 AGREEMENTServices 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”).
CUSTODY AGREEMENT dated as of February 14, 2012 by and betweenCustody 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, 2014Expense Limitation Agreement • October 28th, 2014 • Wakefield Alternative Series Trust
Amendment to Transfer Agency and Services AgreementTransfer 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 AgreementAdministration, Bookkeeping and Pricing 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 AGREEMENTManagement 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, 2012Expense 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 AGREEMENTAdministration, Bookkeeping and Pricing 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”).
SUBSCRIPTION AGREEMENT BETWEEN THE FUND AND THE INVESTORSubscription 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 AgreementDistribution 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”).
Amendment to Administration, Bookkeeping, and Pricing Services AgreementAdministration, Bookkeeping, and Pricing 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 AgreementDistribution 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 AgreementTransfer 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 AgreementAdministration, Bookkeeping, and Pricing 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”).
