Recon Capital Series Trust Sample Contracts

CUSTODY AGREEMENT
Custody Agreement • May 18th, 2016 • Recon Capital Series Trust • Minnesota

THIS AGREEMENT is made and entered into as of this __ day of _____________, 2016, by and between RECON CAPITAL SERIES TRUST, a Delaware statutory trust (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America (the “Custodian”).

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DISTRIBUTION AGREEMENT
Distribution Agreement • September 4th, 2013 • ETF Series Trust • New York

This Distribution Agreement (“Agreement”) is made this __ day of ____________, 2013, by and between ETF Series Trust, a Delaware statutory trust (“Trust”) having its principal place of business at 500 West Putnam Ave., Suite 400, Greenwich, CT 06830, and ETF Distributors LLC, a Delaware limited liability company (“Distributor”) having its principal place of business at 501 Madison Avenue, Suite 501, New York, NY 10022.

CUSTODY AGREEMENT
Custody Agreement • September 4th, 2013 • ETF Series Trust • New York

AGREEMENT, dated as of ________________, 200__ between _____________, a Delaware statutory trust, having its principal office and place of business at _____________________ (the “Trust”) and The Bank of New York Mellon, 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”).

TRANSFER AGENT SERVICING AGREEMENT
Transfer Agent Servicing Agreement • May 18th, 2016 • Recon Capital Series Trust • Wisconsin

THIS AGREEMENT is made and entered into as of this _____ day of __________, 2016, by and between RECON CAPITAL SERIES TRUST, a Delaware statutory trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“Fund Services”).

ETF DISTRIBUTION AGREEMENT
Etf Distribution Agreement • May 18th, 2016 • Recon Capital Series Trust • Delaware

This Distribution Agreement (the "Agreement") is made this _________ day of _________ 2015, by and between _________________ , a ________________ (the "Trust") having its principal place of business at __________________________ , and Foreside Fund Services, LLC, a Delaware limited liability company (the "Distributor") having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101.

FUND ADMINISTRATION AND ACCOUNTING AGREEMENT
Fund Administration and Accounting Agreement • September 4th, 2013 • ETF Series Trust • New York

AGREEMENT made as of _____________________, by and between each entity listed on Exhibit A hereto (each a “Fund”, collectively the “Funds”), and The Bank of New York Mellon, a New York banking organization (“BNY”).

AGREEMENT AND DECLARATION OF TRUST OF SAGE QUANT ETF TRUST (a Delaware Statutory Trust) Dated as of May 17, 2012
Trust Agreement • September 4th, 2013 • ETF Series Trust • Delaware

WHEREAS, Sage Quant ETF Trust was established on May 17, 2012 with the filing of a Certificate of Trust with the Secretary of State of the State of Delaware for the purposes of carrying on the business of a management investment company;

AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT HORIZONS ETF TRUST I
Investment Advisory Agreement • July 10th, 2017 • Horizons ETF Trust I • Delaware

AGREEMENT, made this 27th day of January, 2017, and amended and restated on the 9th day of March, 2017, among Horizons ETF Trust I (“Trust”), on behalf of its series set forth on Schedule A, as may be amended from time to time (each, a “Fund” and, together, the “Funds”) and Horizons ETFs Management (US) LLC, a Delaware limited liability company (“Adviser”).

FIRST AMENDED AND RESTATED ADMINISTRATIVE SERVICES AGREEMENT
Administrative Services Agreement • November 19th, 2013 • ETF Series Trust • New York

This FIRST AMENDED AND RESTATED ADMINISTRATIVE SERVICES AGREEMENT is made and entered into as of this 14th day of November, 2013 by and between ETF SERIES TRUST, a Delaware statutory trust (“Trust”) and ETF ISSUER SOLUTIONS INC., a Delaware corporation (“Administrator”). RECON CAPITAL ADVISORS, LLC, a Delaware limited liability company and the investment adviser to the Trust (“Adviser”) is a party hereto with respect to Section 5 only.

SUPERVISION AGREEMENT
Supervision Agreement • September 16th, 2016 • Recon Capital Series Trust • New York

This SUPERVISION AGREEMENT (“Agreement”), made this 12th day of December 2013, between Recon Capital Series Trust (“Trust”), a Delaware statutory trust, and Recon Capital Advisors, LLC, a Delaware limited liability company (“Manager”).

FUND ACCOUNTING SERVICING AGREEMENT
Fund Accounting Servicing Agreement • May 18th, 2016 • Recon Capital Series Trust • Wisconsin

THIS AGREEMENT is made as of this ____ day of __________, 2016 by and between RECON CAPITAL SERIES TRUST, a Delaware statutory trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“Fund Services”).

TRANSFER AGENCY AND SERVICE AGREEMENT
Transfer Agency and Service Agreement • September 4th, 2013 • ETF Series Trust • New York

AGREEMENT made as of the ______ day of ________, 2013, by and between each Trust (hereinafter the “Trust”) listed on Appendix I hereto and each Series of the Trust listed on Appendix I hereto (as such Appendix be amended from time to time), and THE BANK OF NEW YORK MELLON, a New York banking company having its principal office and place of business at One Wall Street, New York, New York 10286 (the “Bank”).

INVESTMENT ADVISORY AGREEMENT ETF Series Trust
Investment Advisory Agreement • September 4th, 2013 • ETF Series Trust • Delaware

AGREEMENT made this ________ day of 2013 between Sage Quant Management, LLC, a Delaware limited liability company (“Adviser”) and ETF Series Trust, a Delaware statutory trust (“Trust”), on behalf of each series of the Trust list on the attached Exhibit A as such Exhibit may be amended from time to time (each series is hereinafter referred to as a “Fund”).

ETF Series Trust STANDARD AUTHORIZED PARTICIPANT AGREEMENT
Authorized Participant Agreement • September 4th, 2013 • ETF Series Trust • Delaware

This Authorized Participant Agreement (the “Agreement”) is entered into by and between ETF Distributors LLC (the “Distributor”) and [ ] (the “Participant”) and is subject to acceptance by ETF Issuer Solutions Inc. (the “Index Receipt Agent”) as index receipt agent for ETF Series Trust (the “Trust”).

RECON CAPITAL SERIES TRUST FIRST AMENDMENT TO THE FUND ADMINISTRATION SERVICING AGREEMENT
Fund Administration Servicing Agreement • May 18th, 2016 • Recon Capital Series Trust

THIS FIRST AMENDMENT, dated as of May 4, 2016, to the Fund Administration Servicing Agreement dated as of March 23, 2016 (the "Agreement"), is entered into by and between RECON CAPITAL SERIES TRUST, a Delaware statutory trust (the "Trust") and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company ("Fund Services").

SECOND AMENDMENT TO ETF DISTRIBUTION AGREEMENT
Etf Distribution Agreement • May 18th, 2016 • Recon Capital Series Trust • Delaware

This second amendment ("Amendment") to the ETF Distribution Agreement (the "Agreement") dated as of April 1, 2015 by and between Recon Capital Series Trust, a Delaware statutory trust (the "Trust") having its principal place of business at 145 Mason Street, 2nd Floor, Greenwich, Connecticut 06830, and Foreside Fund Services, LLC, a Delaware limited liability company (the "Distributor") having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101 is entered into as of March 11, 2016 (the "Effective Date").

AMENDED DISTRIBUTION AND SERVICE PLAN
Distribution Agreement • May 18th, 2016 • Recon Capital Series Trust

THIS FIRST AMENDMENT, as dated May [__], 2016, to the Distribution and Service Plan dated April 12, 2013 (the “Agreement”), is entered into by and between Recon Capital Series Trust, a Delaware statutory trust (the “Trust”) and

FUND ADMINISTRATION SERVICING AGREEMENT
Fund Administration Servicing Agreement • May 18th, 2016 • Recon Capital Series Trust • Wisconsin

THIS AGREEMENT is made and entered into as of the _____ day of _______, 2016, by and between RECON CAPITAL SERIES TRUST, a Delaware statutory trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“Fund Services”).

FIRST AMENDMENT TO ETF DISTRIBUTION AGREEMENT
Etf Distribution Agreement • May 18th, 2016 • Recon Capital Series Trust • Delaware

This First Amendment ("Amendment") to the ETF Distribution Agreement (the "Agreement") dated as of April 1, 2015 by and between ETF series Trust, a Delaware statutory trust (the "Trust,") having its principal place of business at 145 Mason Street, 2nd Floor, Greenwich. Connecticut 06830, and Foreside Fund. Services, LLC, a Delaware limited liability company (the "Distributor") having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101. is entered into as of April 30, 2015 (the "Effective Date").

Expense Limitation Agreement
Expense Limitation Agreement • September 16th, 2016 • Recon Capital Series Trust
RECON CAPITAL SERIES TRUST FIRST AMENDMENT TO THE CUSTODY AGREEMENT
Custody Agreement • May 18th, 2016 • Recon Capital Series Trust

THIS FIRST AMENDMENT, dated as of May 4, 2016, to the Custody Agreement dated as of March 23, 2016, (the “Agreement”), is entered into by and between RECON CAPITAL SERIES TRUST, a Delaware statutory trust (the “Trust”), and U.S. BANK, NATIONAL ASSOCIATION, a national banking association (the “Custodian”).

RECON CAPITAL SERIES TRUST FIRST AMENDMENT TO THE FUND ACCOUNTING SERVICING AGREEMENT
Fund Accounting Servicing Agreement • May 18th, 2016 • Recon Capital Series Trust

THIS FIRST AMENDMENT, dated as of May 4, 2016, to the Fund Accounting Servicing Agreement dated as of March 23, 2016 (the "Agreement"), is entered into by and between RECON CAPITAL SERIES TRUST, a Delaware statutory trust (the `Trust") and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company ("Fund Services").

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THIRD AMENDMENT TO
Etf Distribution Agreement • September 16th, 2016 • Recon Capital Series Trust • Delaware

This third amendment (“Amendment”) to the ETF Distribution Agreement (the “Agreement”) dated as of April 1, 2015 by and between Recon Capital Series Trust, a Delaware statutory trust (the “Trust”) having its principal place of business at 145 Mason Street, 2nd Floor, Greenwich, CT 06830, and Foreside Fund Services, LLC, a Delaware limited liability company (“Foreside”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101 is entered into as of _________________ (the “Effective Date”).

FOURTH AMENDMENT TO ETF DISTRIBUTION AGREEMENT
Etf Distribution Agreement • July 10th, 2017 • Horizons ETF Trust I • Delaware

This fourth amendment (“Amendment”) to the ETF Distribution Agreement dated as of April 1, 2015 (the “Agreement”), by and between Horizons ETF Trust 1 (f/k/a Recon Capital Series Trust) (the “Trust”), and Foreside Fund Services, LLC (“Distributor”), is entered into as of May 16, 2017 (the “Effective Date”).

SUBLICENSE AGREEMENT
Sublicense Agreement • November 19th, 2013 • ETF Series Trust • New York

This Sublicense Agreement (the “Agreement”) is entered into as of November 14, 2013, by and between Recon Capital Advisors, LLC, a Delaware limited liability company with offices at 66 Palmer Avenue, Suite 49B, Bronxville, New York 10708 (the “ADVISER”), and ETF Series Trust (the “Licensee”).

AMENDMENT TO FUND ADMINISTRATION AND ACCOUNTING AGREEMENT
Fund Administration and Accounting Agreement • August 27th, 2014 • ETF Series Trust • New York

This Amendment (“Amendment”) is made as of the ___ day of_________ , 2014, by and between ETF SERIES TRUST (formerly, Sage Quant ETF Trust) (the “Trust”) and each series of the Trust listed on Exhibit A attached to the Agreement (as defined below) (each a “Fund” and collectively, the “Funds”) and THE BANK OF NEW YORK MELLON (“BNY Mellon” or “BNYM”). This Amendment is effective as of __________ , 2014 (the “Effective Date”).

SAGE QUANT ETF TRUST (a Delaware Statutory Trust) AMENDMENT NO. 1 TO THE AGREEMENT AND DECLARATION OF TRUST
Agreement and Declaration of Trust • September 4th, 2013 • ETF Series Trust

This Amendment No. 1 (“Amendment”) to the Agreement and Declaration of Trust of Sage Quant ETF Trust (“Trust”) dated as of May 17, 2012 (“Declaration of Trust”) amends the Declaration of the Trust effective August 29, 2013, pursuant to an unanimous written consent signed by the Board of Trustees of the Trust dated August 29, 2013, as follows:

SUBLICENSE AGREEMENT
Sublicense Agreement • September 4th, 2013 • ETF Series Trust • New York

This Sublicense Agreement (the “Agreement”) is entered into as of , 2013, by and between Sage Quant Management LLC, a Delaware limited liability company with offices at 500 West Putnam Ave., Suite 400 Greenwich, CT 06830 (the “ADVISER”), and ETF Series Trust (the “Licensee”).

SUB-ADVISORY AGREEMENT
Sub-Advisory Agreement • April 21st, 2017 • Horizons ETF Trust I • New York

AGREEMENT dated March 9, 2017, between Horizons ETFs Management (US) LLC, a Delaware limited liability company whose principal place of business is 1350 Avenue of the Americas, 33rd Floor, New York, NY 10019 (the “Investment Manager”), and Mirae Asset Global Investments (Hong Kong) Limited, a Hong Kong corporation whose registered address is Level 15, Three Pacific Place, 1 Queen’s Road East, Hong Kong (the “Sub-Adviser”).

THIRD AMENDMENT TO RECON CAPITAL SERIES TRUST DISTRIBUTION AGREEMENT
Distribution Agreement • May 18th, 2016 • Recon Capital Series Trust

This Amendment (the “Amendment”) to the Distribution Agreement (the “Agreement”) dated as of [____________], by and between Recon Capital Series Trust (the “Trust”) and Foreside Fund Services, LLC (“Foreside”) is hereby entered into as of [_________], 2016.

SUB-ADVISORY AGREEMENT
Sub-Advisory Agreement • February 9th, 2018 • Horizons ETF Trust I • New York

AGREEMENT dated February 9, 2018, between Horizons ETFs Management (US) LLC, a Delaware limited liability company whose principal place of business is 625 Madison Avenue, 3rd Floor, New York, NY 10022 (the “Adviser”), and Cadence Capital Management LLC, a Delaware limited liability company whose principal place of business is 265 Franklin Street, 4th Floor, Boston, Massachusetts 02110-3113 (the “Sub-Adviser”) and shall be deemed effective for each series of the Horizons ETF Trust I, a Delaware statutory trust (the “Trust”) set forth in Schedule A (each, a “Fund” and collectively, the “Funds”) on the date set forth in Schedule A in accordance with Section 11 hereof.

AMENDMENT TO HORIZONS ETF TRUST I DISTRIBUTION AGREEMENT
Distribution Agreement • April 21st, 2017 • Horizons ETF Trust I

This Amendment (the "Amendment") to the Distribution Agreement (the "Agreement") dated as of _____________ by and between Horizons ETF Trust I (the "Trust") and Foreside Fund Services, LLC ("Foreside") is hereby entered into as of _____________.

SECOND AMENDMENT TO ETF DISTRIBUTION AGREEMENT
Etf Distribution Agreement • February 9th, 2018 • Horizons ETF Trust I • Delaware

This Second Amendment (“Amendment”) to the ETF Distribution Agreement dated as of May 31, 2017 (the “Agreement”), by and between Horizons ETF Trust 1 (the “Trust”), and Foreside Fund Services, LLC (“Distributor”), is entered into as of November 30, 2017 (the “Effective Date”).

AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENT
Transfer Agency and Service Agreement • August 27th, 2014 • ETF Series Trust • New York

This Amendment (“Amendment”) is made as of the ___ day of_________ , 2014, by and between ETF SERIES TRUST (formerly, Sage Quant ETF Trust) (the “Trust”) and each series of the Trust listed on Appendix I attached to the Agreement (as defined below) (each a “Series” and collectively, the “Series”) and THE BANK OF NEW YORK MELLON (“BNY Mellon”). This Amendment is effective as of , 2014 (the “Effective Date”).

RECON CAPITAL SERIES TRUST FIRST AMENDMENT TO THE TRANSFER AGENT SERVICING AGREEMENT
Transfer Agent Servicing Agreement • May 18th, 2016 • Recon Capital Series Trust

THIS FIRST AMENDMENT, dated as of May 4, 2016, to the Transfer Agent Servicing Agreement dated as of March 23, 2016 (the "Agreement"), is entered into by and between RECON CAPITAL SERIES TRUST, a Delaware statutory trust (the "Trust") and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company ("USBFS").

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