INVESTMENT ADVISORY AGREEMENT Between TWO ROADS SHARED TRUST and LJM FUNDS MANAGEMENT, LTD.Investment Advisory Agreement • October 26th, 2012 • Two Roads Shared Trust • Delaware
AGREEMENT, made as of August 29, 2012 between Two Roads Shared Trust, a Delaware statutory trust (the "Trust"), and LJM Funds Management, Ltd., an Illinois Corporation (the "Adviser") located at One Financial Place, 440 S. LaSalle Street, Suite 2301, Chicago, IL 60605.
CUSTODY AGREEMENTCustody Agreement • January 16th, 2018 • Two Roads Shared Trust • Delaware
THIS AGREEMENT is made and entered into as of this 2nd day of January, 2018, by and between TWO-ROADS SHARED 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”).
UNDERWRITING AGREEMENT Between TWO ROADS SHARED TRUST and NORTHERN LIGHTS DISTRIBUTORS, LLCUnderwriting Agreement • April 24th, 2019 • Two Roads Shared Trust • Nebraska
THIS UNDERWRITING AGREEMENT effective the 1st day of February, 2019, by and between TWO ROADS SHARED TRUST, a Delaware statutory trust, having its principal office and place of business at 17645 Wright Street, Suite 200, Omaha, Nebraska 68130 (the “Trust”), and NORTHERN LIGHTS DISTRIBUTORS, LLC, a Nebraska limited liability company having its principal office and place of business at 17645 Wright Street, Suite 200, Omaha, Nebraska 68130 (“NLD”).
FUND SERVICES AGREEMENT between TWO ROADS SHARED TRUST andFund Services Agreement • October 26th, 2012 • Two Roads Shared Trust • New York
THIS FUND SERVICES AGREEMENT (the “Agreement”) effective as of the 29th day of August, 2012, by and between TWO ROADS SHARED TRUST, a Delaware statutory trust having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (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”). This Agreement replaces and supersedes all prior understandings and agreements between the parties hereto for the services described below.
FUND PARTICIPATION AGREEMENTFund Participation Agreement • November 21st, 2014 • Two Roads Shared Trust • Texas
THIS AGREEMENT is made as of October 2, 2014, among Two Roads Shared Trust, an open-end management investment company organized as a Delaware statutory trust (the "Trust"), Jefferson National Life Insurance Company, a life insurance company organized under the laws of the State of Texas (“JNL”) and Jefferson National Life Insurance Company of New York, a life insurance company organized under the laws of the State of New York (“JNL NY”) (JNL and JNL NY are referred to individually or together, as the context requires, as the “Company”), on its own behalf and on behalf of each segregated asset account of the Company set forth on Schedule A, as the parties hereto may amend it from time to time (the "Accounts") (individually, a "Party", and collectively, the "Parties").
SUBADVISORY AGREEMENTSubadvisory Agreement • March 14th, 2013 • Two Roads Shared Trust • Delaware
THIS AGREEMENT is made and entered into as of the 29th day of August, 2012, by and between ALTERNATIVE ROAD INVESTMENT ADVISERS, LLC (the “Adviser”), a Delaware limited liability company registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and HIGHLAND CAPITAL MANAGEMENT, L.P. (the “Sub-Adviser”), a limited partnership organized under the laws of Delaware and also registered under the Advisers Act, with respect to ALTERNATIVE AVENUE FUND (the “Fund”), a series of the TWO ROADS SHARED TRUST, a Delaware statutory trust (the “Trust”).
ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • April 24th, 2019 • Two Roads Shared Trust • Nebraska
This ETF Distribution Agreement (this “Agreement”) is effective the 1st day of February, 2019, between Two Roads Shared Trust, a Delaware statutory trust (the “Trust”), on behalf of itself and the fund(s) listed on Schedule B, as may be amended from time to time (each, a “Fund”, and collectively, the “Funds”), and Northern Lights Distributors, LLC a Nebraska limited liability company (the “Distributor”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • September 14th, 2023 • Two Roads Shared Trust
This INVESTMENT ADVISORY AGREEMENT (the “Agreement”) dated June 28, 2023, is made by and between Two Roads Shared Trust, a Delaware statutory trust (the “Trust”), and Regents Park Funds, LLC (the “Adviser”). This Agreement will confirm the agreement between the Trust and Adviser as follows:
SUBADVISORY AGREEMENTSubadvisory Agreement • October 26th, 2012 • Two Roads Shared Trust • Delaware
THIS AGREEMENT is made and entered into as of the 29th day of August, 2012, by and between Alternative Road Investment Advisers, LLC (the “Adviser”), a Delaware limited liability company registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and Rockview Management, LLC, a limited liability company organized under the laws of the State of Delaware (the “Subadviser”) and also registered under the Advisers Act, with respect to The Alternative Avenue Fund (the “Fund”), a series of the TWO ROADS SHARED TRUST, a Delaware statutory trust (the “Trust”).
CONSULTING AGREEMENTConsulting Agreement • April 12th, 2022 • Two Roads Shared Trust • Nebraska
THIS CONSULTING AGREEMENT (this “Agreement”) dated February 1, 2017 (the “Original Effective Date”) as amended and restated on April 1, 2022 (the “Effective Date”), is entered into by and between TWO ROADS SHARED TRUST, a Delaware statutory trust having its office and principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the “Trust”), and NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company having its office and principal place of business at 4221 North 203rd Street, Suite 100, Elkhorn, Nebraska 68022 (“NLCS”).
CUSTODY AGREEMENT by and between TWO ROADS SHARED TRUST and THE BANK OF NEW YORK MELLONCustody Agreement • August 12th, 2015 • Two Roads Shared Trust • New York
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • September 14th, 2023 • Two Roads Shared Trust • New York
This INVESTMENT SUB-ADVISORY AGREEMENT (“Agreement”), effective as of July 14, 2023, is by and among Vident Advisory, LLC (the “Sub-Adviser”), Two Roads Shared Trust (the “Trust”), on behalf of the Hypatia Women CEO ETF, a series of the Trust (the “Fund”), and Hypatia Capital Management LLC (the “Adviser”).
CUSTODIAN AND TRANSFER AGENT AGREEMENTCustodian and Transfer Agent Agreement • September 26th, 2017 • Two Roads Shared Trust • New York
THIS AGREEMENT, dated as of September 19, 2017, between Two Roads Shared Trust (the “Fund,” on behalf of its separate series listed on Schedule V attached hereto, the “Portfolios”), an open-end management investment company organized under the laws of the State of Delaware and registered with the Commission under the Investment Company Act of 1940 (the “1940 Act”), and BROWN BROTHERS HARRIMAN & CO., a limited partnership formed under the laws of the State of New York (BBH&Co. or, when referring to BBH&Co. in its capacity as custodian, the “Custodian,” and when referring to BBH&Co. in its capacity as transfer agent, “TA”).
AGREEMENT AND DECLARATION OF TRUST ofAgreement and Declaration of Trust • June 28th, 2012 • Two Roads Shared Trust • Delaware
AGREEMENT AND DECLARATION OF TRUST made this 8th day of June 2012, by the Trustees 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.
OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENTOperating Expenses Limitation and Security Agreement • December 19th, 2022 • Two Roads Shared Trust • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 7th day of December, 2022, by and between Two Roads Shared Trust, a Delaware statutory trust (the “Trust”), on behalf of the Hunter Small Cap Value Fund (the “Fund”), a series of the Trust, and the Adviser to the Fund, Hunter Perkins Capital Management, LLC d/b/a Hunter Capital Management (“Hunter Capital” or the “Adviser”).
FUND SERVICES AGREEMENT between TWO ROADS SHARED TRUSTFund Services Agreement • October 26th, 2021 • Two Roads Shared Trust • New York
THIS FUND SERVICES AGREEMENT (the “Agreement”) effective as of the 28th day of September, 2021, by and between TWO ROADS SHARED TRUST, a Delaware statutory trust having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the "Trust") and ULTIMUS FUND SOLUTIONS, LLC, an Ohio limited liability company having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (“UFS”).
TWO ROADS SHARED TRUST AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT Regents Park Funds, LLCAnd Security Agreement • November 15th, 2019 • Two Roads Shared Trust • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is made as of the 12th day of September, 2019, by and between TWO ROADS SHARED TRUST, a Delaware statutory trust (the “Trust”), on behalf of the to the series listed in Exhibit A of this Agreement (each a “Fund”, collectively the “Funds”) a series of the Trust, and the advisor of the Funds, Regents Park Funds, LLC (the “Advisor”).
ContractGlobal Custody Agreement • February 28th, 2020 • Two Roads Shared Trust • New York
This Amended and Restated Global Custody Agreement (“Amended and Restated Agreement”) is made as of October 24, 2019 by and between Two Roads Shared Trust ("Principal") and MUFG Union Bank, N.A. ("Custodian"), and hereby supersedes that certain Custody Agreement dated as of August 29, 2012, the Addendum to Custody Agreement for Special Assets, and other supplements thereto (collectively, the Custody Agreement), by and between Custodian and Principal, and any amendments thereof.
AUTHORIZED PARTICIPANT AGREEMENTAuthorized Participant Agreement • September 26th, 2017 • Two Roads Shared Trust • New York
AUTHORIZED PARTICIPANT AGREEMENT (this “Agreement”) dated as of ________ __, 2017, is between Northern Lights Distributors, LLC (“Distributor”) and Virtu Americas LLC (the “Participant”) and is subject to acceptance by Brown Brothers Harriman & Co., the index receipt agent (“Index Receipt Agent”) for Two Roads Shared Trust (the “Trust”).
CONSULTING AGREEMENTConsulting Agreement • October 26th, 2012 • Two Roads Shared Trust • New York
This Consulting Agreement (the “Agreement”) is effective August 29, 2012 between NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company located at 450 Wireless Boulevard, Hauppauge, NY 11788 (“NLCS”) and TWO ROADS SHARED TRUST, a to-be registered investment company organized as a Delaware statutory trust, located at 17605 Wright Street, Omaha, Nebraska 68130 (the “Trust”), on behalf of each portfolio listed on the attached Appendix A, as may be amended from time to time (each a “Fund” and collectively “Funds”).
ETF FUND SERVICES AGREEMENTEtf Fund Services Agreement • September 26th, 2017 • Two Roads Shared Trust • New York
THIS ETF FUND SERVICES AGREEMENT (this “Agreement”) dated the 19th day of September, 2017 (the “Effective Date”), is entered into by and between the Two Roads Shared Trust, a Delaware statutory trust having its principal office and place of business at 17605 Wright Street, Suite 2, Omaha, NE 68130 (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”).
AMENDED AGREEMENT AND DECLARATION OF TRUST of Two Roads Shared Trust a Delaware Statutory TrustAmended Agreement and Declaration of Trust • August 28th, 2019 • Two Roads Shared Trust • Delaware
AMENDED AGREEMENT AND DECLARATION OF TRUST made this 8th day of June 2012, as amended on October 15, 2012 and May 28, 2019, by the Trustees 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.
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • December 27th, 2022 • Two Roads Shared Trust
This INVESTMENT ADVISORY AGREEMENT (the “Agreement”) dated December 20, 2022, is made by and between Two Roads Shared Trust, a Delaware statutory trust (the “Trust”), and Hypatia Capital Management LLC (the “Adviser”). This Agreement will confirm the agreement between the Trust and Adviser as follows:
ETF FUND SERVICES AGREEMENTEtf Fund Services Agreement • October 26th, 2021 • Two Roads Shared Trust • New York
THIS ETF FUND SERVICES AGREEMENT (this “Agreement”) dated the 28th day of September, 2021 (the “Effective Date”), is entered into by and between the TWO ROADS SHARED TRUST, a Delaware statutory trust having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the "Trust") and ULTIMUS FUND SOLUTIONS, LLC, an Ohio limited liability company having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (“UFS”).
TWO ROADS SHARED TRUST OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT LJM FUNDS MANAGEMENT, LTD.Two Roads • February 28th, 2014 • Two Roads Shared Trust • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 28th day of February, 2014, by and between TWO ROADS SHARED TRUST, a Delaware statutory trust (the “Trust”), on behalf of LJM Preservation and Growth Fund (the “Fund”) a series of the Trust, and the Advisor of the Fund, LJM Funds Management, Ltd. (the “Advisor”).
INTERIM OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENTInterim Operating Expenses Limitation and Security Agreement • October 4th, 2016 • Two Roads Shared Trust • New York
THIS INTERIM OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of July 1, 2016, by and between TWO ROADS SHARED TRUST, a Delaware statutory trust (the “Trust”), on behalf of the WEST SHORE REAL RETURN FUND (the “Fund”), a series of the Trust, and the Adviser to the Fund, Satuit Capital Management, LLC (the “Adviser”).
INTERIM INVESTMENT ADVISORY AGREEMENTInterim Investment Advisory Agreement • October 4th, 2016 • Two Roads Shared Trust • Delaware
This INTERIM INVESTMENT ADVISORY AGREEMENT (the “Agreement”) made as of this 1st Day of July, 2016 by and between Two Roads Shared Trust, a Delaware statutory trust (the “Trust”), and Satuit Capital Management, LLC (the “Adviser”).
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • January 24th, 2018 • Two Roads Shared Trust • New York
This INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”), effective as of ____, 2017, is by and among AQR Capital Management, LLC (the “Sub-Adviser”), Two Roads Shared Trust (the “Trust”), on behalf of the Funds listed in Exhibit A, each a series of the Trust (each, a “Fund” and together, the “Funds”), and Symmetry Partners, LLC (the “Adviser”).
CUSTODY AGREEMENTCustody Agreement • February 27th, 2015 • Two Roads Shared Trust • Ohio
THIS CUSTODY AGREEMENT (“Agreement”), dated as of July 25, 2014, is entered into by and between THE HUNTINGTON NATIONAL BANK, a national bank organized under the laws of the United States (the “Custodian” or “Bank”), and TWO ROADS SHARED TRUST, a business trust formed under the laws of the State of Delaware (“Trust”).
AND SECURITY AGREEMENTAnd Security Agreement • May 9th, 2013 • Two Roads Shared Trust • New York
THIS AMENDED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 8th day of February, 2013, as amended on the 29th day of April, 2013, by and between TWO ROADS SHARED TRUST, a Delaware statutory trust (the “Trust”), on behalf of the Anfield Universal Fixed Income Fund (the “Fund”), a series of the Trust, the Adviser to the Fund, Belvedere Asset Management, LLC (“Belvedere”) and Anfield Capital Management, LLC (“Anfield,” and together with Belvedere, the “Advisers”).
BY-LAWSTwo Roads Shared Trust • September 25th, 2018
These By-Laws are made and adopted pursuant to Article IV, Section 3 of the Agreement and Declaration of Trust of Two Roads Shared Trust (the “Trust”), dated June 8, 2012, as from time to time may be amended (the “Agreement”). All words and terms capitalized in these By- Laws that are not otherwise defined herein shall have the meaning or meanings set forth for such words in the Agreement. In the event of any inconsistency between these By-Laws and the Agreement, the Agreement shall control.
INTERIM INVESTMENT SUB-ADVISORY AGREEMENTInterim Investment Sub-Advisory Agreement • April 15th, 2015 • Two Roads Shared Trust • Delaware
This INTERIM INVESTMENT SUB-ADVISORY AGREEMENT (“Agreement”) effective as of the 5th day of March, 2015, is by and among Crow Point Partners, LLC (the “Sub-Adviser”), Two Roads Shared Trust (the “Trust”), on behalf of the MODERN TECHNOLOGY FUND, a series of the Trust (the “Fund”), and ES Capital Advisors, LLC (the “Adviser”).
AMENDED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENTOperating Expenses Limitation and Security Agreement • September 25th, 2018 • Two Roads Shared Trust • New York
THIS AMENDED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 18th day of September, 2014, by and between TWO ROADS SHARED TRUST, a Delaware statutory trust (the “Trust”), on behalf of the REDWOOD MANAGED VOLATILITY PORTFOLIO (the “Portfolio”), a series of the Trust, and the Adviser to the Portfolio, Redwood Investment Management, LLC (“Redwood” or the “Adviser”).
SUBSCRIPTION AGREEMENT BETWEEN THE FUND AND THE INVESTORSubscription Agreement • October 26th, 2012 • Two Roads Shared Trust
The undersigned (the "Purchaser") hereby subscribes to purchase a beneficial interest ("Interest") in the Two Roads Shared Trust, in the amount of $100,000.00 for 10,000 shares of the Belvedere Alternative Income Fund 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.
Amended and Restated Investment Advisory AgreementTwo Roads Shared Trust • May 5th, 2020
