SCHEDULE A TO THE EXPENSE LIMITATION AGREEMENT EFFECTIVE AS OF NOVEMBER 29, 2010 BETWEEN THE ADVISORS' INNER CIRCLE FUND II AND CHAMPLAIN INVESTMENT PARTNERS, LLC MAXIMUM ANNUAL OPERATING EXPENSE LIMITS This Agreement relates to the following Funds of...Expense Limitation Agreement • September 8th, 2015 • Advisors' Inner Circle Fund II
NAME OF FUND MAXIMUM ANNUAL OPERATING EXPENSE LIMIT -------------------------------------------------------------------------------- ADVISOR SHARES Champlain Small Company Fund 1.40% Champlain Mid Cap Fund 1.30% Champlain All Cap Fund 1.15% Champlain Emerging Markets Fund 1.86%
SCHEDULE A TO THE INVESTMENT ADVISORY AGREEMENT DATED OCTOBER 24, 2008 BETWEEN THE ADVISORS' INNER CIRCLE FUND II AND CHAMPLAIN INVESTMENT PARTNERS, LLC The Trust will pay to the Adviser as compensation for the Adviser's services rendered, a fee,...Investment Advisory Agreement • September 8th, 2015 • Advisors' Inner Circle Fund II
The Trust will pay to the Adviser as compensation for the Adviser's services rendered, a fee, computed daily at an annual rate based on the average daily net assets of the respective Fund in accordance with the following fee schedule:
CUSTODY AGREEMENTCustody Agreement • September 29th, 2017 • ALPS Series Trust • Minnesota
THIS AGREEMENT is made and entered into as of this 26 day of September, 2017, by and between ALPS 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”).
AMENDMENT TO THE CUSTODIAN AGREEMENT BETWEEN THE ADVISORS' INNER CIRCLE FUND II AND BROWN BROTHERS HARRIMAN & CO. DATED NOVEMBER 25, 2014 THIS AMENDMENT to the custodian agreement between Advisors' Inner Circle Fund II (the "Trust"), acting on behalf...Custodian Agreement • September 8th, 2015 • Advisors' Inner Circle Fund II
CUSTODY AGREEMENT Dated March 15, 2021 Between UMB BANK, N.A. and ALPS SERIES TRUST CUSTODY AGREEMENTCustody Agreement • January 28th, 2022 • ALPS Series Trust
This agreement made as of the date first set forth above between UMB Bank, n.a., a national banking association with its principal place of business located in Kansas City, Missouri (hereinafter "Custodian"), and severally and not jointly, each of the Funds listed on Appendix B hereof, together with such additional Funds which shall be made parties to this Agreement by the execution of Appendix B hereto (individually, a "Fund" and collectively, the "Funds").
Master Custodian AgreementMaster Custodian Agreement • September 11th, 2018 • ALPS Series Trust • Massachusetts
This Agreement is made as of September 7, 2018 (this “Agreement”) and effective September 10, 2018, between each management investment company identified on Appendix A and each management investment company which becomes a party to this Agreement in accordance with the terms hereof (in each case, a “Fund”), including, if applicable, each series of the Fund identified on Appendix A and each series which becomes a party to this Agreement in accordance with the terms hereof, and State Street Bank and Trust Company, a Massachusetts trust company (the “Custodian”).
ALPS SERIES TRUST GKE ASIAN OPPORTUNITIES FUND INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • July 31st, 2013 • ALPS Series Trust • Colorado
This Investment Advisory Agreement (the “Agreement”) is made and entered into as of this 2nd day of July, 2013, by and between Evergreen Capital Management, LLC (the “Adviser”), a Washington limited liability company, and ALPS Series Trust, a Delaware statutory trust (the “Trust”), regarding the series listed in Appendix A (the “Fund”).
ALPS SERIES TRUST AMERICAN INDEPENDENCE FUNDS CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • September 25th, 2018 • ALPS Series Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of September 24, 2018 (the “Effective Date”) by and between ALPS Series Trust (the “Trust”), a Delaware statutory trust, on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
DISTRIBUTION AGREEMENTDistribution Agreement • May 24th, 2018 • ALPS Series Trust • Colorado
THIS AGREEMENT is made as of April 16, 2018, between ALPS Series Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • September 25th, 2018 • ALPS Series Trust • Colorado
THIS AGREEMENT is made as of September 24, 2018, between ALPS Series Trust (the “Trust”), a Delaware statutory trust under the laws of the state of Delaware, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
ALPS SERIES TRUST GKE ASIAN OPPORTUNITIES FUND PRINCIPAL FINANCIAL OFFICER SERVICES AGREEMENTPrincipal Financial Officer Services Agreement • July 31st, 2013 • ALPS Series Trust • Colorado
This Principal Financial Officer Services Agreement (this “Agreement”) is effective as of July 30, 2013 (the “Effective Date”) by and between ALPS Series Trust (the “Trust”), a Delaware statutory trust with its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado, 80203, on behalf of its series listed in Appendix A hereto (the “Fund”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation with its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado, 80203.
BROKER-DEALER SELLING AGREEMENTBroker-Dealer Selling Agreement • February 11th, 2021 • ALPS 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 1000, Denver, Colorado 80203, and ___________________________________, a _________________________ having its principal place of business at ________________________________________________________ (hereinafter “Broker-Dealer”).
ALPS SERIES TRUST CLARKSTON PARTNERS FUND CLARKSTON FUND ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENTAdministration, Bookkeeping and Pricing Services Agreement • September 8th, 2015 • ALPS Series Trust • Colorado
THIS AGREEMENT is made as of September 8, 2015, between ALPS Series Trust, organized as a Delaware statutory trust (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
SHAREHOLDER SERVICING AGREEMENTShareholder Servicing Agreement • September 24th, 2013 • ALPS Series Trust • Colorado
THIS SHAREHOLDER SERVICING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), 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 “Servicer”).
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • July 31st, 2013 • ALPS Series Trust • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), 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 (hereinafter “Broker/Dealer”).
ALPS SERIES TRUST CLARKSTON CAPITAL PARTNERS, LLC INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • January 28th, 2020 • ALPS Series Trust • Colorado
This Agreement is made and entered into effective as of February 13, 2019, by and between the ALPS Series Trust (the “Trust”), a Delaware statutory trust, on behalf of the funds listed in APPENDIX A hereto, each a series of shares of the Trust (collectively, the “Funds” and individually, a “Fund”), and Clarkston Capital Partners, LLC, a Michigan limited liability company (the “Adviser”).
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • September 25th, 2018 • ALPS Series Trust • Colorado
This Investment Sub-Advisory Agreement made as of the 24th day of September, 2018, by and among ALPS Series Trust, a Delaware statutory trust, located at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (the “Trust”), Carret Asset Management, LLC, , a Delaware limited liability company, located at 320 Park Avenue, 18th Floor, New York, New York 10022, (the “Sub-Adviser”), and Manifold Partners, LLC a Delaware limited liability company located at 75 Virginia Road, Box 14, North White Plains, New York 10603 (the “Adviser”).
Fund/SERV AgreementFund/Serv Agreement • September 24th, 2013 • ALPS Series Trust • Colorado
AGREEMENT entered into this day of , 201 , by and between ALPS Distributors, Inc., with its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS”), and with its principal place of business in (“Trust Entity”).
DATE]Agreement and Plan of Reorganization • September 8th, 2015 • Advisors' Inner Circle Fund II
ContractGlobal Custody Agreement • January 28th, 2020 • ALPS Series Trust • New York
This Amended and Restated Global Custody Agreement (“Amended and Restated Agreement”) is made as of, January 23, 2020 by and between ALPS Series Trust ("Principal") and MUFG Union Bank, N.A. ("Custodian"), and hereby supersedes that certain Custody Agreement dated as of November 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. This Amended and Restated Agreement shall be effective as of January 23, 2020.
Trust NETWORKING AgreementTrust Networking Agreement • February 11th, 2021 • ALPS Series Trust • Colorado
AGREEMENT entered into this _____ day of _____________, 20__, by and between ALPS Distributors, Inc., with its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203 (“ALPS” or “Fund Agent”) and with its principal place of business in (“Trust Entity”).
NETWORKING AgreementNetworking Agreement • September 24th, 2013 • ALPS Series Trust • Colorado
WHEREAS, this Agreement is being executed by either (a) the transfer agent, shareholder servicing agent and/or other agent (“Fund Agent”) for certain investment companies (“Funds”), or (b) an entity that engages in the purchase and sale of shares of the Funds on behalf of its clients (“Firm”);
Fund/SERV AgreementFund/Serv Agreement • February 11th, 2021 • ALPS Series Trust • Colorado
AGREEMENT entered into this _____ day of _____________, 20__, by and between ALPS Distributors, Inc., with its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203 (“ALPS”) and with its principal place of business in (“Trust Entity”).
Exhibit (h)(7) EXECUTION COPY (12/18/12)u.s. Prime Brokerage Agreement • December 19th, 2012 • ALPS Series Trust • New York
This agreement (including all terms, schedules, supplements and exhibits attached hereto, this “U.S. PB Agreement”) is entered into between Customer specified below (“Customer”) and BNP PARIBAS PRIME BROKERAGE, INC. (“BNPP PB”), on behalf of itself and as agent for the BNPP Entities (as defined in the Account Agreement attached as Exhibit A hereto). This U.S. PB Agreement sets forth the terms and conditions on which BNPP PB will open and maintain Accounts (as defined in the Account Agreement) for margin, execution, settlement and other products or services and otherwise transact business with Customer. All capitalized terms used but not defined herein shall have the meaning set forth in the Account Agreement.
SUPPLEMENT TO TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • January 28th, 2019 • ALPS Series Trust
This Supplement dated as of February 1, 2018 (this “Supplement”) is to the Transfer Agency and Services Agreement dated December 9, 2013, as amended (the “Agreement”), by and between ALPS Fund Services, Inc. and ALPS Series Trust (the “Trust”).
ALPS SERIES TRUST DDJ OPPORTUNISTIC HIGH YIELD FUND INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • July 15th, 2015 • ALPS Series Trust • Colorado
This Agreement is made and entered into effective as of July 15, 2015, by and between the ALPS Series Trust, a Delaware statutory trust (the “Trust”) on behalf of the DDJ Opportunistic High Yield Fund, a series of shares of the Trust (the “Fund”), and DDJ Capital Management, LLC, a Massachusetts limited liability company (the “Adviser”).
SHAREHOLDER SERVICING SELLING AGREEMENTShareholder Servicing Selling Agreement • February 11th, 2021 • ALPS Series Trust • Colorado
THIS SHAREHOLDER SERVICING 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 1000, Denver, Colorado 80203, and ___________________________________, a _________________________ having its principal place of business at ________________________________________________________ (hereinafter “Servicer”).
PRICING SERVICES AGREEMENTAdministration, Bookkeeping and Pricing Services Agreement • September 25th, 2018 • ALPS Series Trust • Colorado
THIS AGREEMENT is made as of September 24, 2018, between ALPS Series Trust, organized as a Delaware statutory trust (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
BEACON FUNDS AMENDMENT NO. 1Transfer Agency and Services Agreement • January 28th, 2022 • ALPS Series Trust
Except as amended hereby, all terms of the Existing Agreement remain in full force and effect. This Amendment includes the amendments in Schedule A and general terms in Schedule B hereto.
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • March 8th, 2023 • ALPS Series Trust • Delaware
This Agreement is made as of March 8, 2023 and is effective upon commencement of operations of the first Fund, by and between the ALPS Series Trust (“Trust”), a Delaware statutory trust, on behalf of each series included on Exhibit A hereto, each a separate series of shares of the Trust (each, a “Fund”), and Brigade Capital Management, LP, a Delaware limited partnership (“Adviser”).
ALPS SERIES TRUST INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • December 19th, 2013 • ALPS Series Trust • Colorado
This Investment Advisory Agreement (this “Agreement”) is made and entered into as of this 9th day of December, 2013, by and between Meritage Capital, LLC (the “Adviser”), a Delaware limited liability company, and ALPS Series Trust, a Delaware statutory trust (the “Trust”), regarding the Fund listed in Appendix A attached hereto (the “Fund”).
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • September 24th, 2013 • ALPS Series Trust • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), 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 (hereinafter “Broker/Dealer”).
AMENDMENT 5Distribution Agreement • March 8th, 2023 • ALPS Series Trust
This amendment (the “Amendment”) between the parties signing below (each, a “Party” and collectively, the “Parties”) amends the Existing Agreement as of December 20, 2022 (the “Effective Date”):
SPECIAL CUSTODY ACCOUNT AGREEMENTSpecial Custody Account Agreement • September 29th, 2017 • ALPS Series Trust • New York
THIS AGREEMENT, dated as of September 27, 2017 is by and among U.S. Bank, N.A., in its capacity as custodian hereunder ("Custodian"), ALPS Series Trust – Beacon Accelerated Return Strategy Fund (“Customer”), Beacon Investment Advisory Services, Inc., as investment advisor to Customer ("IA"), and Jefferies LLC ("Broker").
DDJ CAPITAL MANAGEMENT, LLCExpense Limitation Agreement • January 28th, 2021 • ALPS Series Trust
This letter (the “Agreement”) confirms the agreement of DDJ Capital Management, LLC (the “Adviser”) with the Trust to contractually limit the total amount of the “Management Fees” that it is entitled to receive from the Fund and to reimburse “Other Expenses” to the extent required below.
