DISTRIBUTION AGREEMENTDistribution Agreement • January 24th, 2014 • Context Capital Funds • Delaware
THIS AGREEMENT is made and entered into as of this 15th day of January 2014, by and between Context Capital Funds, a Delaware Statutory Trust (the "Client") and Foreside Fund Services, LLC, a Delaware limited liability company (the "Distributor").
CONTEXT CAPITAL FUNDS TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • April 29th, 2016 • Context Capital Funds • Colorado
THIS AGREEMENT is made as of November 1, 2015, among Context Capital Funds Trust, organized as a Delaware statutory trust with its principal office and place of business at 325 John H. McConnell Blvd., Suite 150, Columbus, OH 43215 (the “Trust”), Beacon Hill Fund Services, Inc. (“Beacon Hill”), an Ohio corporation having its principal place of business at 325 John H. McConnell Boulevard, Suite 150, Columbus, Ohio 43215 and ALPS Fund Services, Inc., a Colorado corporation with its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS”).
FORESIDE FUND SERVICES, LLC DEALER AGREEMENTDealer Agreement • October 11th, 2016 • Context Capital Funds • Delaware
As the distributor of the shares (“Shares”) of each investment company portfolio (“Fund”), of the investment company or companies referenced above and covered hereunder (collectively, “Company”) which may be amended by us from time to time, Foreside Fund Services, LLC (“Distributor”) hereby invites you to participate in the selling group on the following terms and conditions. In this letter, the terms “we,” “us,” and similar words refer to the Distributor, and the terms “you,” “your,” and similar words refer to the dealer executing this agreement, including its associated persons.
AMENDED AND RESTATED CUSTODY AGREEMENT by and between CONTEXT CAPITAL FUNDS and THE BANK OF NEW YORK MELLONCustody Agreement • April 28th, 2017 • Context Capital Funds • New York
AMENDED AND RESTATED CUSTODY AGREEMENT, dated as of the latest date set forth on the signature page hereto, between Context Capital Funds, a statutory trust organized under the laws of the State of Delaware (the “Fund”) and THE BANK OF NEW YORK MELLON, a bank organized under the laws of the State of New York (the “Custodian”).
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • January 24th, 2014 • Context Capital Funds • Delaware
Agreement dated as of January 23, 2014, between Context Capital Advisers, LLC ("Context Capital"), a Delaware Limited Liability Company, and Kellner Private Fund Management, LP ("Sub-Adviser"), a Delaware Limited Partnership (the "Agreement").
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • April 28th, 2017 • Context Capital Funds • Delaware
AGREEMENT made as of this 30th day of September, 2016 by and between Context Capital Funds, a Delaware statutory trust (the “Trust”), and Context Advisers III, LLC, a Delaware limited liability company (the “Adviser”).
EXPENSE REIMBURSEMENT AGREEMENTExpense Reimbursement Agreement • April 28th, 2017 • Context Capital Funds
EXPENSE REIMBURSEMENT AGREEMENT (the “Agreement”), dated as of September 30, 2016, by and between Context Advisers III, LLC, a Delaware limited liability company (the “Adviser”) and Context Capital Funds, a Delaware statutory trust (the ‘‘Trust”).
CONTEXT CAPITAL FUNDS CONTEXT FUNDAMENTAL VALUE LONG/SHORT FUND INSURANCE AGREEMENT AMONG INSUREDS REQUIRED BY RULE 17g-1(f) February 18, 2015Insurance Agreement • June 8th, 2015 • Context Capital Funds
The Context Capital Funds and the Context Fundamental Value Long/Short Fund, each a Delaware statutory trust (the “Trusts”), are registered management investment companies, and are named as insureds in a joint fidelity bond issued by Continental Insurance Company. The fidelity bond issued by Continental Insurance Company provides coverage for larceny and embezzlement, among other things, in the principal amount of $400,000. Pursuant to Rule 17g-1(f) of the Investment Company Act of 1940, each of the undersigned hereby agrees that in the event recovery is received under this bond as a result of a loss sustained by a Trust with respect to a Portfolio or Fund, each Trust shall receive an equitable and proportionate share of the recovery, but at least equal to the amount each would have received had single insured bonds, with minimum coverage as required by Rule 17g-1(d)(1) under the Investment Company Act of 1940, been provided and maintained by each Trust. In addition, each of the unders
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • April 29th, 2016 • Context Capital Funds • Delaware
This Sub-Advisory Agreement (the “Agreement”) between Context Advisers II, L.P. (“Context Advisers”), a Delaware Limited Partnership, and First Principles Capital Management, LLC (“Sub- Adviser”), a Delaware Limited Liability Company. is executed as of September 3, 2015.
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • April 28th, 2017 • Context Capital Funds • Delaware
This Sub-Advisory Agreement (the “Agreement”) between Context Advisers III, LLC (“Context Advisers”), a Delaware limited liability company, and Granite Peak Asset Management, LLC (“Sub- Adviser”), a Delaware limited liability company, is dated as of September 30, 2016 and shall become effective as set forth in Section 10, below.
EXPENSE REIMBURSEMENT AGREEMENTExpense Reimbursement Agreement • December 22nd, 2014 • Context Capital Funds
EXPENSE REIMBURSEMENT AGREEMENT (the "Agreement"), dated as of December 19, 2014 by and between Context Advisers II, L.P., a Delaware limited partnership (the "Adviser") and Context Capital Funds, a Delaware statutory trust (the "Trust").
SERVICES AGREEMENTServices Agreement • January 24th, 2014 • Context Capital Funds • Delaware
AGREEMENT dated as of the 24th day of January, 2014, by and between Context Capital Funds, a Delaware statutory trust, with its principal office and place of business at Three Canal Plaza, Portland, Maine, 04101 (the "Trust"), and Atlantic Fund Administration, LLC, a Delaware limited liability company, with its principal office and place of business at Three Canal Plaza, Portland, Maine 04101 (together with its successors in interest, "Atlantic").
SERVICES AGREEMENT FOR TRUST AND REGULATORY GOVERNANCEServices Agreement • April 29th, 2016 • Context Capital Funds • Delaware
AGREEMENT effective as of the 1st day of November, 2015, between Context Capital Funds (the “Trust”), a Delaware business trust having its principal place of business at 325 John H. McConnell Boulevard, Suite 150, Columbus, Ohio 43215, on behalf of the series of the Trust listed on Schedule A, and Beacon Hill Fund Services, Inc. (“Beacon Hill”), an Ohio corporation having its principal place of business at 325 John H. McConnell Boulevard, Suite 150, Columbus, Ohio 43215.
LOAN ADMINISTRATION AGREEMENTLoan Administration Agreement • April 29th, 2016 • Context Capital Funds • New York
This LOAN ADMINISTRATION AGREEMENT (this “Agreement”) is made and entered into effective as of January 29, 2016, by and between The Bank of New York Mellon (“BNYM”), and Context Capital Funds (“Trust”), on behalf of its series listed on the signature page hereto and each additional series designated by the Trust’s President pursuant to a Joinder (as hereinafter defined) (each a “Fund” and, collectively, the “Funds”).
CONTEXT CAPITAL FUNDS Amendment No. 2 to Administration, Bookkeeping and Pricing Services AgreementAdministration, Bookkeeping and Pricing Services Agreement • April 28th, 2017 • Context Capital Funds
THIS AMENDMENT is made as of September 30, 2016, by and between ALPS Fund Services, Inc. (“ALPS”), Context Capital Funds (the “Trust”), and Foreside Management Services, LLC (“Foreside”).
CONTEXT CAPITAL FUNDS Amendment No. 1 to Transfer Agency and Services AgreementTransfer Agency and Services Agreement • April 28th, 2017 • Context Capital Funds
THIS AMENDMENT is made as of September 30, 2016, by and between ALPS Fund Services, Inc. (“ALPS”), Context Capital Funds (the “Trust”), and Foreside Management Services, LLC (“Foreside”).
AMENDED AND RESTATED CUSTODY AGREEMENT by and between CONTEXT CAPITAL FUNDS and THE BANK OF NEW YORK MELLONCustody Agreement • October 11th, 2016 • Context Capital Funds • New York
AMENDED AND RESTATED CUSTODY AGREEMENT, dated as of the latest date set forth on the signature page hereto, between Context Capital Funds, a statutory trust organized under the laws of the State of Delaware (the “Fund”) and THE BANK OF NEW YORK MELLON, a bank organized under the laws of the State of New York (the “Custodian”).
CONTEXT CAPITAL FUNDS Amendment No. 2 to Administration, Bookkeeping and Pricing Services AgreementAdministration, Bookkeeping and Pricing Services Agreement • October 11th, 2016 • Context Capital Funds
LATE CHARGES: All invoices are due and payable upon receipt. Any invoices not paid within thirty (30) days of the invoice date are subject to a one percent (1%) per month financing charge on any unpaid balance but only to the extent permitted by law.
FIRST AMENDMENT TO EXPENSE REIMBURSEMENT AGREEMENTExpense Reimbursement Agreement • April 29th, 2016 • Context Capital Funds
This First Amendment is made effective as of April 28, 2016 (the “Effective Time”), between Context Advisers II, L.P., a Delaware limited partnership (the “Adviser”), and Context Capital Funds, a Delaware statutory trust (the “Trust”). Capitalized terms used in this First Amendment, but not defined herein, will have the meaning ascribed to them in the Agreement (as defined below).
FIRST AMENDMENT TO EXPENSE REIMBURSEMENT AGREEMENTExpense Reimbursement Agreement • April 28th, 2017 • Context Capital Funds
This First Amendment is entered into as of April __, 2017 between Context Advisers III, LLC, a Delaware limited liability company (the “Adviser”), and Context Capital Funds, a Delaware statutory trust (the “Trust”). Capitalized terms used in this First Amendment, but not defined herein, will have the meaning ascribed to them in the Agreement (as defined below).
ALPS Fund Services, Inc. (“ALPS”) July 7, 2016Consent to Assignment of Administration, Bookkeeping and Pricing Services Agreement and Transfer Agency and Services Agreement • October 11th, 2016 • Context Capital Funds
July 7, 2016 Context Capital Funds (“Client”)Services Agreement • October 11th, 2016 • Context Capital Funds
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • December 22nd, 2014 • Context Capital Funds • Delaware
Agreement dated as of November 25, 2014 between Context Advisers II, L.P. ("Context Advisers"), a Delaware Limited Partnership, and First Principles Capital Management, LLC ("Sub-Adviser"), a Delaware Limited Liability Company (the "Agreement").
FIRST AMENDMENT TO SERVICES AGREEMENT FOR TRUST AND REGULATORY GOVERNANCEServices Agreement for Trust and Regulatory Governance • April 28th, 2017 • Context Capital Funds • Delaware
This first amendment (“Amendment”) to the Services Agreement for Trust and Regulatory Governance dated as of the 1st of November, 2015 (the “Agreement”), by and between Foreside Management Services, LLC (“Foreside”), and Context Capital Funds (“Funds”), is entered into as of October 13, 2016 (the “Effective Date”).
CONTEXT CAPITAL FUNDS Amendment No. 1 to Transfer Agency and Services AgreementTransfer Agency and Services Agreement • October 11th, 2016 • Context Capital Funds
THIS AMENDMENT is made as of September 30, 2016, by and between ALPS Fund Services, Inc. (“ALPS”), Context Capital Funds (the “Trust”), and Foreside Management Services, LLC (“Foreside”).
FIRST AMENDMENT TO INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • April 28th, 2017 • Context Capital Funds
This First Amendment is entered into as of April __, 2017 between Context Advisers III, LLC, a Delaware limited liability company (the “Adviser”), and Context Capital Funds, a Delaware statutory trust (the “Trust”). Capitalized terms used in this First Amendment, but not defined herein, will have the meaning ascribed to them in the Agreement (as defined below).
FIRST AMENDMENT TO INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • April 28th, 2017 • Context Capital Funds
This First Amendment is entered into as of October 24, 2016 between Context Advisers II, L.P., a Delaware limited partnership (the “Adviser”), and Context Capital Funds, a Delaware statutory trust (the “Trust”). Capitalized terms used in this First Amendment, but not defined herein, will have the meaning ascribed to them in the Agreement (as defined below).
GLOBAL CUSTODIAL SERVICES AGREEMENT CONTEXT CAPITAL FUNDSGlobal Custodial Services Agreement • January 24th, 2014 • Context Capital Funds • New York
THIS GLOBAL CUSTODIAL SERVICES AGREEMENT (the "Agreement") is made on - January 15, 2014, by and between Context Capital Fund s a Delaware corporate trust organized under the laws of Delaware, (the "Client")and each open-ended management investment company listed on Schedule A of the Agreement as amended from time to time (each, a "Fund" and all such investment companies collectively, the "Client" and Citibank, N.A. acting through its offices located in New York (the "Custodian").
TO DISTRIBUTION AGREEMENTDistribution Agreement • October 11th, 2016 • Context Capital Funds • Delaware
This Third Amendment (“Amendment”) to the Distribution Agreement (the “Agreement”) dated as of January 15, 2014 by and between Context Capital Funds, a Delaware Statutory Trust (the “Client”) and Foreside Fund Services, LLC, a Delaware limited liability company (“Distributor”) is entered into as of September 30, 2016 (the “Effective Date”).
FIRST AMENDMENT TO DISTRIBUTION AGREEMENTDistribution Agreement • December 22nd, 2014 • Context Capital Funds
This First Amendment ("Amendment") to the Distribution Agreement dated as of January 15, 2014 as amended from time to time (the "Agreement"), by and between Context Capital Funds (the "Client") and Foreside Funds Services, LLC, ("Distributor") is entered into as of December 22, 2014 (the "Effective Date").
CONTEXT CAPITAL FUNDS Amendment No. 1 to Administration, Bookkeeping and Pricing Services AgreementAdministration, Bookkeeping and Pricing Services Agreement • April 29th, 2016 • Context Capital Funds • Colorado
THIS AMENDMENT is made as of February 29, 2016, by and between ALPS Fund Services, Inc. (“ALPS”), Context Capital Funds Trust (the “Trust”), and Beacon Hill Fund Services, Inc. (“Beacon Hill”).
FIRST AMENDMENT TO INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • October 11th, 2016 • Context Capital Funds
This First Amendment is entered into as of ____________, 2016 between Context Advisers II, L.P., a Delaware limited partnership (the “Adviser”), and Context Capital Funds, a Delaware statutory trust (the “Trust”). Capitalized terms used in this First Amendment, but not defined herein, will have the meaning ascribed to them in the Agreement (as defined below).
CUSTODY AGREEMENT by and between CONTEXT MACRO OPPORTUNITIES FUND and THE BANK OF NEW YORK MELLONCustody Agreement • December 22nd, 2014 • Context Capital Funds • New York
CUSTODY AGREEMENT, dated as of the latest date set forth on the signature page hereto, between CONTEXT MACRO OPPORTUNITIES FUND, a of CONTEXT CAPITAL FUNDS, a statutory trust organized under the laws of Delaware (the "Fund") and THE BANK OF NEW YORK MELLON, a bank organized under the laws of the state of New York (the "Custodian").
THIRD AMENDMENT TO DISTRIBUTION AGREEMENTDistribution Agreement • April 28th, 2017 • Context Capital Funds • Delaware
This Third Amendment (“Amendment”) to the Distribution Agreement (the “Agreement”) dated as of January 15, 2014 by and between Context Capital Funds, a Delaware Statutory Trust (the “Client”) and Foreside Fund Services, LLC, a Delaware limited liability company (“Distributor”) is entered into as of September 30, 2016 (the “Effective Date”).
SECOND AMENDMENT TO DISTRIBUTION AGREEMENTDistribution Agreement • April 29th, 2016 • Context Capital Funds • Delaware
This Second Amendment (“Amendment”) to the Distribution Agreement (the “Agreement”) dated as of January 15, 2014 by and between Context Capital Funds, a Delaware Statutory Trust (the “Client) and Foreside Funds Services, LLC, a Delaware limited liability company (“Distributor”) is entered into as of May 18, 2015 (the “Effective Date”).
