ELEVATION ETF TRUST INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • February 28th, 2017 • Elevation ETF Trust • Colorado
This Investment Advisory Agreement (the “Agreement”) is made and entered into as of this 30th day of March, 2016, by and between ALPS Advisors, Inc., a Colorado corporation (the “Adviser”), and Elevation ETF Trust, a Delaware statutory trust (the “Trust”), regarding the Fund(s) listed in Schedule A (the “Fund(s)”).
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • March 23rd, 2016 • Elevation ETF Trust • Massachusetts
THIS AGREEMENT is made as of March 2, 2016, by and between STATE STREET BANK AND TRUST COMPANY, Massachusetts trust company having its principal office and place of business at One Lincoln Street, Boston, Massachusetts 02111 (“State Street” or the “Transfer Agent”), and ELEVATION ETF TRUST, a Delaware statutory trust having its principal office and place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (the “Trust”). This Agreement shall be effective with respect to each Portfolio identified on Schedule A hereto as of the effective date identified on such Schedule A.
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • February 28th, 2017 • Elevation ETF Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of March 30; 2016 (the “Effective Date”) by and between Elevation ETF Trust (the “Trust”) and each Fund offered by the Trust (each a “Fund” and collectively the “Funds”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
AMENDED AND RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • October 4th, 2016 • Cambria ETF Trust • Pennsylvania
THIS AMENDED AND RESTATED ADMINISTRATION AGREEMENT (this “Agreement”) is made as of the 15th day of November, 2012 (the “Effective Date”), by and between Cambria ETF Trust (the “Trust”) Cambria Investment Management, L.P. (the “Adviser”), solely in respect of the rights and obligations set forth in Section 8 of this Agreement, and SEI Investments Global Funds Services, a statutory trust formed under the laws of the State of Delaware (the “Administrator”).
ELEVATION ETF TRUST PARTICIPANT AGREEMENTParticipant Agreement • March 31st, 2016 • Elevation ETF Trust • Colorado
This Participant Agreement (the “Agreement”) is entered into by and among ALPS Distributors, Inc. (the “Distributor”) and ________________ [Participant’s Name and NSCC#] (the “Participant”) and is subject to acceptance by State Street Bank and Trust Company, as transfer agent (the “Transfer Agent”). Elevation ETF Trust (the “Trust”) is an open-end management investment company organized as a Delaware statutory trust consisting of separate investment portfolios (each, a “Fund” and collectively, the “Funds”) as set forth in Attachment A hereto. The Distributor has been retained as principal underwriter of the Trust and provides certain services in connection with the sale and distribution of shares of beneficial interest of the Funds (the “Shares”). The Transfer Agent has been retained to provide certain transfer agency services with respect to the purchase and redemption of Shares.
AMENDMENT NO. 1 TO AMENDED & RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • October 4th, 2016 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 1 TO AMENDED & RESTATED ADMINISTRATION AGREEMENT (this “Amendment”), made this 1st day of June, 2014, with effect retroactively from and after the 10th day of December 2013 (the “Amendment Effective Date”), between Cambria ETF Trust (the “Trust”), and SEI Investments Global Funds Services, a statutory trust formed under the laws of the State of Delaware (“Administrator”).
MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • March 23rd, 2016 • Elevation ETF Trust • Massachusetts
This Agreement is made as of ________, 2016 between each management investment company identified on Appendix A hereto (each such investment company and each management investment company made subject to this Agreement in accordance with Section 19.5 below, shall hereinafter be referred to as a “Fund”), and STATE STREET BANK AND TRUST COMPANY, a Massachusetts trust company (the “Custodian”).
ELEVATION ETF TRUST FUND ACCOUNTING AND SERVICES AGREEMENTElevation Etf Trust Fund Accounting and Services Agreement • February 28th, 2017 • Elevation ETF Trust • Colorado
THIS AGREEMENT is made between Elevation ETF Trust, a Delaware statutory trust (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”). This Agreement shall be effective with respect to each management investment company identified on Appendix A hereto as of the effective date identified on such Appendix A.
ELEVATION ETF TRUST ADMINISTRATION AGREEMENTElevation Etf Trust Administration Agreement • February 28th, 2017 • Elevation ETF Trust • Colorado
This Administration Agreement (the “Agreement”) is made as of the 30 day of March, 2016, among Elevation ETF Trust, a trust established under the laws of the State of Delaware (the “Fund”) and ALPS Fund Services, Inc., a Colorado corporation having its principal office at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS”). The Fund and ALPS agree as follows:
DISTRIBUTION AGREEMENTDistribution Agreement • March 23rd, 2016 • Elevation ETF Trust • Colorado
THIS AGREEMENT is made as of March 15, 2016, between Elevation ETF Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
AMENDMENT NO. 4 TO AMENDED & RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • October 4th, 2016 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 4 TO AMENDED & RESTATED ADMINISTRATION AGREEMENT (this “Amendment”), made this 19th day of July, 2016, with effect retroactively from and after April 1, 2016 (the “Amendment Effective Date”), between Cambria ETF Trust (the “Trust”), and SEI Investments Global Funds Services, a statutory trust formed under the laws of the State of Delaware (“Administrator”).
AMENDMENT NO. 2 TO DISTRIBUTION AGREEMENTDistribution Agreement • October 4th, 2016 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 2 to the Distribution Agreement (this “Amendment”), made this 16th day of September, 2014 (the “Amendment Effective Date”), by and among Cambria ETF Trust (the “Company”), a Delaware statutory trust, and SEI Investments Distribution Co. (the “Distributor”), a Pennsylvania corporation.
AMENDMENT NO. 3 TO DISTRIBUTION AGREEMENTDistribution Agreement • October 4th, 2016 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 3 to the Distribution Agreement (this “Amendment”), made this 8th day of March, 2016 (the “Amendment Effective Date”), by and among Cambria ETF Trust (the “Company”), a Delaware statutory trust, and SEI Investments Distribution Co. (the “Distributor”), a Pennsylvania corporation.
AMENDMENT NO. 5 TO AMENDED & RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • October 4th, 2016 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 5 TO AMENDED & RESTATED ADMINISTRATION AGREEMENT (this “Amendment”), made this 16th day of September 2016, (the “Amendment Effective Date”), between Cambria ETF Trust (the “Trust”), and SEI Investments Global Funds Services, a statutory trust formed under the laws of the State of Delaware (“Administrator”).
AMENDMENT NO. 3 TO AMENDED & RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • October 4th, 2016 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 3 TO AMENDED & RESTATED ADMINISTRATION AGREEMENT (this “Amendment”), made this 8th day of March 2016, (the “Amendment Effective Date”), between Cambria ETF Trust (the “Trust”), and SEI Investments Global Funds Services, a statutory trust formed under the laws of the State of Delaware (“Administrator”).
AMENDMENT NO. 4 TO DISTRIBUTION AGREEMENTDistribution Agreement • October 4th, 2016 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 4 to the Distribution Agreement (this “Amendment”), made this 16th day of September, 2016 (the “Amendment Effective Date”), by and among Cambria ETF Trust (the “Company”), a Delaware statutory trust, and SEI Investments Distribution Co. (the “Distributor”), a Pennsylvania corporation.
Board of Trustees C/O Elevation ETF Trust ALPS Advisors, Inc Suite 1100 Denver, Colorado 80203 Board of Trustees Cambria ETF Trust Suite 3225 El Segundo, CA 90245Cambria ETF Trust • October 4th, 2016
Re: Agreement and Plan of Reorganization, dated as of [•], 2016 (the “Agreement”), between and among Elevation ETF Trust, a Delaware statutory trust (“Elevation Trust”), on behalf of its series, Dhandho Junoon ETF (the “Target Fund”), and Cambria ETF Trust, a Delaware statutory trust (“Cambria Trust”), on behalf of its series, Dhandho Junoon ETF (the “Acquiring Fund”), and solely for the purposes of Section 9.1 of the Agreement, Dhandho Funds LLC (“Dhandho”).
SUB-SUBLICENSE AGREEMENTSub-Sublicense Agreement • March 23rd, 2016 • Elevation ETF Trust • Colorado
This Sub-Sublicense Agreement (“AGREEMENT”) is entered into as of by and between ALPS Advisors, Inc., a Colorado corporation (“AAI”), and Elevation ETF Trust (“LICENSEE”).
SHARE PURCHASE AGREEMENT ELEVATION ETF TRUSTShare Purchase Agreement • March 29th, 2016 • Elevation ETF Trust
This Agreement is made effective as of the __day of ____, 2016 between ALPS Fund Services, Inc., a Colorado corporation (“AFS”), and Elevation ETF Trust, a Delaware statutory trust (the “Trust”), on behalf of the funds listed in Appendix A (collectively the “Funds”).
DISTRIBUTION AGREEMENT Schedule ADistribution Agreement • October 4th, 2016 • Cambria ETF Trust
INVESTMENT ADVISORY AGREEMENT - APPENDIX AInvestment Advisory Agreement • October 4th, 2016 • Cambria ETF Trust
