MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • February 19th, 2020 • AltShares Trust • Massachusetts
This Agreement is made as of February 7, 2020 (this “Agreement”), 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”), acting in respect of each series of each such Fund identified on Appendix A and each series which becomes a party to this Agreement in accordance with the terms hereof; STATE STREET BANK AND TRUST COMPANY, a Massachusetts trust company (the “Custodian”).
ETF DISTRIBUTION AGREEMENTDistribution Agreement • February 19th, 2020 • AltShares Trust • Delaware
This Distribution Agreement (the “Agreement”) is made this 7th day of February 2020, by and between AltShares Trust, a Delaware statutory trust (the “Trust”) having its principal place of business at 41 Madison Avenue, New York NY 10010, and Foreside Financial Services, LLC, a Delaware limited liability company (the “Distributor”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101.
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • February 19th, 2020 • AltShares Trust • Massachusetts
THIS AGREEMENT is made as of the 7th day of February, 2020, 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 AltShares Trust, a Delaware statutory trust having its principal office and place of business at 41 Madison Ave, 42nd Floor, New York NY 10010 (the “Trust”) on behalf of each series listed on Schedule A, severally and not jointly.
AUTHORIZED PARTICIPANT AGREEMENT ALTSHARES TRUSTAuthorized Participant Agreement • February 19th, 2020 • AltShares Trust • New York
This Authorized Participant Agreement (the “Agreement”) is entered into by and between [ ] (the “Distributor”) and (the “Participant”) and is subject to acceptance by [ ] (the “Transfer Agent”), and is further subject to acknowledgement and agreement by AltShares Trust (the “Trust”), a series trust offering a number of portfolios of securities for which the Distributor is the distributor of such series (each a “Fund” and collectively the “Funds”), solely with respect to Sections 4(c) and 12(c) herein. Capitalized terms used but not defined herein are defined in the current prospectus for each Fund as it may be supplemented or amended from time to time, and included in the Trust’s Registration Statement on Form N-1A, as it may be amended from time to time, or otherwise filed with the U.S. Securities and Exchange Commission (“SEC”) (together with such Fund’s Statement of Additional Information incorporated therein, the “Prospectus”).
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • September 28th, 2023 • AltShares Trust
THIS AGREEMENT, dated as of April 20, 2023, between the MainStay VP Funds Trust (“MainStay VP Trust”), Acquiring Fund (the “Acquiring Fund”), and the Acquired Fund (the “Acquired Fund” and together with the Acquiring Fund, the “Funds”), listed on Schedule A.
SUBLICENSE AGREEMENTSublicense Agreement • February 19th, 2020 • AltShares Trust • Delaware
This Sublicense Agreement (the “Agreement”) is made as of February 7th 2020, by and between Water Island Capital, LLC (“Adviser”) and AltShares Trust, a statutory trust established under the laws of the State of Delaware (“Trust”).
ADMINISTRATION AGREEMENTAdministration Agreement • February 19th, 2020 • AltShares Trust • Massachusetts
This Administration Agreement (“Agreement”) dated and effective as of February 7, 2020, is by and between State Street Bank and Trust Company, a Massachusetts trust company (“State Street” or the “Administrator”) and AltShares Trust, a Delaware statutory trust (the “Trust”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • February 19th, 2020 • AltShares Trust • New York
This Agreement made as of February 7, 2020, between ALTSHARES TRUST, a Delaware statutory trust (“Trust”), and WATER ISLAND CAPITAL, LLC (“Adviser”), a registered investment adviser under the Investment Advisers Act of 1940, as amended (“Advisers Act”).
ETF Distribution AgreementEtf Distribution Agreement • October 3rd, 2022 • AltShares Trust
THIS ETF DISTRIBUTION AGREEMENT (“Agreement”), effective as of the closing of the Transaction (as defined below) (the “Closing Date”), is by and between Foreside Financial Services, LLC (the “Distributor”) and AltShares Trust (“Fund Company”).
AGREEMENT AND PLAN OF REORGANIZATIONAgreement and Plan of Reorganization • September 21st, 2021 • AltShares Trust • Delaware
This Agreement is intended to be and is adopted as a “plan of reorganization” within the meaning of Section 368(a)(1) of the United Internal Revenue Code of 1986, as amended (the “Code”), and section 1.368-2(g) of the Treasury regulations promulgated under the Code (the “Treasury Regulations”). The reorganization will consist of (a) the transfer of all of the assets of the Target Fund to the Acquiring ETF in exchange for shares of beneficial interest, no par value per share, of the Acquiring ETF (“Acquiring ETF Shares”), cash in lieu of fractional Acquiring ETF Shares, if any, and the assumption by the Acquiring ETF of the liabilities of the Target Fund as described herein, and (b) the distribution, after the Closing Date hereinafter referred to, of the Acquiring ETF Shares and cash in lieu of fractional Acquiring ETF Shares, if any, to the shareholders of the Target Fund in liquidation of the Target Fund as provided herein, all upon the terms and conditions hereinafter set forth in th
