ADDENDUM TO GENERAL DISTRIBUTION AGREEMENT DATED NOVEMBER 2, 1998 BETWEEN ALPS MUTUAL FUNDS SERVICES, INC. AND STONEBRIDGE FUNDS TRUSTDistribution Agreement • February 28th, 2002 • Stonebridge Funds Trust
BETWEENTransfer Agency and Service Agreement • February 28th, 2002 • Stonebridge Funds Trust • Massachusetts
CUSTODY AGREEMENTCustody Agreement • November 2nd, 1998 • Stonebridge Aggressive Growth Fund Inc • Ohio
INVESTMENT ADVISORY AGREEMENT THIS INVESTMENT ADVISORY AGREEMENT is made as of ___________, 1998 between STONEBRIDGE FUNDS TRUST a Delaware business trust (the "Trust"), on behalf of the Stonebridge Aggressive Growth Fund series of the Trust (the...Investment Advisory Agreement • August 18th, 1998 • Stonebridge Aggressive Growth Fund Inc • Delaware
INVESTMENT ADVISORY AGREEMENT THIS INVESTMENT ADVISORY AGREEMENT is made as of ___________, 1998 between STONEBRIDGE FUNDS TRUST a Delaware business trust (the "Trust"), on behalf of the Stonebridge Growth Fund series of the Trust (the "Fund") and...Investment Advisory Agreement • August 18th, 1998 • Stonebridge Aggressive Growth Fund Inc • Delaware
EXHIBIT 99(d)(3)Fee Waiver Agreement • February 27th, 2004 • Stonebridge Funds Trust
By our execution of this letter agreement (the "Agreement"), Stonebridge Capital Management ("Stonebridge Capital"), to improve the performance of the Trust's portfolios, hereby waives a portion of the advisory fees it is entitled to receive pursuant to Section 6 of the Investment Advisory Agreements, both dated as of November 2, 1998 between the Trust and Stonebridge Capital, on behalf of the Aggressive Growth and Growth Funds, as follows for the fiscal year ending October 31, 2004:
FINANCIAL INVESTORS TRUST INVESTMENT ADVISORY AGREEMENT STONEBRIDGE SMALL-CAP GROWTH FUNDInvestment Advisory Agreement • November 19th, 2012 • Financial Investors Trust • California
This Investment Advisory Agreement (the “Agreement”) is made and entered into as of this day of , 2012, by and between Stonebridge Capital Management, Incorporated, a California corporation (the “Adviser”), and Financial Investors Trust, a Delaware statutory trust (the “Trust”), regarding the Fund(s) listed in Appendix A (the “Fund” or the “Funds”)).
September 26, 2002 Mr. Richard C. Barrett, Chairman Stonebridge Funds Trust 1801 Century Park East, Suite 1800 Los Angeles, California 90067 Re: Stonebridge Funds Trust (the "Trust") ------------------------------------- Dear Mr. Barrett: By our...Advisory Fee Waiver Agreement • February 28th, 2003 • Stonebridge Funds Trust
By our execution of this letter agreement (the "Agreement"), Stonebridge Capital Management ("Stonebridge Capital"), to improve the performance of the Trust's portfolios, hereby waives a portion of the advisory fees it is entitled to receive pursuant to Section 6 of the Investment Advisory Agreements, both dated as of November 2, 1998 between the Trust and Stonebridge Capital, on behalf of the Aggressive Growth and Growth Funds, as follows for the fiscal year ending October 31, 2003:
FINANCIAL INVESTORS TRUST STONEBRIDGE SMALL-CAP GROWTH FUND FORM OF CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • December 19th, 2012 • Financial Investors Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of , 2013 (the “Effective Date”) by and between FINANCIAL INVESTORS TRUST, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit 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.
FINANCIAL INVESTORS TRUST STONEBRIDGE SMALL-CAP GROWTH FUND FORM OF DISTRIBUTION AGREEMENTDistribution Agreement • November 19th, 2012 • Financial Investors Trust • Colorado
THIS AGREEMENT is made as of , 2013, between Financial Investors Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
FINANCIAL INVESTORS TRUST STONEBRIDGE SMALL CAP GROWTH FUND FORM OF TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • December 19th, 2012 • Financial Investors Trust • Colorado
THIS AGREEMENT is made as of , 2013, between Financial Investors Trust, organized as a statutory trust under the laws of the State of Delaware (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
SUB-TRANSFER AGENCY AND SERVICE AGREEMENT BETWEEN ALPS MUTUAL FUNDS SERVICES, INC. AND STATE STREET BANK AND TRUST COMPANY TABLE OF CONTENTSSub-Transfer Agency and Service Agreement • November 2nd, 1998 • Stonebridge Aggressive Growth Fund Inc • Massachusetts
FUND ACCOUNTING AND SERVICES AGREEMENT BetweenFund Accounting and Services Agreement • February 28th, 2000 • Stonebridge Funds Trust • Delaware
FINANCIAL INVESTORS TRUST STONEBRIDGE SMALL-CAP GROWTH FUND FORM OF PRINCIPAL FINANCIAL OFFICER SERVICES AGREEMENTPrincipal Financial Officer Services Agreement • December 19th, 2012 • Financial Investors Trust • Colorado
This Principal Financial Officer Services Agreement (this “Agreement”) is effective as of , 2013 (the “Effective Date”) by and between FINANCIAL INVESTORS 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.
FINANCIAL INVESTORS TRUST STONEBRIDGE SMALL-CAP GROWTH FUND FORM OF ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENTAdministration, Bookkeeping and Pricing Services Agreement • December 19th, 2012 • Financial Investors Trust • Colorado
THIS AGREEMENT is made as of , 2013, among Financial Investors Trust, organized as a Delaware statutory trust (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
FORM OF AGREEMENT AND PLAN OF REORGANIZATIONAgreement and Plan of Reorganization • November 19th, 2012 • Financial Investors Trust • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION (the “Agreement”) is made as of this day of , 201 by Financial Investors Trust, a Delaware statutory trust (the “Acquiring Trust”), on behalf of the Stonebridge Small-Cap Growth Fund (the “Acquiring Fund”); Stonebridge Funds Trust, a Delaware statutory trust (the “Selling Trust”), on behalf of the Stonebridge Institutional Small-Cap Growth Fund (the “Selling Fund”) (the Acquiring Fund and Selling Fund referred to herein as a “Fund” and collectively, the “Funds”); and Stonebridge Capital Management, Inc., a California corporation (“SCM”), the investment adviser to the Acquiring Fund and the Selling Fund (for purposes of Sections 5.7, 5.12, 8.7, 11.1 and 13.1 of the Agreement only). The principal place of business of the Acquiring Trust is 1290 Broadway, Suite 1100, Denver, Colorado 80203; the principal place of business of the Selling Trust is 1290 Broadway, Suite 1100, Denver, Colorado 80203; and the principal place of business of SCM is 1801 C
ADMINISTRATION AGREEMENTAdministration Agreement • August 18th, 1998 • Stonebridge Aggressive Growth Fund Inc • Colorado
TRANSFER AGENCY AND SERVICE AGREEMENT BETWEEN STONEBRIDGE AGGRESSIVE GROWTH FUND, INC. AND ALPS MUTUAL FUNDS SERVICES, INC.Transfer Agency and Service Agreement • December 31st, 1997 • Stonebridge Aggressive Growth Fund Inc • Colorado
TRANSFER AGENCY AND SERVICE AGREEMENT BETWEEN STONEBRIDGE FUNDS TRUST AND ALPS MUTUAL FUNDS SERVICES, INC. TABLE OF CONTENTSTransfer Agency and Service Agreement • August 18th, 1998 • Stonebridge Aggressive Growth Fund Inc • Colorado
September 26, 2002 Mr. Richard C. Barrett, Chairman Stonebridge Funds Trust 1801 Century Park East, Suite 1800 Los Angeles, California 90067 Re: Stonebridge Funds Trust (the "Trust") ------------------------------------- Dear Mr. Barrett: By our...Administration Fee Reduction Agreement • February 28th, 2003 • Stonebridge Funds Trust
By our execution of this letter agreement (the "Agreement"), ALPS Mutual Funds Services, Inc. ("ALPS"), to improve the performance of the Trust's portfolios, hereby agrees to temporarily reduce the minimum administration fees it is entitled to receive pursuant to Section 2 of the Administration Agreement dated as of November 2, 1998 between the Trust and ALPS, as follows for the fiscal year ending October 31, 2003:
September 11, 2007 Mr. Richard C. Barrett, Chairman Stonebridge Funds Trust 1801 Century Park East, Suite 1800 Los Angeles, California 90067 Re: Stonebridge Funds Trust (The “Trust”) Dear Mr. Barrett:Administration Fee Reduction Agreement • February 27th, 2009 • Stonebridge Funds Trust
By our execution of this letter agreement (the “Agreement”), ALPS Mutual Funds Services, Inc. (“ALPS”), to improve the performance of the Trust’s portfolios, hereby agrees to temporarily reduce the minimum administration fees it is entitled to receive pursuant to Section 2 of the Administration Agreement dated as of November 2, 1998 between the Trust and ALPS, as follows for the fiscal year ending October 31, 2008:
GENERAL DISTRIBUTION AGREEMENTGeneral Distribution Agreement • February 28th, 2006 • Stonebridge Funds Trust • Colorado
AGREEMENT dated as of September 30, 2005, between the Stonebridge Funds Trust, a Delaware business trust (the "Trust"), on behalf of the Stonebridge Growth Fund and the Stonebridge Aggressive Growth Fund, each a series of the Trust (collectively, "the Funds"), and ALPS Distributors, Inc., a Colorado corporation and a registered broker-dealer under the Securities Exchange Act of 1934, having its principal place of business in Denver, Colorado (the "Distributor").
QuickLinks -- Click here to rapidly navigate through this documentAdvisory Fee Waiver Agreement • February 28th, 2006 • Stonebridge Funds Trust
By our execution of this letter agreement (the "Agreement"), Stonebridge Capital Management ("Stonebridge Capital"), to improve the performance of the Trust's Small Cap Growth Fund portfolio (the "Fund"), hereby waives a portion of the advisory fees Stonebridge Capital is entitled to receive pursuant to Section 6 of the Investment Advisory Agreement dated as of November 2, 1998 between the Trust, on behalf of the Fund, and Stonebridge Capital, as follows:
GENERAL DISTRIBUTION AGREEMENT AGREEMENT dated as of August 1, 1997 between Stonebridge Aggressive Growth Fund, Inc., a Delaware corporation (the "Fund"), and ALPS Mutual Funds Services, Inc., a Colorado corporation and a registered broker-dealer...General Distribution Agreement • December 31st, 1997 • Stonebridge Aggressive Growth Fund Inc • Colorado
QuickLinks -- Click here to rapidly navigate through this documentAdministration Fee Reduction Agreement • February 28th, 2006 • Stonebridge Funds Trust
By our execution of this letter agreement (the "Agreement"), ALPS Mutual Funds Services, Inc. ("ALPS"), to improve the performance of the Trust's portfolios, hereby agrees to temporarily reduce the minimum administration fees it is entitled to receive pursuant to Section 2 of the Administration Agreement dated as of November 2, 1998 between the Trust and ALPS, as follows for the fiscal year ending October 31, 2006:
TELEPHONE AND SERVICE AGREEMENT THIS AGREEMENT made as of the 7th day of December, 2001 by and between Stonebridge Funds Trust, a Delaware business trust having its principal office and place of business at 1801 Century Park East, Los Angeles,...Telephone and Service Agreement • February 28th, 2002 • Stonebridge Funds Trust • Colorado
FIRST AMENDMENT TO THE ADMINISTRATION AGREEMENT BETWEEN STONEBRIDGE FUNDS TRUST AND ALPS MUTUAL FUNDS SERVICES, INC.Administration Agreement • February 28th, 2002 • Stonebridge Funds Trust
FORM OF AGREEMENT AND PLAN OF REORGANIZATIONReorganization Agreement • November 19th, 2012 • Financial Investors Trust • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION (the “Agreement”) is made as of this day of , 201 by Financial Investors Trust, a Delaware statutory trust (the “Acquiring Trust”), on behalf of the Stonebridge Small-Cap Growth Fund (the “Acquiring Fund”); Stonebridge Funds Trust, a Delaware statutory trust (the “Selling Trust”), on behalf of the Stonebridge Small-Cap Growth Fund (the “Selling Fund”) (the Acquiring Fund and Selling Fund referred to herein as a “Fund” and collectively, the “Funds”); and Stonebridge Capital Management, Inc., a California corporation (“SCM”), the investment adviser to the Acquiring Fund and the Selling Fund (for purposes of Sections 5.7, 5.12, 8.7, 11.1 and 13.1 of the Agreement only). The principal place of business of the Acquiring Trust is 1290 Broadway, Suite 1100, Denver, Colorado 80203; the principal place of business of the Selling Trust is 1290 Broadway, Suite 1100, Denver, Colorado 80203; and the principal place of business of SCM is 1801 Century Park Ea
GENERAL DISTRIBUTION AGREEMENT AGREEMENT dated as of ________, 1998 between the Stonebridge Funds Trust, a Delaware business trust (the "Trust"), on behalf of the Stonebridge Growth Fund and the Stonebridge Aggressive Growth Fund, each a series of the...General Distribution Agreement • August 18th, 1998 • Stonebridge Aggressive Growth Fund Inc • Colorado
September 10, 2008 Mr. Richard C. Barrett, Chairman Stonebridge Funds Trust 1801 Century Park East, Suite 1800 Los Angeles, California 90067 Re: Stonebridge Funds Trust (The “Trust”) Dear Mr. Barrett:Administration Fee Reduction Agreement • February 27th, 2009 • Stonebridge Funds Trust
By our execution of this letter agreement (the “Agreement”), ALPS Fund Services, Inc. (“ALPS”), to improve the performance of the Trust’s portfolios, hereby agrees to temporarily reduce the minimum administration fees it is entitled to receive pursuant to Section 2 of the Administration Agreement dated as of November 2, 1998 between the Trust and ALPS, as follows for the fiscal year ending October 31, 2009:
ADMINISTRATION AGREEMENTAdministration Agreement • December 31st, 1997 • Stonebridge Aggressive Growth Fund Inc • Colorado
EXHIBIT 99(h)(4) August 26, 2003 Mr. Richard C. Barrett, Chairman Stonebridge Funds Trust 1801 Century Park East, Suite 1800 Los Angeles, California 90067 Re: STONEBRIDGE FUNDS TRUST (THE "TRUST") Dear Mr. Barrett: By our execution of this letter...Administration Fee Reduction Agreement • February 27th, 2004 • Stonebridge Funds Trust
Mr. Richard C. Barrett, ChairmanFee Reduction Agreement • December 14th, 2009 • Stonebridge Funds Trust
Form of Amendment to Custodian Agreement (Foreign and Domestic)Custodian Agreement • December 19th, 2012 • Financial Investors Trust
This Amendment dated (“Effective Date”) to Custodian Agreement, dated August 3, 2009, as amended (the “Agreement”), between Financial Investors Trust, a Delaware statutory trust (the “Trust”), and Union Bank, N.A. (the “Custodian”).
