WITNESSETH:Custody Agreement • March 22nd, 2006 • Aquila Three Peaks High Income Fund • Ohio
ASSIGNMENT AND ASSUMPTION OF ADMINISTRATION AGREEMENT This Assignment and Assumption of Administration Agreement is entered into this 25th day of November, 2003 by and among Aquila Management Corporation ("Former Administrator"), a New York...Assignment and Assumption Agreement • April 30th, 2004 • Prime Cash Fund
5. Transactions Not Requiring Instructions. (a) In the absence of contrary Written Instructions, ADM is authorized to take and to the extent set forth in the Activities List shall take the following actions: (i) issuance, transfer and redemption of...Transfer Agency Agreement • April 23rd, 1997 • Prime Cash Fund
TRANSFER AGENCY SERVICES AGREEMENT THIS AGREEMENT is made as of May 31, 2006 by and between PFPC INC., a Massachusetts corporation ("PFPC"), and AQUILA THREE PEAKS HIGH INCOME FUND, a Massachusetts business trust (the "Fund"). W I T N E S S E T H:...Transfer Agency Services Agreement • May 31st, 2006 • Aquila Three Peaks High Income Fund
TRANSFER AGENCY AND SHAREHOLDER SERVICES AGREEMENTTransfer Agency and Shareholder Services Agreement • April 24th, 2018 • Aquila Funds Trust
This Transfer Agency And Shareholder Services Agreement is made as of April 11, 2017 ("Effective Date") by and between BNY Mellon Investment Servicing (US) Inc. ("BNYM"), and each investment company listed on the signature page to this Agreement (the "Investment Company"), on its own behalf and on behalf of any Portfolio of each such Investment Company contained on Schedule B. Capitalized terms, and certain noncapitalized terms, not defined where first used shall have the meanings set forth in Schedule A (Schedule A also contains an index of defined terms providing the location of all defined terms). The term "Agreement" shall mean this Transfer Agency And Shareholder Services Agreement as constituted on the Effective Date, and thereafter as it may be amended from time to time as provided for herein. All references to "Schedule B" herein mean Schedule B attached hereto as constituted on the Effective Date, and thereafter as it may be amended from time to time (deemed or in writing) pur
AQUILA THREE PEAKS HIGH INCOME FUND ADVISORY AND ADMINISTRATION AGREEMENTAdvisory and Administration Agreement • April 30th, 2010 • Aquila Three Peaks High Income Fund
THIS AGREEMENT, made as of November 10, 2009 by and between AQUILA THREE PEAKS HIGH INCOME FUND (the "Fund"), a Massachusetts business trust, 380 Madison Avenue, Suite 2300, New York, New York 10017 and AQUILA INVESTMENT MANAGEMENT LLC (the "Manager"), a Delaware limited liability company, 380 Madison Avenue, Suite 2300, New York, New York 10017.
CUSTODY AGREEMENT by and between EACH FUND LISTED ON THE SIGNATURE PAGE HERETO and THE BANK OF NEW YORK MELLONCustody Agreement • April 22nd, 2016 • Aquila Funds Trust • New York
CUSTODY AGREEMENT, dated as of the latest date set forth on the signature page hereto, between each investment company listed on the signature page hereto (each, a "Fund" and collectively, the "Funds") and THE BANK OF NEW YORK MELLON, a bank organized under the laws of the state of New York (the "Custodian").
Date: --------------, 2006] SHAREHOLDER SERVICES AGREEMENT Aquila Distributors, Inc. (the "Distributor") 380 Madison Avenue Suite 2300 New York, NY 10017 Dear Sirs: AQUILA THREE PEAKS HIGH INCOME FUND (the "Fund") confirms its agreement with Aquila...Shareholder Services Agreement • May 31st, 2006 • Aquila Three Peaks High Income Fund • New York
AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND DISTRIBUTION AGREEMENTDistribution Agreement • April 24th, 2014 • Aquila Funds Trust
THIS AGREEMENT, made as of this 11th day of October, 2013 by and between AQUILA FUNDS TRUST (hereinafter called the “Trust”), on behalf of its series AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND (hereinafter called the "Fund"), and AQUILA DISTRIBUTORS, INC., (hereinafter called the "Distributor").
SHAREHOLDER SERVICES AGREEMENTShareholder Services Agreement • April 24th, 2014 • Aquila Funds Trust • New York
AQUILA FUNDS TRUST, on behalf of its series AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND (the "Fund") confirms its agreement with Aquila Distributors, Inc. (the "Distributor") with respect to the servicing of shareholder accounts. This Agreement is entered into pursuant to the Fund's Shareholder Services Plan dated as of October 11, 2013; such Shareholder Services Plan, in its current form and as it may subsequently be amended from time to time, is hereby incorporated by reference and referred to herein as “the Plan.” All terms defined in the Plan shall have the same meanings when used herein. It is understood that in the event of a conflict between any provision of this Agreement and the terms of the Plan, the Plan shall govern. Part I of this Agreement applies solely to the Level-Payment Class ("Class C"), Part II solely to the Financial Intermediary Class ("Class I") and Part III to both classes of shares.
ANTI-MONEY LAUNDERING AMENDMENT This ANTI-MONEY LAUNDERING AMENDMENT (this "Amendment") amends as of the [ ] day of [ 2006] (the "Effective Date"), the Transfer Agency Service Agreement, dated as of [ , 2006], between Aquila Three Peaks High Income...Transfer Agency Service Agreement • March 22nd, 2006 • Aquila Three Peaks High Income Fund
AQUILA THREE PEAKS HIGH INCOME FUND SUB-ADVISORY AGREEMENTSub-Advisory Agreement • April 30th, 2010 • Aquila Three Peaks High Income Fund
THIS AGREEMENT, made as of November 10, 2009 by and between AQUILA INVESTMENT MANAGEMENT LLC, a Delaware limited liability company (the "Manager"), 380 Madison Avenue, Suite 2300, New York, New York 10017 and THREE PEAKS CAPITAL MANAGEMENT, LLC (the "Sub-Adviser"), a Colorado limited liability company, 3750 Dacoro Lane, Suite 100, Castle Rock, CO 80109.
ANTI-MONEY LAUNDERING AMENDMENT TO DISTRIBUTION AGREEMENTDistribution Agreement • May 31st, 2006 • Aquila Three Peaks High Income Fund
AQUILA THREE PEAKS HIGH INCOME FUND ADVISORY AND ADMINISTRATION AGREEMENT THIS AGREEMENT, made as of _______________, 2009 by and between AQUILA THREE PEAKS HIGH INCOME FUND (the "Fund"), a Massachusetts business trust, 380 Madison Avenue, Suite 2300,...Advisory and Administration Agreement • April 30th, 2009 • Aquila Three Peaks High Income Fund
AQUILA THREE PEAKS HIGH INCOME FUND SUB-ADVISORY AGREEMENT THIS AGREEMENT, made as of ________________, 2009 by and between AQUILA INVESTMENT MANAGEMENT LLC, a Delaware limited liability company (the "Manager"), 380 Madison Avenue, Suite 2300, New...Sub-Advisory Agreement • April 30th, 2009 • Aquila Three Peaks High Income Fund
AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND EXPENSE LIMITATION AND RECOUPMENT AGREEMENTExpense Limitation and Recoupment Agreement • April 23rd, 2015 • Aquila Funds Trust
THIS AGREEMENT, made as of October 9, 2010 by and among AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND, a Massachusetts business trust registered under the Investment Company Act of 1940 (the “Fund”), AQUILA INVESTMENT MANAGEMENT LLC, a Delaware limited liability company (the “Manager”), 380 Madison Avenue, Suite 2300, New York, New York 10017 and THREE PEAKS CAPITAL MANAGEMENT, LLC (the “Sub-Adviser”), a Colorado limited liability company, 3750 Dacoro Lane, Suite 100, Castle Rock, CO 80109.
AQUILA THREE PEAKS HIGH INCOME FUND AMENDED AND RESTATED ADVISORY AND ADMINISTRATION AGREEMENT THIS AGREEMENT, made as of May 24, 2006 by and between AQUILA THREE PEAKS HIGH INCOME FUND (the "Fund"), 380 Madison Avenue, Suite 2300, New York, New York...Advisory and Administration Agreement • May 31st, 2006 • Aquila Three Peaks High Income Fund
AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND SUB-ADVISORY AGREEMENTSub-Advisory Agreement • April 24th, 2014 • Aquila Funds Trust
THIS AGREEMENT, made as of October 11, 2013 by and between AQUILA INVESTMENT MANAGEMENT LLC, a Delaware limited liability company (the "Manager"), 380 Madison Avenue, Suite 2300, New York, New York 10017 and THREE PEAKS CAPITAL MANAGEMENT, LLC (the "Sub-Adviser"), a Colorado limited liability company, 3750 Dacoro Lane, Suite 100, Castle Rock, CO 80109.
AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND ADVISORY AND ADMINISTRATION AGREEMENTAdvisory and Administration Agreement • April 24th, 2014 • Aquila Funds Trust
THIS AGREEMENT, made as of October 11, 2013 by and between AQUILA FUNDS TRUST (the “Trust”), a Massachusetts business trust, on behalf of its series AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND (the "Fund"), 380 Madison Avenue, Suite 2300, New York, New York 10017 and AQUILA INVESTMENT MANAGEMENT LLC (the “Manager”), a Delaware limited liability company, 380 Madison Avenue, Suite 2300, New York, New York 10017.
IDENTIFICATION SERVICES AMENDMENT This Customer Identification Services Amendment (this "Amendment") amends, as of the [ ] day of [ , 2006] (the "Effective Date"), the Transfer Agency Services Agreement, dated as of [ , 2006,] between Aquila Three...Transfer Agency Services Amendment • March 22nd, 2006 • Aquila Three Peaks High Income Fund
ADMINISTRATION AGREEMENT THIS AGREEMENT, made December 16, 1992, by and between PRIME CASH FUND (the "Trust"), a Massachusetts business trust, 380 Madison Avenue, Suite 2300, New York, New York 10017, and Aquila Management Corporation (the...Administration Agreement • April 23rd, 1997 • Prime Cash Fund
AQUILA THREE PEAKS HIGH INCOME FUND DISTRIBUTION AGREEMENT AGREEMENT, made as of this 24th day of May, 2006 by and between AQUILA THREE PEAKS HIGH INCOME FUND (hereinafter called the "Fund"), and AQUILA DISTRIBUTORS, INC., (hereinafter called the...Distribution Agreement • May 31st, 2006 • Aquila Three Peaks High Income Fund
AGREEMENT AMONG INSUREDS PURSUANT TO RULE 17G-1Agreement Among Insureds Pursuant to Rule 17g-1 • May 6th, 2016 • Aquila Funds Trust
This Agreement shall be effective as of March 1, 2016 (and supersedes in its entirety any previous Agreement) and may be amended, assigned, or terminated only in accordance with the 1940 Act and the rules and regulations thereunder. This Agreement may be executed in counterparts, each of which shall be deemed an original.
FUND ACCOUNTING AGREEMENTFund Accounting Agreement • April 22nd, 2016 • Aquila Funds Trust • New York
THIS AGREEMENT is made as of January 28, 2016 by and between each investment company referenced on the signature page hereto (each a "Fund", collectively the "Funds"), and BNY Mellon Investment Servicing (US) Inc., a Massachusetts corporation ("BNY Mellon").
AQUILA HIGH INCOME FUND EXPENSE LIMITATION AND RECOUPMENT AGREEMENTExpense Limitation and Recoupment Agreement • April 15th, 2024 • Aquila Funds Trust
THIS AGREEMENT, made as of July 1, 2022 by and among AQUILA HIGH INCOME FUND, a Massachusetts business trust registered under the Investment Company Act of 1940 (the “Fund”) and AQUILA INVESTMENT MANAGEMENT LLC, a Delaware limited liability company (the “Manager”), 120 West 45th Street, Suite 3600, New York, New York 10036.
Agreement And Plan Of ReorganizationAgreement and Plan of Reorganization • February 27th, 2014 • Aquila Funds Trust • Massachusetts
This Agreement And Plan Of Reorganization (the “Agreement”) is made as of the 11th day of October, 2013, by and between Aquila Funds Trust, a Massachusetts business trust (the “Successor Trust”), on behalf of its series Aquila Three Peaks Opportunity Growth Fund (the “Successor Fund”), with its principal place of business at 380 Madison Avenue, Suite 2300, New York, New York 10017, and Aquila Three Peaks Opportunity Growth Fund, a Massachusetts business trust (the “Current Trust”), on behalf of its sole series Aquila Three Peaks Opportunity Growth Fund (the “Current Fund”), with its principal place of business at 380 Madison Avenue, Suite 2300, New York, New York 10017. The Successor Fund and the Current Fund are sometimes referred to collectively herein as the “Funds” and individually as a “Fund.”
AQUILA THREE PEAKS HIGH INCOME FUND AMENDED AND RESTATED ADVISORY AND ADMINISTRATION AGREEMENT THIS AGREEMENT, made as of May 24, 2006 by and between AQUILA THREE PEAKS HIGH INCOME FUND (the "Fund"), 380 Madison Avenue, Suite 2300, New York, New York...Advisory and Administration Agreement • August 28th, 2006 • Aquila Three Peaks High Income Fund
AQUILA THREE PEAKS HIGH INCOME FUND AMENDED AND RESTATED SUB-ADVISORY AGREEMENT THIS AGREEMENT, made as of May 24, 2006 by and between AQUILA INVESTMENT MANAGEMENT LLC, a Delaware limited liability company (the "Manager"), 380 Madison Avenue, Suite...Sub-Advisory Agreement • August 28th, 2006 • Aquila Three Peaks High Income Fund
AMENDED AGREEMENT AMONG INSUREDS UNDER FIDELITY BONDAgreement Among Insureds • November 25th, 2014 • Aquila Funds Trust
AGREEMENT made as of October 31, 2014, by and among the investment companies (which include all series thereof) listed on Schedule A (the "Funds") and the corporations (the "Service Providers") listed on Schedule A, being providers of services to the Funds, on the date hereof consisting of Aquila Investment Management LLC ("Aquila")and Aquila Distributors, Inc. (the Funds and Service Providers being referred to collectively as the "Parties" and separately as a "Party").
FIRST AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • April 24th, 2014 • Aquila Funds Trust
This First Amendment (“Amendment”) to the Custody Agreement dated April 25, 2006 (the “Agreement”) is entered by and between Aquila Funds Trust (formerly known as Aquila Three Peaks High Income Fund), a business trust organized under the laws of the Commonwealth of Massachusetts (the “Trust”) and JPMorgan Chase Bank, N.A. (the “Custodian”).
AMENDED AGREEMENT AMONG INSUREDS UNDER FIDELITY BONDAgreement Among Insureds • November 12th, 2021 • Aquila Funds Trust
AGREEMENT made as of November 1, 2021, by and among the investment companies (which include all series thereof) listed on Schedule A (the “Funds”) and the corporations (the “Service Providers”) listed on Schedule A, being providers of services to the Funds, on the date hereof consisting of Aquila Investment Management LLC (“Aquila”) and Aquila Distributors, Inc. (the Funds and Service Providers being referred to collectively as the “Parties” and separately as a “Party”).
AQUILA INVESTMENT MANAGEMENT LLCAdvisory and Administration Agreement • March 31st, 2017 • Aquila Funds Trust
AMENDED AGREEMENT AMONG INSUREDS UNDER FIDELITY BONDAgreement Among Insureds • December 18th, 2013 • Aquila Funds Trust
AGREEMENT made as of October 16, 2013, by and among the investment companies (which include all series thereof) listed on Schedule A (the "Funds") and the corporations (the "Service Providers") listed on Schedule A, being providers of services to the Funds, on the date hereof consisting of Aquila Investment Management LLC ("Aquila")and Aquila Distributors, Inc. (the Funds and Service Providers being referred to collectively as the "Parties" and separately as a "Party").
AQUILA DISTRIBUTORS, INC. SALES AGREEMENT (for use with financial institutions) From: To: Aquila Distributors, Inc. 380 Madison Avenue, Suite 2300 New York, New York 10017 Gentlemen: We desire to enter into an agreement with you to make available to...Sales Agreement • May 31st, 2006 • Aquila Three Peaks High Income Fund
AQUILA INVESTMENT MANAGEMENT LLCAdvisory and Administration Agreement • April 24th, 2019 • Aquila Funds Trust
