Aquila Funds Trust Sample Contracts

WITNESSETH:
Custody Agreement • March 22nd, 2006 • Aquila Three Peaks High Income Fund • Ohio
AutoNDA by SimpleDocs
TRANSFER AGENCY AND SHAREHOLDER SERVICES AGREEMENT
Transfer 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

CUSTODY AGREEMENT
Custody Agreement • April 23rd, 1997 • Prime Cash Fund • Ohio
CUSTODY AGREEMENT by and between EACH FUND LISTED ON THE SIGNATURE PAGE HERETO and THE BANK OF NEW YORK MELLON
Custody 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").

AQUILA THREE PEAKS HIGH INCOME FUND ADVISORY AND ADMINISTRATION AGREEMENT
Advisory 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.

SHAREHOLDER SERVICES AGREEMENT
Shareholder 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.

AQUILA THREE PEAKS HIGH INCOME FUND SUB-ADVISORY AGREEMENT
Sub-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.

Agreement And Plan Of Reorganization
Agreement 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 OPPORTUNITY GROWTH FUND SUB-ADVISORY AGREEMENT
Peaks Opportunity Growth Fund • 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 EXPENSE LIMITATION AND RECOUPMENT AGREEMENT
Expense 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.

ANTI-MONEY LAUNDERING AMENDMENT TO DISTRIBUTION AGREEMENT
Distribution Agreement • May 31st, 2006 • Aquila Three Peaks High Income Fund
AGREEMENT AMONG INSUREDS PURSUANT TO RULE 17G-1
Agreement • 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.

AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND ADVISORY AND ADMINISTRATION AGREEMENT
Peaks Opportunity Growth Fund • 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.

FUND ACCOUNTING AGREEMENT
Fund 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").

AutoNDA by SimpleDocs
AQUILA HIGH INCOME FUND EXPENSE LIMITATION AND RECOUPMENT AGREEMENT
Expense 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.

AMENDED AGREEMENT AMONG INSUREDS UNDER FIDELITY BOND
Amended Agreement • 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 AGREEMENT
Custody 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 BOND
Amended Agreement • 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 LLC
Aquila Funds Trust • March 31st, 2017
AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND DISTRIBUTION AGREEMENT
Aquila Three Peaks Opportunity Growth Fund • 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").

AMENDED AGREEMENT AMONG INSUREDS UNDER FIDELITY BOND
Amended Agreement • 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").

Draft better contracts in just 5 minutes Get the weekly Law Insider newsletter packed with expert videos, webinars, ebooks, and more!