ASSIGNMENT AND ASSUMPTION AGREEMENT This Assignment and Assumption Agreement is entered into this 25th day of November, 2003 by and among Aquila Management Corporation ("Former Adviser"), a New York corporation, Aquila Rocky Mountain Equity Fund, a...Assignment and Assumption Agreement • April 29th, 2004 • Aquila Rocky Mountain Equity Fund
TRANSFER AGENCY AGREEMENT THIS AGREEMENT is made this 1st day of June, 1994, by and between Aquila Rocky Mountain Equity Fund, an unincorporated business trust organized under the laws of Massachusetts (the "Fund"), and Administrative Data Management...Transfer Agency Agreement • April 25th, 1997 • Aquila Rocky Mountain Equity Fund
AQUILA ROCKY MOUNTAIN EQUITY FUND INVESTMENT ADVISORY AGREEMENT THIS AGREEMENT, made as of May 25, 1994, by and among AQUILA ROCKY MOUNTAIN EQUITY FUND (the "Fund"), a Massachusetts business trust, 380 Madison Avenue, Suite 2300, New York, New York...Investment Advisory Agreement • April 25th, 1997 • Aquila Rocky Mountain Equity Fund
CUSTOMER IDENTIFICATION SERVICES AMENDMENT This Customer Identification Services Amendment (this "Amendment") amends, as of the 1st day of October, 2003 (the "Effective Date"), the Transfer Agency Services Agreement, dated as of November 7, 1997,...Transfer Agency Services Agreement • April 29th, 2004 • Aquila Rocky Mountain Equity Fund
AQUILA ROCKY MOUNTAIN EQUITY FUND ADVISORY AND ADMINISTRATION AGREEMENTAdvisory and Administration Agreement • April 30th, 2010 • Aquila Rocky Mountain Equity Fund
THIS AGREEMENT, made as of November 10, 2009 by and between AQUILA ROCKY MOUNTAIN EQUITY 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.
AQUILA ROCKY MOUNTAIN EQUITY FUND DISTRIBUTION AGREEMENTDistribution Agreement • April 22nd, 2013 • Aquila Funds Trust
AGREEMENT, made as of this ____ day of ____________, 2013 by and between AQUILA FUNDS TRUST, on behalf of its series AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND (hereinafter called the "Fund"), and AQUILA DISTRIBUTORS, INC., (hereinafter called the "Distributor").
FORM OF SHAREHOLDER SERVICES AGREEMENTShareholder Services Agreement • April 22nd, 2013 • 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 _____________; 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 23rd day of October 2002 (the "Effective Date"), the Transfer Agency Service Agreement, dated as of November 7, 1997, between Aquila Rocky...Transfer Agency Service Agreement • April 24th, 2003 • Aquila Rocky Mountain Equity Fund
Date: September 8, 2001 ----- SHAREHOLDER SERVICES AGREEMENT Aquila Distributors, Inc. (the "Distributor") 380 Madison Avenue Suite 2300 New York, NY 10017 Dear Sirs: AQUILA ROCKY MOUNTAIN EQUITY FUND (the "Fund") confirms its agreement with Aquila...Shareholder Services Agreement • April 29th, 2002 • Aquila Rocky Mountain Equity Fund • New York
AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND EXPENSE LIMITATION AND RECOUPMENT AGREEMENTExpense Limitation and Recoupment Agreement • April 18th, 2013 • Aquila Three Peaks Opportunity Growth Fund
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.
FORM OF CUSTODY AGREEMENTCustody Agreement • April 22nd, 2013 • Aquila Funds Trust • Ohio
THIS AGREEMENT, is made as of ____________, 2013, by and between AQUILA FUNDS TRUST, a business trust organized under the laws of the Commonwealth of Massachusetts (the "Trust"), on behalf of its series AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND, and [JP Morgan Chase Bank, N.A.], a banking company organized under the laws of the United States (the "Custodian").
DISTRIBUTION AGREEMENT AGREEMENT, made as of this 2nd day of June, 1994, by and between AQUILA ROCKY MOUNTAIN EQUITY FUND (hereinafter called the "Trust"), and AQUILA DISTRIBUTORS, INC. (hereinafter called the "Distributor"). W I T N E S S E T H : In...Distribution Agreement • April 25th, 1997 • Aquila Rocky Mountain Equity Fund
FORM OF SUB-ADVISORY AGREEMENTSub-Advisory Agreement • April 22nd, 2013 • Aquila Funds Trust
THIS AGREEMENT, made as of ______________, 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.
FORM OF TRANSFER AGENCY SERVICES AGREEMENTTransfer Agency Services Agreement • April 22nd, 2013 • Aquila Funds Trust
THIS AGREEMENT is made as of , 2013 by and between [BNY Mellon], a Delaware corporation, and AQUILA FUNDS TRUST, a Massachusetts business trust, on behalf of its series AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND, (the "Fund").
ANTI-MONEY LAUNDERING AMENDMENT TO DISTRIBUTION AGREEMENTDistribution Agreement • April 22nd, 2013 • Aquila Funds Trust
This ANTI-MONEY LAUNDERING AMENDMENT (this “Amendment”) amends as of the ___ day of _______, 2013 (the “Effective Date”), the Distribution Agreement, dated as of ______________________, between AQUILA FUNDS TRUST, on behalf of its series AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND (hereinafter called the "Fund"), and Aquila Distributors Inc. (the “Distributor”) (the “Agreement”).
FORM OF ADVISORY AND ADMINISTRATION AGREEMENTAdvisory and Administration Agreement • April 22nd, 2013 • Aquila Funds Trust
THIS AGREEMENT, made as of ______________, 2013 by and between AQUILA FUNDS 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.
AQUILA ROCKY MOUNTAIN EQUITY FUND ADVISORY AND ADMINISTRATION AGREEMENT THIS AGREEMENT, made as of November 10, 2009 by and between AQUILA ROCKY MOUNTAIN EQUITY FUND (the "Fund"), a Massachusetts business trust, 380 Madison Avenue, Suite 2300, New...Advisory and Administration Agreement • February 26th, 2010 • Aquila Rocky Mountain Equity Fund
SUPPLEMENTAL AGREEMENT TO ANTI-MONEY LAUNDERING AMENDMENT WHEREAS, PFPC Inc. ("PFPC") and Aquila Rocky Mountain Equity Fund (the "Fund") have entered into an Anti-Money Laundering Amendment (the "Amendment") dated October 23, 2002, which amends the...Supplemental Agreement • April 24th, 2003 • Aquila Rocky Mountain Equity Fund
This Supplemental Agreement contains the entire understanding between the parties with respect to the issues contemplated hereby. Except as expressly set forth herein, the Amendment shall remain unaffected hereby.
ANTI-MONEY LAUNDERING AMENDMENT TO DISTRIBUTION AGREEMENTDistribution Agreement • April 24th, 2003 • Aquila Rocky Mountain Equity Fund
AQUILA ROCKY MOUNTAIN EQUITY FUND SUB-ADVISORY AND ADMINISTRATION AGREEMENT THIS AGREEMENT, made as of the June 2, 1994, by and between AQUILA ROCKY MOUNTAIN EQUITY FUND (the "Fund"), a Massachusetts business Trust, 380 Madison Avenue, Suite 2300, New...Sub-Advisory and Administration Agreement • April 25th, 1997 • Aquila Rocky Mountain Equity Fund
W I T N E S S E T H :Sub-Advisory and Administration Agreement • April 27th, 2007 • Aquila Rocky Mountain Equity Fund
FORM OF ANTI-MONEY LAUNDERING AMENDMENTTransfer Agency Service Agreement • April 22nd, 2013 • Aquila Funds Trust
This ANTI-MONEY LAUNDERING AMENDMENT (this “Amendment”) amends as of the ___ day of _______, 2013 (the “Effective Date”), the Transfer Agency Service Agreement, dated as of _________________, 2013, between AQUILA FUNDS TRUST, on behalf of its series AQUILA THREE PEAKS HIGH INCOME FUND (the "Fund"), and BNY Mellon (the “Agreement”).
AMENDED AGREEMENT AMONG INSUREDS UNDER FIDELITY BONDAgreement Among Insureds • July 17th, 2013 • Aquila Three Peaks Opportunity Growth Fund
AGREEMENT made as of July 11, 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").
AGREEMENT AMONG INSUREDS TO PURSUANT RULE 17G-1 The undersigned registered management investment companies and affiliated entities, named insureds under a joint insured fidelity bond issued by ICI Mutual Insurance Company, pursuant to the requirements...Agreement Among Insureds • October 8th, 2009 • Aquila Rocky Mountain Equity Fund
This Agreement shall be effective as of May 9, 1994, 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.
