Amendment to ALPS ETF Trust Administration Agreement
Amendment to ALPS ETF Trust Administration Agreement
This Amendment to ALPS ETF Trust Amended and Restated Administration Agreement (this “Amendment”), dated August 7, 2023 between ALPS ETF Trust, a Delaware statutory trust (the “Trust”), and ALPS Fund Services, Inc. (“ALPS”).
WHEREAS, the Trust and ALPS have entered into an ALPS ETF Trust Amended and Restated Administration Agreement dated March 6, 2017 (the “Agreement”).
NOW, THEREFORE, in consideration of the mutual covenants herein contained and for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereby agree as follows:
1. Effective as of the date hereof, Appendix A of the Agreement is hereby deleted in its entirety and replaced with a new Appendix A attached hereto.
2. Effective as of the date hereof, Appendix C of the Agreement is hereby deleted in its entirety and replaced with a new Appendix C attached hereto.
3. Except as specifically set forth herein, all other provisions of the Agreement shall remain in full force and effect. Any items not herein defined shall have the meaning ascribed to them in the Agreement.
| ALPS ETF TRUST | ALPS FUND SERVICES, INC. | ||||
| By: | By: | ||||
| Name: | Name: | Xxx Xxxxxxxxx | |||
| Title: | Title: | Authorized Representative | |||
APPENDIX A
| Fund Name | Initial Approval Date | Initial Term |
|
Alerian Energy Infrastructure ETF |
October 24, 2013 |
Two Years |
|
Xxxxxxx MLP ETF |
August 11, 2010 |
Two years |
|
ALPS Emerging Sector Dividend Dogs ETF |
December 12, 2013 |
Two Years |
|
ALPS Equal Sector Weight ETF |
June 23, 2009 |
Two Years |
|
ALPS International Sector Dividend Dogs ETF |
June 10, 2013 |
Two Years |
|
ALPS Medical Breakthroughs ETF |
December 29, 2014 |
Two Years |
|
ALPS Sector Dividend Dogs ETF |
June 11, 2012 |
Two Years |
|
Xxxxxx’x 400 SM ETF |
June 3, 2013 |
Two Years |
|
ALPS REIT Dividend Dogs ETF (f/k/a Xxxxx & Steers Global Realty Majors ETF) |
April 1, 2008 |
Two Years |
|
RiverFront Dynamic Core Income ETF |
June 2, 2016 |
Two Years |
|
RiverFront Dynamic US Dividend Advantage ETF |
June 2, 2016 |
Two Years |
|
RiverFront Dynamic US Flex-Cap ETF |
June 2, 2016 |
Two Years |
|
RiverFront Strategic Income Fund |
June 10, 2013 |
Two Years |
|
ALPS Disruptive Technologies ETF |
December 29, 2017 |
Two Years |
|
ALPS Clean Energy ETF |
March 5, 2018 |
Two Years |
|
ALPS Active REIT ETF |
December 7, 2020 |
Two Years |
| ALPS Global Travel Beneficiaries | June 7, 2021 | Two Years |
| ALPS Intermediate Municipal Bond ETF | September 13, 2021 | Two Years |
| ALPS | O’Shares U.S. Quality Dividend ETF | February 16, 2022 | Two Years |
|
ALPS | O’Shares U.S. Small-Cap Quality Dividend ETF |
February 16, 2022 | Two Years |
| ALPS | O’Shares Global Internet Giants ETF | February 16, 2022 | Two Years |
| ALPS | O’Shares Europe Quality Dividend ETF | February 16, 2022 | Two Years |
| ALPS | Xxxxx Total Return Bond ETF | March 7, 2023 | Two Years |
| ALPS Level Four Large Cap Growth ETF | March 7, 2023 | Two Years |
APPENDIX C
Fees
| Fund Name | Fee |
| Alerian Energy Infrastructure ETF | The Adviser will be compensated by the Fund in an amount equal to 0.35% of its average daily net assets. From that 0.35% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets. |
| Alerian MLP ETF |
The Adviser will be compensated by the Fund in an amount equal to 0.85% of its average daily net assets. From that 0.85% fee, ALPS will be compensated in an amount equal to 0.04% of the Fund’s average daily net assets.
ALPS shall be compensated for out-of-pocket expenses (including securities pricing) payable monthly by the Fund. |
| ALPS Emerging Sector Dividend Dogs ETF |
The Adviser will be compensated by the Fund in an amount equal to 0.60% of its average daily net assets. From that 0.60% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets. |
| ALPS Equal Sector Weight ETF |
From the unitary management fee paid by the Trust to the Adviser, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets.
ALPS shall be compensated for out-of-pocket expenses (including securities pricing) payable monthly by the Fund. |
| ALPS International Sector Dividend Dogs ETF |
The Adviser will be compensated by the Fund in an amount equal to 0.50% of its average daily net assets. From that 0.50% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets. |
| ALPS Medical Breakthroughs ETF |
The Adviser will be compensated by the Fund in an amount equal to 0.50% of its average daily net assets. From that 0.50% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets. |
| ALPS Sector Dividend Dogs ETF |
The Adviser will be compensated by the Fund in an amount equal to 0.40% of its average daily net assets. From that 0.40% fee, ALPS will be compensated in an amount equal to 0.03%of the Fund’s average daily net assets.
ALPS shall be compensated for out-of-pocket expenses (including securities pricing) payable monthly by the Fund. |
| Xxxxxx’x 400 SM ETF |
The Adviser will be compensated by the Fund in an amount equal to 0.65% of its average daily net assets. From that 0.65 % fee, ALPS will receive the greater of an annual fee of:
(1) $65,000 per Fund for the first year of the Fund’s operations and $80,000 beginning in year two of the Fund’s operations
Or
(2) 3.5 bps of the first $1 billion of the Fund’s assets; 2 bps on any one Fund’s assets between $1 billion and 2.5 billion; and 1bps on any one Fund’s assets in excess of $2.5 billion |
| ALPS REIT Dividend Dogs ETF (formerly Xxxxx & Steers Global Realty Majors ETF) |
The Adviser will be compensated by the Fund in an amount equal to 0.35% of its average daily net assets. From that 0.35% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets.
ALPS shall be compensated for out-of-pocket expenses (including securities pricing) payable monthly by the Fund. |
| RiverFront Dynamic Core Income ETF | The Adviser will be compensated by the Fund in an amount equal to 0.51% of its average daily net assets. From that 0.51% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets. |
| RiverFront Dynamic US Dividend Advantage ETF |
The Adviser will be compensated by the Fund in an amount equal to 0.52% of its average daily net assets. From that 0.52% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets. |
| RiverFront Dynamic US Flex-Cap ETF |
The Adviser will be compensated by the Fund in an amount equal to 0.52% of its average daily net assets. From that 0.52% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets. |
| RiverFront Strategic Income Fund |
The Adviser will be compensated by the Fund in an amount equal to 0.22% of its average daily net assets. From that 0.22% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets. |
| RiverFront Dynamic Unconstrained Income ETF |
The Adviser will be compensated by the Fund in an amount equal to 0.51% of its average daily net assets. From that 0.51% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets. |
| ALPS Clean Energy ETF | The Adviser will be compensated by the Fund in an amount equal to 0.55% of its average daily net assets. From the 0.55% fee, ALPS will be compensated by the Adviser in an amount equal to 0.03% of the Fund’s average daily net assets. |
| ALPS Active REIT ETF | The Adviser will be compensated by the Fund in an amount equal to 0.68% of its average daily net assets. From the 0.68% fee, ALPS will be compensated by the Adviser in an amount equal to 0.03% of the Fund’s average daily net assets. |
| ALPS Global Travel Beneficiaries ETF | The Adviser will be compensated by the Fund in an amount equal to 0.65% of its average daily net assets. From the 0.65% fee, ALPS will be compensated by the Adviser in an amount equal to 0.03% of the Fund’s average daily net assets. |
| ALPS Intermediate Municipal Bond ETF | The Adviser will be compensated by the Fund in an amount equal to 0.50% of its average daily net assets. From the 0.50% fee, ALPS will be compensated by the Adviser in an amount equal to 0.03% of the Fund’s average daily net assets. |
|
ALPS | O’Shares U.S. Quality Dividend ETF
|
The Adviser will be compensated by the Fund in an amount equal to 0.48% of its average daily net assets. From the 0.48% fee, ALPS will be compensated by the Adviser in an amount equal to 0.03% of the Fund’s average daily net assets. |
|
ALPS | O’Shares U.S. Small-Cap Quality Dividend ETF |
The Adviser will be compensated by the Fund in an amount equal to 0.48% of its average daily net assets. From the 0.48% fee, ALPS will be compensated by the Adviser in an amount equal to 0.03% of the Fund’s average daily net assets. |
| ALPS | O’Shares Global Internet Giants ETF | The Adviser will be compensated by the Fund in an amount equal to 0.48% of its average daily net assets. From the 0.48% fee, ALPS will be compensated by the Adviser in an amount equal to 0.03% of the Fund’s average daily net assets. |
| ALPS | O’Shares Europe Quality Dividend ETF | The Adviser will be compensated by the Fund in an amount equal to 0.48% of its average daily net assets. From the 0.48% fee, ALPS will be compensated by the Adviser in an amount equal to 0.03% of the Fund’s average daily net assets. |
| ALPS | Xxxxx Total Return Bond ETF | The Adviser will be compensated by the Fund in an amount equal to 0.55% of its average daily net assets. From the 0.48% fee, ALPS will be compensated by the Adviser in an amount equal to 0.03% of the Fund’s average daily net assets. |
| ALPS Level Four Large Cap Growth ETF | The Adviser will be compensated by the Fund in an amount equal to 0.50% of its average daily net assets. From the 0.48% fee, ALPS will be compensated by the Adviser in an amount equal to 0.03% of the Fund’s average daily net assets. |
