AMENDMENT 4
AMENDMENT 4
This amendment (the “Amendment”) between the parties signing below (“Parties”) amends the Existing Agreement as of December 18, 2020 (the “Effective Date”):
| Term | Means | |
| “Existing Agreement” |
The Distribution Services, Advertising and Sales Material Review Letter Agreement between ALPS, Adviser and Trust dated April 16, 2018, as amended | |
| “ALPS” |
ALPS Distributors, Inc. | |
| “Adviser” |
AQR Capital Management, LLC | |
| “Trust” |
Except as amended hereby, all terms of the Existing Agreement remain in full force and effect. This Amendment includes the amendments in Schedule A and general terms in Schedule B.
IN WITNESS WHEREOF, the Parties have caused this Amendment to be executed by their duly authorized representatives.
| ALPS Distributors, Inc. | AQR Capital Management, LLC | |||||||
| By: | /s/ Xxxxxxx X. Xxxxxxx |
By: | /s/ Xxxxxx XxxXxxx | |||||
| Name: | Xxxxxxx X. Xxxxxxx |
Name: | Xxxxxx XxxXxxx | |||||
| Title: | Director, President & Chief Operating Officer |
Title: | Managing Director, Senior Counsel & Head of Registered Products | |||||
| AQR Funds | ||||||||
| By: | /s/ Xxxxxx XxxXxxx |
|||||||
| Name: | Xxxxxx XxxXxxx |
|||||||
| Title: | Chief Legal Officer & Vice President |
|||||||
Schedule A to this Amendment
Amendments
Effective as of the Effective Date, the Existing Agreement is amended as follows:
| 1. | EXHIBIT A – LIST OF PORTFOLIOS IS HEREBY DELETED IN ITS ENTIRETY AND REPLACED WITH THE FOLLOWING EXHIBIT A – LIST OF PORTFOLIOS: |
EXHIBIT A
LIST OF PORTFOLIOS
| PORTFOLIO | CLASSES OFFERED | |
| AQR Large Cap Momentum Style Fund | Class I
Class N
Class R6
| |
| AQR Small Cap Momentum Style Fund | Class I
Class N
Class R6
| |
| AQR International Momentum Style Fund | Class I
Class N Class R6
| |
| AQR Global Equity Fund | Class N Class I Class Y
Class R6 | |
| AQR International Equity Fund | Class N Class I Class Y
Class R6 | |
| AQR Diversified Arbitrage Fund | Class N Class I
Class R6 | |
| AQR Managed Futures Strategy Fund | Class N
Class I
Class R6 | |
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| AQR Multi-Asset Fund | Class N
Class I
Class R6 | |
| AQR TM Large Cap Momentum Style Fund | Class I
Class N
Class R6
| |
| AQR TM Small Cap Momentum Style Fund | Class I
Class N
Class R6 | |
| AQR TM International Momentum Style Fund | Class I Class N
Class R6 | |
| AQR Large Cap Defensive Style Fund | Class N Class I
Class R6 | |
| AQR International Defensive Style Fund | Class N Class I
Class R6 | |
| AQR Risk-Balanced Commodities Strategy Fund | Class N Class I
Class R6 | |
| AQR Risk Parity II MV Fund | Class N
Class I
Class Y
Class R6 | |
| AQR Large Cap Multi-Style Fund | Class N
Class I
Class R6 | |
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| AQR Small Cap Multi-Style Fund | Class N
Class I
Class R6 | |
| AQR International Multi-Style Fund | Class N
Class I
Class R6 | |
| AQR Long-Short Equity Fund | Class N
Class I
Class R6 | |
| AQR Managed Futures Strategy HV Fund | Class N
Class I
Class R6 | |
| AQR Style Premia Alternative Fund | Class N
Class I
Class R6 | |
| AQR Global Macro Fund | Class N
Class I
Class R6 | |
| AQR Emerging Multi-Style Fund | Class I
Class N
Class R6 | |
| AQR Equity Market Neutral Fund | Class I
Class N
Class R6 | |
| AQR TM Large Cap Multi-Style Fund | Class I
Class N
Class R6 | |
| AQR TM Small Cap Multi-Style Fund | Class I | |
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| Class N
Class R6 | ||
| AQR TM International Multi-Style Fund | Class I
Class N
Class R6 | |
| AQR TM Emerging Multi-Style Fund | Class I
Class N
Class R6 | |
| AQR Alternative Risk Premia Fund | Class I
Class N
Class R6 | |
| AQR Core Plus Bond Fund | Class I
Class N
Class R6 | |
| AQR High Yield Bond Fund | Class I
Class N
Class R6 | |
| AQR Diversifying Strategies Fund | Class N
Class I
Class R6 | |
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Schedule B to this Amendment
General Terms
| 1. | Capitalized terms not defined herein shall have the meanings given to them in the Existing Agreement. |
| 2. | The Parties’ duties and obligations are governed by and limited to the express terms and conditions of the Existing Agreement, as amended by this Amendment, and shall not be modified, supplemented, amended or interpreted in accordance with, any industry custom or practice, or any internal policies or procedures of any Party. This Amendment (including any attachments, schedules and addenda hereto), along with the Existing Agreement, as amended, contains the entire agreement of the Parties with respect to the subject matter hereof and supersedes all previous communications, representations, understandings and agreements, either oral or written, between the Parties with respect thereto. |
| 3. | This Amendment may be executed in counterparts, each of which when so executed will be deemed to be an original. Such counterparts together will constitute one agreement. Signatures may be exchanged via facsimile or electronic mail and signatures so exchanged shall be binding to the same extent as if original signatures were exchanged. |
| 4. | This Amendment and any dispute or claim arising out of or in connection with it, its subject matter or its formation (including non-contractual disputes or claims) shall be governed by and construed in accordance with the laws of the same jurisdiction as the Existing Agreement. |
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