AMENDMENT NO. 1 TO TRI-PARTY AGREEMENT
EXHIBIT E-2
AMENDMENT NO. 1 TO TRI-PARTY AGREEMENT
FOR DISTRIBUTION SERVICES
THIS AMENDMENT is made as of August 22, 2022, among Ancora Trust (the “Trust” and/or Investment Company “IC”, or “Fund”), an Ohio business Trust/IC, Ancora Advisors, LLC, an Ohio limited liability company and Arbor Court Capital (“ACC”), a limited liability corporation organized and existing under the laws of the State of Ohio.
WHEREAS the Trust/IC is registered under the Investment Company Act of 1940, as amended (“1940 Act”), as an open-end management investment company, and has registered one or more distinct series of shares of beneficial interest (“Shares”) for sale to the public under the Securities Act of 1933, as amended (“1933”), and has qualified its shares for sale to the public under various state securities laws; and
WHEREAS, pursuant to a Tri-Party Agreement for Distribution Services dated November 21, 2016 (the “Agreement”), the Trust/IC appointed ACC as principal underwriter in connection with the offering and sale of the Shares; and
WHEREAS, the parties desire to amend Schedule A to the Agreement to reflect the current list of series of Shares of the Trust/IC; and
NOW, THEREFORE, in consideration of the promises and mutual covenants herein contained, it is agreed between the parties hereto as follows:
1.
Amendment. Schedule A to this Agreement is hereby amended as set forth on Schedule A attached to this Amendment.
IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed by their officers designated as of the day and year first above written.
Ancora Advisors, LLC
By:
Title:
By:
Title:
(Signatures Continued on Following Page)
Arbor Court Capital, LLC
By:
Title:
SCHEDULE A
to the
AGREEMENT FOR DISTRIBUTION SERVICES
among
Ancora Advisors, LLC, Ancora Trust and Arbor Court Capital
Pursuant to Section 1 of the Tri-Party Agreement for Distribution Services among Ancora Advisors, LLC, Ancora Trust (the “Trust/IC”) and Arbor Court Capital (“ACC”), the Trust/IC hereby appoints ACC as its agent to be the principal underwriter of the Trust/IC with respect to the following series:
Ancora Income Fund
Ancora Dividend Value Equity Fund
Ancora Micro Cap Fund
Ancora/Xxxxxx Small-Mid Cap Fund
