INVESTMENT ADVISORY AGREEMENT Between LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND and LADENBURG THALMANN ASSET MANAGEMENT, INC.Investment Advisory Agreement • September 13th, 2010 • Ladenburg Thalmann Alternative Strategies Fund • New York
AGREEMENT, made as of August 12, 2010, between LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND, a Delaware statutory trust (the "Trust"), and LADENBURG THALMANN ASSET MANAGEMENT, INC. a Delaware corporation (the "Adviser") located at 520 Madison Avenue, New York, New York 10022.
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUSTAgreement and Declaration of Trust • September 13th, 2010 • Ladenburg Thalmann Alternative Strategies Fund • Delaware
FUND SERVICES AGREEMENT between LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND andFund Services Agreement • September 13th, 2010 • Ladenburg Thalmann Alternative Strategies Fund • New York
THIS FUND SERVICES AGREEMENT (the “Agreement”) made as of the 17TH day of June, 2010, by and between LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND, a Delaware statutory trust having its principal office and place of business at 520 Madison Avenue, New York, New York 10022 (the "Trust") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 4020 South 147th Street, Omaha, Nebraska 68137 (“GFS”). This Agreement replaces and supersedes all prior understandings and agreements between the parties hereto for the services described below.
CUSTODIAN AGREEMENTCustodian Agreement • September 13th, 2010 • Ladenburg Thalmann Alternative Strategies Fund • California
This Custodian Agreement is made by and between LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND, on behalf of each series listed on Schedule I, which may be amended from time to time ("Principal"), and UNION BANK, N.A. ("Custodian"). Principal desires that Custodian hold and administer on behalf of Principal certain Securities (as herein defined). Custodian is willing to do so on the terms and conditions set forth in this Agreement. Accordingly, Principal and Custodian agree as follows:
Ladenburg Thalmann & Co. Inc. New York, NY 10022 Dealer’s AgreementDealer’s Agreement • September 13th, 2010 • Ladenburg Thalmann Alternative Strategies Fund • New York
Ladenburg Thalmann & Co. Inc. (“Underwriter”) invites you, as a selected dealer, to participate as principal in the distribution of shares (the “Shares”) of Ladenburg Thalmann Alternative Strategies Fund, Inc. (the “Fund”), of which it is the exclusive underwriter. Underwriter agrees to sell to you, subject to any limitations imposed by the Fund, Shares issued by the Fund and to promptly confirm each sale to you. All sales will be made according to the following terms:
SHAREHOLDER SERVICING PLAN AND AGREEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940Shareholder Services Agreement • September 13th, 2010 • Ladenburg Thalmann Alternative Strategies Fund
This is a SHAREHOLDER SERVICES AGREEMENT (the “Plan”) made as of June 17, 2010 by and between Ladenburg Thalmann Alternative Strategies Fund (the “Fund,”), and the distributor for the Fund, Ladenburg Thalmann & Co, Inc. (the “DISTRIBUTOR”).
SUBSCRIPTION AGREEMENT BETWEEN THE FUND AND THE INVESTOR LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND LETTER OF INVESTMENT INTENTSubscription Agreement • September 13th, 2010 • Ladenburg Thalmann Alternative Strategies Fund
The undersigned (the "Purchaser") hereby subscribes to purchase a beneficial interest ("Interest") in the Ladenburg Thalmann Alternative Strategies Fund, in the amount of $100,000.00 for 10,000 shares at net asset value of $10.00 per share, in consideration for which the Purchaser agrees to transfer to you upon demand cash in the amount of $100,000.00.
LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND OPERATING EXPENSES LIMITATION AGREEMENT LADENBURG THALMANN ALTERNATIVE STRATEGIES FUNDOperating Expenses Limitation Agreement • September 13th, 2010 • Ladenburg Thalmann Alternative Strategies Fund • New York
THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is effective as of the 12th day of August, 2010, by and between LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND, a Delaware statutory trust (the “Trust”), on behalf of the LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND, (the “Fund”) a series of the Trust and the Advisor of such Fund, Ladenburg Thalmann Asset Management, Inc. (the “Advisor”).
UNDERWRITING AGREEMENT Between LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND and LADENBURG THALMANN & CO, INC.Underwriting Agreement • September 13th, 2010 • Ladenburg Thalmann Alternative Strategies Fund • New York
THIS UNDERWRITING AGREEMENT made the 17th day of June 2010 by and between LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND, a Delaware statutory trust, having its principal office and place of business at 520 Madison Avenue, New York, New York 10022 (the “Trust”), and LADENBURG THALMANN & CO, INC, a Delaware corporation having its principal office and place of business at 520 Madison Avenue, New York, New York (“Ladenburg”).
