INVESTMENT ADVISORY AGREEMENT Between TWO ROADS SHARED TRUST and LJM FUNDS MANAGEMENT, LTD.Investment Advisory Agreement • October 26th, 2012 • Two Roads Shared Trust • Delaware
AGREEMENT, made as of August 29, 2012 between Two Roads Shared Trust, a Delaware statutory trust (the "Trust"), and LJM Funds Management, Ltd., an Illinois Corporation (the "Adviser") located at One Financial Place, 440 S. LaSalle Street, Suite 2301, Chicago, IL 60605.
SUBADVISORY AGREEMENTSubadvisory Agreement • October 26th, 2012 • Two Roads Shared Trust • Delaware
THIS AGREEMENT is made and entered into as of the 29th day of August, 2012, by and between ALTERNATIVE ROAD INVESTMENT ADVISERS, LLC (the “Adviser”), a Delaware limited liability company registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and BATTENKILL CAPITAL MANAGEMENT, INC., a corporation organized under the laws of Delaware (the “Subadviser”) and also registered under the Advisers Act, with respect to ALTERNATIVE AVENUE FUND (the “Fund”), a series of the TWO ROADS SHARED TRUST, a Delaware statutory trust (the “Trust”).
UNDERWRITING AGREEMENT Between TWO ROADS SHARED TRUST and NORTHERN LIGHTS DISTRIBUTORS, LLCUnderwriting Agreement • October 26th, 2012 • Two Roads Shared Trust • Nebraska
THIS UNDERWRITING AGREEMENT made the 29th day of August 2012 by and between TWO ROADS SHARED TRUST, a Delaware statutory trust, having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (the “Trust”), and NORTHERN LIGHTS DISTRIBUTORS, LLC, a Nebraska limited liability company having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“NLD”).
FUND SERVICES AGREEMENT between TWO ROADS SHARED TRUST andFund Services Agreement • October 26th, 2012 • Two Roads Shared Trust • New York
THIS FUND SERVICES AGREEMENT (the “Agreement”) effective as of the 29th day of August, 2012, by and between TWO ROADS SHARED TRUST, a Delaware statutory trust having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (the "Trust") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“GFS”). This Agreement replaces and supersedes all prior understandings and agreements between the parties hereto for the services described below.
SUBADVISORY AGREEMENTSubadvisory Agreement • October 26th, 2012 • Two Roads Shared Trust • Delaware
THIS AGREEMENT is made and entered into as of the 29th day of August, 2012, by and between Alternative Road Investment Advisers, LLC (the “Adviser”), a Delaware limited liability company registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and Rockview Management, LLC, a limited liability company organized under the laws of the State of Delaware (the “Subadviser”) and also registered under the Advisers Act, with respect to The Alternative Avenue Fund (the “Fund”), a series of the TWO ROADS SHARED TRUST, a Delaware statutory trust (the “Trust”).
TWO ROADS SHARED TRUST OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT BELVEDERE ASSET MANAGEMENT, LLCOperating Expenses Limitation and Security Agreement • October 26th, 2012 • Two Roads Shared Trust • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 29th day of August, 2012, as amended October 15, 2012, by and between TWO ROADS SHARED TRUST, a Delaware statutory trust (the “Trust”), on behalf of Belvedere Alternative Income Fund (the “Fund”) a series of the Trust, and the Advisor of the Fund, Belvedere Asset Management, Ltd. (the “Advisor”).
CONSULTING AGREEMENTConsulting Agreement • October 26th, 2012 • Two Roads Shared Trust • New York
This Consulting Agreement (the “Agreement”) is effective August 29, 2012 between NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company located at 450 Wireless Boulevard, Hauppauge, NY 11788 (“NLCS”) and TWO ROADS SHARED TRUST, a to-be registered investment company organized as a Delaware statutory trust, located at 17605 Wright Street, Omaha, Nebraska 68130 (the “Trust”), on behalf of each portfolio listed on the attached Appendix A, as may be amended from time to time (each a “Fund” and collectively “Funds”).
SUBSCRIPTION AGREEMENT BETWEEN THE FUND AND THE INVESTORSubscription Agreement • October 26th, 2012 • Two Roads Shared Trust
The undersigned (the "Purchaser") hereby subscribes to purchase a beneficial interest ("Interest") in the Two Roads Shared Trust, in the amount of $100,000.00 for 10,000 shares of the Belvedere Alternative Income Fund 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.
SUBADVISORY AGREEMENTSubadvisory Agreement • October 26th, 2012 • Two Roads Shared Trust • Delaware
THIS AGREEMENT is made and entered into as of the 29th day of August, 2012, by and between ALTERNATIVE ROAD INVESTMENT ADVISERS, LLC (the “Adviser”), a Delaware limited liability company registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and DEL MAR ASSET MANAGEMENT LP (the “Sub- Adviser”), a partnership organized under the laws of Delaware and also registered under the Advisers Act, with respect to ALTERNATIVE AVENUE FUND (the “Fund”), a series of the TWO ROADS SHARED TRUST, a Delaware statutory trust (the “Trust”).
TWO ROADS SHARED TRUST OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT LJM FUNDS MANAGEMENT, LTD.Operating Expenses Limitation and Security Agreement • October 26th, 2012 • Two Roads Shared Trust • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 29th day of August, 2012, by and between TWO ROADS SHARED TRUST, a Delaware statutory trust (the “Trust”), on behalf of LJM Preservation and Growth Fund and LJM Income Plus Fund (the “Funds”) each a series of the Trust, and the Advisor of the Fund, LJM Funds Management, Ltd. (the “Advisor”).
