DISTRIBUTION AGREEMENTDistribution Agreement • October 20th, 2015 • Pointbreak ETF Trust • Colorado
THIS AGREEMENT is made as of October 20, 2015, between Pointbreak ETF Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • October 20th, 2015 • Pointbreak ETF Trust • Delaware
This Agreement is made and entered into as of October 20, 2015, by and between Pointbreak ETF Trust, a Delaware trust (the “Trust”), on behalf of each fund set forth on Appendix A, each a series of shares of the Trust (each a “Fund” and collectively the “Funds”), and Pointbreak Advisers LLC, a Delaware limited liability company (the “Adviser”).
EXPENSE LIMITATION AGREEMENT POINTBREAK ETF TRUSTExpense Limitation Agreement • October 20th, 2015 • Pointbreak ETF Trust
This Agreement is made and entered into effective as of October 20, 2015, by and between the Pointbreak Buyback Index Fund (the “Fund”), a series of shares of Pointbreak ETF Trust, a Delaware statutory trust (the “Trust”) and Pointbreak Advisers LLC, a Delaware limited liability company (the “Advisor”).
AUTHORIZED PARTICIPANT AGREEMENT FOR POINTBREAK ETF TRUSTAuthorized Participant Agreement • October 20th, 2015 • Pointbreak ETF Trust • New York
This Authorized Participant Agreement (the “Agreement”) is entered into by and between ALPS Distributors, Inc. (the “Distributor”) and (the “Authorized Participant” or “AP”) and is subject to acceptance by Brown Brothers Harriman & Co. (“ETF Administrator” or the “Transfer Agent”). The Transfer Agent serves as the transfer agent for Pointbreak ETF Trust (the “Trust”) and is an Index Receipt Agent as that term is defined in the rules of the National Securities Clearing Corporation (“NSCC”). The Distributor, the Transfer Agent and the Authorized Participant acknowledge and agree that the Trust shall be a third-party beneficiary of this Agreement, and shall receive the benefits contemplated by this Agreement, to the extent specified herein. The Distributor has been retained to provide services as principal underwriter of the Trust acting on an agency basis in connection with the distribution of Creation Units (as defined below) of each of the separate investment portfolios of the Trust (e
CUSTODIAN AND TRANSFER AGENT AGREEMENTCustodian and Transfer Agent Agreement • October 20th, 2015 • Pointbreak ETF Trust • New York
THIS AGREEMENT, dated as of October 20, 2015, between Pointbreak ETF Trust (the Trust, including its separate series, the Funds), a management investment company organized under the laws of the State of Delaware and registered with the Securities and Exchange Commission (SEC) under the Investment Company Act of 1940 (the 1940 Act), on behalf of its Funds listed on Exhibit A and BROWN BROTHERS HARRIMAN & CO., a limited partnership formed under the laws of the State of New York (BBH&Co. or, when referring to BBH&Co. in its capacity as custodian, the Custodian, and when referring to BBH&Co. in its capacity as transfer agent, TA).
ContractSecurities Lending Agency Agreement • October 20th, 2015 • Pointbreak ETF Trust • New York
FORM OF SECURITIES LENDING AGENCY AGREEMENT dated as of [ ] between each of the investment companies listed on Schedule 1 hereto (each, the “Fund”), and Brown Brothers Harriman & Co., a New York limited partnership with an office in Boston, Massachusetts (“BBH&Co.”).
FORM OF INITIAL CAPITAL AGREEMENTInitial Capital Agreement • October 20th, 2015 • Pointbreak ETF Trust
THIS INITIAL CAPITAL AGREEMENT is entered into as of October 16, 2015 by and between POINTBREAK ADVISERS LLC with its principal office at 915 Creed Road, Oakland CA 94610 (“Purchaser”) and POINTBREAK ETF TRUST, a Delaware statutory trust, with its principal office at 915 Creed Road, Oakland, CA 94610 (the “Trust”).
Index License Agreement between Solactive AG Guiollettstr. 54 60325 Frankfurt am Main - hereinafter referred to as “Solactive” - and Pointbreak Advisers LLC on behalf of itself and Pointbreak ETF Trust - hereinafter referred to as “Licensee” - jointly...Index License Agreement • October 20th, 2015 • Pointbreak ETF Trust
Marketing Agreement for Vendors and Re-vendors, this shall not give rise to any claims on the part of the Licensee against Solactive. If Solactive becomes aware of any abuse, it will however endeavour to prohibit it as soon as possible.
