AMENDED AND RESTATED DISTRIBUTION AGREEMENTDistribution Agreement • January 14th, 2016 • Pointbreak ETF Trust • Colorado
THIS AMENDED AND RESTATED AGREEMENT is made as of December 14, 2015, between Pointbreak ETF Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • January 14th, 2016 • Pointbreak ETF Trust • Delaware
This Amended and Restated Investment Advisory Agreement is made and entered into as of December 14, 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 • January 14th, 2016 • Pointbreak ETF Trust
This Agreement is made and entered into effective as of December 14, 2015, by and between the Pointbreak China Large-Cap 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 “Adviser”).
AUTHORIZED PARTICIPANT AGREEMENT FOR POINTBREAK ETF TRUSTAuthorized Participant Agreement • January 14th, 2016 • 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
AMENDED AND RESTATED CUSTODIAN AND TRANSFER AGENT AGREEMENTCustodian and Transfer Agent Agreement • January 14th, 2016 • Pointbreak ETF Trust • New York
THIS AMENDED AND RESTATED AGREEMENT, dated as of December 14, 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).
