INVESTMENT MANAGEMENT AGREEMENT STONE RIDGE TRUSTInvestment Management Agreement • June 2nd, 2020 • Stone Ridge Trust • New York
This INVESTMENT MANAGEMENT AGREEMENT, dated and effective as of January 29, 2020 (the “Agreement”), is between Stone Ridge Asset Management LLC, a Delaware limited liability company (the “Investment Manager”), and Stone Ridge Trust, a Delaware statutory trust (the “Trust”), on behalf of its series, Stone Ridge Diversified Alternatives Fund (the “Fund”).
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • June 2nd, 2020 • Stone Ridge Trust • New York
This INVESTMENT MANAGEMENT AGREEMENT, dated and effective as of January 29, 2020 (the “Agreement”), is by and between Stone Ridge Asset Management LLC, a Delaware limited liability company (the “Investment Manager”) and Stone Ridge Diversified Alternatives Sub Fund Ltd (“Diversified Alternatives Sub Fund” or the “Fund”), a Cayman Islands exempted company and a wholly-owned subsidiary of Stone Ridge Diversified Alternatives Fund (“Diversified Alternatives Fund”), an open-end management investment company registered under the Investment Company Act of 1940, as amended (the “Investment Company Act”), and a series of Stone Ridge Trust, a Delaware statutory trust (the “Trust”). The purpose of Diversified Alternatives Sub Fund is to facilitate the implementation of Diversified Alternatives Fund’s investment strategies. The Diversified Alternatives Sub Fund is a “qualified eligible person” as defined in Commodity Futures Trading Commission (“CFTC”) Rule 4.7.
FIRST AMENDMENT TO THE STONE RIDGE TRUST AMENDED AND RESTATED CUSTODY AGREEMENTCustody Agreement • June 2nd, 2020 • Stone Ridge Trust
THIS FIRST AMENDMENT, dated as of February 25, 2020, to the Amended and Restated Custody Agreement, dated as of October 30, 2017 (the “Agreement”), is entered into by and between STONE RIDGE TRUST, a Delaware statutory trust (the “Trust”) on behalf of each of its series (each a “Fund” and collectively the “Funds”) and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America (the “Custodian”).
STONE RIDGE ASSET MANAGEMENT LLCExpense Limitation Agreement • June 2nd, 2020 • Stone Ridge Trust
With reference to the Investment Management Agreement entered into by Stone Ridge Asset Management LLC (the “Adviser”) with Stone Ridge Trust (the “Trust”), on behalf of its series, Stone Ridge Diversified Alternatives Fund (the “Fund”), on the 29th day of January, 2020, we hereby notify you as follows:
FIRST AMENDMENT TO THE STONE RIDGE TRUST AMENDED AND RESTATED TRANSFER AGENT SERVICING AGREEMENTTransfer Agent Servicing Agreement • June 2nd, 2020 • Stone Ridge Trust
THIS FIRST AMENDMENT, as of the 25th day of February 2020, to the Amended and Restated Transfer Agent Servicing Agreement, dated October 30, 2017, (the “Agreement”), is entered into by and between STONE RIDGE TRUST, a Delaware statutory trust (the “Trust”) on behalf of each of its series (each a “Fund” and collectively the “Funds”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. Bank Global Fund Services, a Wisconsin limited liability company.
SECOND AMENDMENT TO THE STONE RIDGE TRUST AMENDED AND RESTATED FUND ACCOUNTING SERVICING AGREEMENTFund Accounting Servicing Agreement • June 2nd, 2020 • Stone Ridge Trust
THIS SECOND AMENDMENT, as of the 25th day of February 2020, to the Amended and Restated Fund Accounting Servicing Agreement, dated October 30, 2017, (the “Agreement”), is entered into by and between STONE RIDGE TRUST, a Delaware statutory trust (the “Trust”) on behalf of each of its series (each a “Fund” and collectively the “Funds”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. Bank Global Fund Services, a Wisconsin limited liability company.
SECOND AMENDMENT TO THE STONE RIDGE TRUST AMENDED AND RESTATED FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • June 2nd, 2020 • Stone Ridge Trust
THIS SECOND AMENDMENT, as of the 25th day of February 2020, to the Amended and Restated Fund Administration Servicing Agreement, dated October 30, 2017, (the “Agreement”), is entered into by and between STONE RIDGE TRUST, a Delaware statutory trust (the “Trust”) on behalf of each of its series (each a “Fund” and collectively the “Funds”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. Bank Global Fund Services, a Wisconsin limited liability company.
