FORM OF AUTHORIZED PARTICIPANT AGREEMENTAuthorized Participant Agreement • August 30th, 2024 • Stone Ridge Trust • New York
This Authorized Participant Agreement (the “Agreement”) is entered into by and between [ ] (the “Distributor”) and (the “Participant”) and is subject to acceptance by U.S. Bancorp Fund Services, LLC d/b/a U.S. Bank Global Fund Services (the “Transfer Agent”), and is further subject to acknowledgement and agreement by Stone Ridge Trust (the “Trust”), a series trust offering a number of portfolios of securities (each a “Fund” and collectively the “Funds”) solely with respect to Section 2(a) herein. Capitalized terms used but not defined herein are defined in the current prospectus for each Fund as it may be supplemented or amended from time to time and included in the Trust’s Registration Statement on Form N-1A, as it may be amended from time to time, or otherwise filed with the U.S. Securities and Exchange Commission (“SEC”) (together with such Fund’s Statement of Additional Information incorporated therein, the “Prospectus”).
Fifth Amended and Restated Agreement and Declaration of Trust of Stone Ridge Trust a Delaware Statutory Trust Principal Place of Business: One Vanderbilt Avenue, 65th Floor New York, NY 10017Agreement and Declaration of Trust • August 30th, 2024 • Stone Ridge Trust • Delaware
THIS AGREEMENT AND DECLARATION OF TRUST is AMENDED AND RESTATED as of July 17, 2024 for the purpose of governing the Delaware statutory trust in accordance with the provisions hereinafter set forth.
ETF CUSTODY AGREEMENTEtf Custody Agreement • August 30th, 2024 • Stone Ridge Trust • Minnesota
THIS AGREEMENT is made and entered into as of the last date on the signature page, by and between , a [Delaware] statutory trust, (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America with its principal place of business at Minneapolis, Minnesota (the “Custodian”).
TRANSFER AGENT SERVICING AGREEMENTTransfer Agent Servicing Agreement • August 30th, 2024 • Stone Ridge Trust • Wisconsin
THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between [Trust], a (the “Trust”) U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“Fund Services”).
FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • August 30th, 2024 • Stone Ridge Trust • Wisconsin
THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between [ ], a (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“Fund Services”).
ETF FUND ACCOUNTING SERVICING AGREEMENTEtf Fund Accounting Servicing Agreement • August 30th, 2024 • Stone Ridge Trust • Wisconsin
THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between [ ], a (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“Fund Services”).
INVESTMENT MANAGEMENT AGREEMENT STONE RIDGE TRUST On behalf of each of its series listed on Schedule A heretoInvestment Management Agreement • August 30th, 2024 • Stone Ridge Trust • New York
This INVESTMENT MANAGEMENT AGREEMENT, dated and effective as of July 17, 2024 (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 each of its series listed on Schedule A (each a “Fund” and collectively, the “Funds”) attached hereto, as may be amended from time to time (“Schedule A”).
ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • August 30th, 2024 • Stone Ridge Trust • Delaware
This distribution agreement (the “Agreement”) is effective this 17th day of July, 2024, and made by Stone Ridge Trust, a Delaware statutory trust (the “Trust”) having its principal place of business at One Vanderbilt Avenue, 65th Floor New York, NY 10017, on behalf of its series listed on Exhibit A hereto (the “Funds”), and Foreside Financial Services, LLC, a Delaware limited liability company (the “Distributor”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101.
AGREEMENT AND PLAN OF REORGANIZATIONAgreement and Plan of Reorganization • August 30th, 2024 • Stone Ridge Trust • Delaware
This Agreement and Plan of Reorganization (the “Agreement”) is made as of July 17, 2024 by and between Stone Ridge Trust, an open-end series management investment company organized as a Delaware statutory trust (the “Trust”), on behalf of each series of the Trust listed under the heading “Acquired Funds” on Schedule A attached hereto (each an “Acquired Fund” and, together, the “Acquired Funds”), and the Trust, on behalf of each series of the Trust listed under the heading “Acquiring Funds” on Schedule A attached hereto (each an “Acquiring Fund” and, together, the “Acquiring Funds” and, together with the Acquired Funds, the “Funds”); and, for purposes of Section 6 only, Stone Ridge Asset Management LLC (the “Adviser”). This Agreement shall apply separately to each Acquired Fund and its corresponding Acquiring Fund as if such Funds had each entered into a separate agreement.
