AND CODE OF ETHICS (Revised August 2010)Code of Ethics • August 4th, 2011 • Shelton Greater China Fund
NIKKO ASSET MANAGEMENT CO., LTD. DISCRETIONARY INVESTMENT MANAGEMENT AGREEMENTDiscretionary Investment Management Agreement • August 4th, 2011 • Shelton Greater China Fund • New York
THIS AGREEMENT (this “Agreement”), is made and entered into as of June 9, 2011, and shall be effective as of June 12, 2011, by and between CCM Partners, L.P., a company incorporated and existing under the laws of California whose principal place of business is at 44 Montgomery Street, Suite 2100, San Francisco, California (“you” or the “Investment Adviser”), and Nikko Asset Management Co., Ltd., a company incorporated and existing under the laws of Japan whose registered office is at 9-7-1 Akasaka, Minato-ku, Tokyo, 107-6242, Japan (“we,” “us,” “our” or the “Sub-Adviser”).
TRANSFER AGENT INTERACTIVE CLIENT SERVICES AGREEMENTTransfer Agent Interactive Client Services Agreement • August 4th, 2011 • Shelton Greater China Fund • Colorado
AGREEMENT made this 3rd day of December, 2004, (the “Effective Date”) between California Investment Trust and California Investment Trust II, two trusts established under the laws of the State of Massachusetts (collectively the “Funds”) and ALPS Mutual Funds Services, Inc., a Colorado corporation having its principal office at 1625 Broadway, Suite 2200, Denver, Colorado 80202 (“ALPS”). ALPS and the Funds are collectively referred to herein as the “Parties” and individually as the “Party”.
FUND ACCOUNTING AND SERVICES AGREEMENTFund Accounting and Services Agreement • August 4th, 2011 • Shelton Greater China Fund • Colorado
Fund Accounting and Services Agreement (the “Agreement”) made this 3rd) day of December, 2004, between California Investment Trust and California Investment Trust II, two trusts, established under the laws of the State of Massachusetts (collectively the “Trust”) and ALPS Mutual Funds Services, Inc., a Colorado corporation having its principal office at 1625 Broadway, Suite 2200, Denver, Colorado 80202 (the “Agent”).
First Amendment to the Fund Accounting and Services Agreement Dated December 3, 2004, by and among California Investment Trust and California Investment Trust II and ALPS Mutual Funds Services, Inc.Fund Accounting and Services Agreement • August 4th, 2011 • Shelton Greater China Fund • Colorado
THIS AMENDMENT is made as of September 1, 2006, by and between CALIFORNIA INVESTMENT TRUST AND CALIFORNIA INVESTMENT TRUST II, (individually a “Trust” and collectively the “Trusts”) and ALPS MUTUAL FUNDS SERVICES, INC. (“ALPS”).
BLUE SKY SERVICES AGREEMENTBlue Sky Services Agreement • August 4th, 2011 • Shelton Greater China Fund • Colorado
Blue Sky Services Agreement (the “Agreement”) made this 3rd of December, 2004, between California Investment Trust and. California Investment Trust II two Funds established under the laws of the State of Massachusetts (collectively the “Funds”) and ALPS Mutual Funds Services, Inc., a Colorado corporation having its principal office at 1625 Broadway, Suite 2200, Denver, Colorado 80202 (the “Blue Sky Agent”).
MANAGEMENT AGREEMENTManagement Agreement • August 4th, 2011 • Shelton Greater China Fund • California
THIS MANAGEMENT AGREEMENT (the “Agreement”) is made as of May 27, 2011, and shall be effective as of June 12, 2011, by and between The Taiwan Greater China Trust, a Massachusetts business trust (the “Trust”), and CCM PARTNERS, a limited partnership organized and existing under the laws of the State of California (the “Manager”).
First Amendment to the Blue Sky Agreement Dated December 3, 2004, by and among California Investment Trust and California Investment Trust II and ALPS Mutual Funds Services, Inc.Blue Sky Services Agreement • August 4th, 2011 • Shelton Greater China Fund • Colorado
THIS AMENDMENT is made as of September 1, 2006, by and between CALIFORNIA INVESTMENT TRUST AND CALIFORNIA INVESTMENT TRUST II, (individually a “Fund” and collectively the “Funds”) and ALPS MUTUAL FUNDS SERVICES, INC. (“ALPS”).
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Services Agreement • August 4th, 2011 • Shelton Greater China Fund • Colorado
Transfer Agency and Services Agreement (the “Agreement”) made this 3rd day of December, 2004, between California Investment Trust and California Investment Trust II, two trusts established under the laws of the State of Massachusetts (collectively the “Trusts”) and ALPS Mutual Funds Services, Inc., a Colorado corporation having its principal office at 1625 Broadway, Suite 2200, Denver, Colorado 80202 (the “Transfer Agent”).
First Amendment to the Transfer Agent Interactive Client Services Agreement Dated December 3, 2004, by and among California Investment Trust and California Investment Trust II and ALPS Mutual Funds Services, Inc.Transfer Agent Interactive Client Services Agreement • August 4th, 2011 • Shelton Greater China Fund • Colorado
THIS AMENDMENT is made as of September 1, 2006, by and between CALIFORNIA INVESTMENT TRUST AND CALIFORNIA INVESTMENT TRUST II, two trusts established as Massachusetts business trusts (individually a “Trust” and collectively the “Trusts”) and ALPS MUTUAL FUNDS SERVICES Inc., a corporation organized under the laws of the State of Colorado, (“ALPS”).
SHELTON GREATER CHINA FUND San Francisco, California 94104Underwriting Agreement • August 4th, 2011 • Shelton Greater China Fund • New York
We are a Massachusetts business trust operating as an open-end management investment company (hereinafter referred to as the "Trust"). As such, the Trust is registered under the Investment Company Act of 1940, as amended (the "1940 Act"), and its shares are registered under the Securities Act of 1933, as amended (the "1933 Act"). Each series of shares of beneficial interest (each, a "Fund" and collectively, the "Funds") authorized for issuance by the Trust are listed in Appendix "A" hereto, as such Appendix may be amended from time to time. Each series constitutes a distinct and separate investment portfolio for shareholders of such shares. The terms of this Agreement shall apply equal force to each Fund. We desire to offer and sell shares of beneficial interest of the Funds (the "Shares") to the public in accordance with the applicable federal and state securities laws.
First Amendment to the Transfer Agency and Service Agreement Dated December 3, 2004, by and among California Investment Trust and California Investment Trust II and ALPS Mutual Funds Services, Inc.Transfer Agency and Service Agreement • August 4th, 2011 • Shelton Greater China Fund • Colorado
THIS AMENDMENT is made as of September 1, 2006, by and between CALIFORNIA INVESTMENT TRUST AND CALIFORNIA INVESTMENT TRUST II, (individually a “Trust” and collectively the “Trusts”) and ALPS MUTUAL FUNDS SERVICES, INC. (“ALPS”).
Second Amendment to the Transfer Agent Interactive Client Services Agreement Dated December 3, 2004, by and among California Investment Trust and California Investment Trust II and ALPS Mutual Funds Services, Inc.Transfer Agent Interactive Client Services Agreement • August 4th, 2011 • Shelton Greater China Fund • Colorado
THIS AMENDMENT is made as of September 1, 2006, by and between CALIFORNIA INVESTMENT TRUST AND CALIFORNIA INVESTMENT TRUST II, (individually a “Fund” and collectively the “Funds”) and ALPS MUTUAL FUNDS SERVICES, INC. (“ALPS”).
