ALPS SERIES TRUST AMERICAN INDEPENDENCE FUNDS CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • September 25th, 2018 • ALPS Series Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of September 24, 2018 (the “Effective Date”) by and between ALPS Series Trust (the “Trust”), a Delaware statutory trust, on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • September 25th, 2018 • ALPS Series Trust • Colorado
THIS AGREEMENT is made as of September 24, 2018, between ALPS Series Trust (the “Trust”), a Delaware statutory trust under the laws of the state of Delaware, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
ALPS SERIES TRUST AMERICAN INDEPENDENCE GLOBAL TACTICAL ALLOCATION FUND AMERICAN INDEPENDENCE KANSAS TAX-EXEMPT BOND FUND INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • September 25th, 2018 • ALPS Series Trust • Delaware
This Agreement is made and entered into effective as of September 24, 2018, by and between the ALPS Series Trust (“Trust”), a Delaware statutory trust, on behalf of the American Independence Global Tactical Allocation Fund (“GTA Fund”) and the American Independence Kansas Tax-Exempt Bond Fund (“Kansas Fund”), each a series of shares of the Trust (collectively, “Funds” and individually, a “Fund”), and Manifold Partners, LLC, a Delaware limited liability company (“Adviser”).
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • September 25th, 2018 • ALPS Series Trust • Colorado
This Investment Sub-Advisory Agreement made as of the 24th day of September, 2018, by and among ALPS Series Trust, a Delaware statutory trust, located at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (the “Trust”), Carret Asset Management, LLC, , a Delaware limited liability company, located at 320 Park Avenue, 18th Floor, New York, New York 10022, (the “Sub-Adviser”), and Manifold Partners, LLC a Delaware limited liability company located at 75 Virginia Road, Box 14, North White Plains, New York 10603 (the “Adviser”).
PRICING SERVICES AGREEMENTAdministration, Bookkeeping and Pricing Services Agreement • September 25th, 2018 • ALPS Series Trust • Colorado
THIS AGREEMENT is made as of September 24, 2018, between ALPS Series Trust, organized as a Delaware statutory trust (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
ALPS SERIES TRUST dDJ OPPORTUNISTIC HIGH YIELD FUND aMENDMENT No. 2 TO ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENTAdministration, Bookkeeping and Pricing Services Agreement • September 25th, 2018 • ALPS Series Trust
This Amendment No. 2 dated as of August 23, 2018 (this “Amendment”) is to the Administration, Bookkeeping and Pricing Services Agreement dated July 15, 2015 (the “Agreement”), by and between ALPS Series Trust (the “Trust”), organized as a Delaware statutory trust, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
MANIFOLD PARTNERS, LLCExpense Limitation Agreement • September 25th, 2018 • ALPS Series Trust
This letter agreement confirms the agreement of Manifold Partners, LLC (“Adviser”) with the Trust to contractually limit the total amount of the “Management Fees” that it is entitled to receive from a Fund and to reimburse “Other Expenses” to the extent required.
CUSTODIAN AGREEMENTCustodian Agreement • September 25th, 2018 • ALPS Series Trust • Delaware
If any provision of this Agreement shall be held to be invalid, unlawful or unenforceable, the validity, legality and enforceability of the remaining provisions shall not in any way be affected or impaired. The failure of a party hereto to insist upon strict adherence to any term of this Agreement on any occasion or the failure of a party hereto to exercise or any delay in exercising any right or remedy under this Agreement shall not constitute a waiver of any the term, right or remedy or a waiver of any other rights or remedies, and no single or partial exercise of any right or remedy under this Agreement shall prevent any further exercise of the right or remedy or the exercise of any other right or remedy.
ALPS SERIES TRUST CLARKSTON PARTNERS FUND CLARKSTON FUND CLARKSTON FOUNDERS FUND CLARKSTON SELECT FUND aMENDMENT No. 2 TO ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENTAdministration, Bookkeeping and Pricing Services Agreement • September 25th, 2018 • ALPS Series Trust
This Amendment No. 2 dated as of August 23, 2018 (this “Amendment”) is to the Administration, Bookkeeping and Pricing Services Agreement dated September 8, 2015 (the “Agreement”), by and between ALPS Series Trust (the “Trust”), organized as a Delaware statutory trust, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
ALPS SERIES TRUST INSIGNIA MACRO FUND aMENDMENT No. 1 TO ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENTAdministration, Bookkeeping and Pricing Services Agreement • September 25th, 2018 • ALPS Series Trust
This Amendment No. 1 dated as of August 23, 2018 (this “Amendment”) is to the Administration, Bookkeeping and Pricing Services Agreement dated December 9, 2013 (the “Agreement”), by and between ALPS Series Trust (the “Trust”), organized as a Delaware statutory trust, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
SHARE PURCHASE AGREEMENT ALPS SERIES TRUST On behalf of its series, American Independence Global Tactical Allocation Fund and American Independence Kansas Tax-Exempt Bond Fund (the “Funds”)Share Purchase Agreement • September 25th, 2018 • ALPS Series Trust
This Agreement is made effective as of the 24th day of September, 2018 between ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation, and ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the Funds.
Amendment No. 2 to Distribution AgreementDistribution Agreement • September 25th, 2018 • ALPS Series Trust
This Amendment No. 2 to the Distribution Agreement (this “Amendment”) between ALPS Series Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (the “Distributor”), is effective as of September 24, 2018.
ALPS SERIES TRUST BEACON ACCELERATED RETURN STRATEGY FUND BEACON PLANNED RETURN STRATEGY FUND aMENDMENT No. 1 TO ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENTAdministration, Bookkeeping and Pricing Services Agreement • September 25th, 2018 • ALPS Series Trust
This Amendment No. 1 dated as of as of August 23, 2018 (this “Amendment”) is to the Administration, Bookkeeping and Pricing Services Agreement dated October 2, 2017 (the “Agreement”), by and between ALPS Series Trust (the “Trust”), organized as a Delaware statutory trust, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
Amendment to Global Custody Agreement (For Foreign and Domestic Securities)Global Custody Agreement • September 25th, 2018 • ALPS Series Trust
This Amendment is dated September 7, 2018 (“Effective Date”) to the Global Custody Agreement (For Foreign and Domestic Securities), dated November 29, 2012, as amended (the “Agreement”), and is entered into by and between ALPS Series Trust, a Delaware statutory trust (the “Trust”), and MUFG Union Bank, National Association (f/k/a Union Bank, N.A.) (the “Custodian”).
ALPS SERIES TRUST INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • September 25th, 2018 • ALPS Series Trust • Colorado
This Investment Advisory Agreement (this “Agreement”) is made and entered into as of this 6th day of July, 2018, by and between Meritage Capital, LLC (the “Adviser”), a Delaware limited liability company, and ALPS Series Trust, a Delaware statutory trust (the “Trust”), regarding the Fund listed in Appendix A attached hereto (the “Fund”).
ContractCustody Agreement • September 25th, 2018 • ALPS Series Trust
This Addendum to Custody Agreement for Special Assets is made by and between ALPS Series Trust, on behalf of each Portfolio (“Principal”) and MUFG Union Bank, N.A. (“Custodian”) with reference to that certain Custodian Agreement dated November 29, 2012 (the “Agreement”).
FORM OF SUPPLEMENT TO TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • September 25th, 2018 • ALPS Series Trust
This Supplement dated as of February 1, 2018 (this “Supplement”) is to the Transfer Agency and Services Agreement dated July 15, 2015, as amended (the “Agreement”), by and between ALPS Fund Services, Inc. and ALPS Series Trust (the “Trust”).
