ALPS SERIES TRUST CLARKSTON CAPITAL PARTNERS, LLC INTERIM INVESTMENT ADVISORY AGREEMENTAlps Series Trust • January 28th, 2019 • ALPS Series Trust • Colorado
This Interim Agreement is made and entered into effective as of December 31, 2018, by and between the ALPS Series Trust (the “Trust”), a Delaware statutory trust, on behalf of the funds listed in APPENDIX A hereto, each a series of shares of the Trust (collectively, the “Funds” and individually, a “Fund”), and Clarkston Capital Partners, LLC, a Michigan limited liability company (the “Adviser”).
SUPPLEMENT TO TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • January 28th, 2019 • ALPS Series Trust
This Supplement dated as of February 1, 2018 (this “Supplement”) is to the Transfer Agency and Services Agreement dated December 9, 2013, as amended (the “Agreement”), by and between ALPS Fund Services, Inc. and ALPS Series Trust (the “Trust”).
BEACON INVESTMENT ADVISORY SERVICES, INC.ALPS Series Trust • January 28th, 2019
This letter confirms the agreement of Beacon Investment Advisory Services, Inc. (the “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.
AMENDMENT NO. 1 TO ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENTPricing Services Agreement • January 28th, 2019 • ALPS Series Trust
This Amendment No. 1 dated as of March 24, 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, on behalf of the DDJ Opportunistic High Yield Fund (the “Fund”), a series of the Trust, and ALPS Fund Services, Inc. a Colorado corporation (“ALPS”).
CLARKSTON CAPITAL PARTNERS, LLCALPS Series Trust • January 28th, 2019
This letter confirms the agreement of Clarkston Capital Partners, LLC (the “Adviser”) with the Trust to contractually limit the total amount of the “Management Fees” and “Other Expenses” that it is entitled to receive from the Clarkston Funds.
AMENDMENT NO. 1 TO CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • January 28th, 2019 • ALPS Series Trust
This Amendment No. 1 dated as of March 24, 2018 (this “Amendment”) is to the Chief Compliance Officer Services Agreement dated July 15, 2015 (the “Agreement”), by and between ALPS Series Trust (the “Trust”), organized as a Delaware statutory trust, on behalf of the DDJ Opportunistic High Yield Fund (the “Fund”), a series of the Trust, and ALPS Fund Services, Inc. a Colorado corporation (“ALPS”).
DDJ CAPITAL MANAGEMENT, LLCALPS Series Trust • January 28th, 2019
This letter confirms the agreement of DDJ Capital Management, LLC (the “Adviser”) with the Trust to contractually limit the total amount of the “Management Fees” that it is entitled to receive from the Fund and to reimburse “Other Expenses” to the extent required.
January 7, 2019 Mr. Jeremy O. May President ALPS Series TrustALPS Series Trust • January 28th, 2019
AMENDMENT NO. 1 TO TRANSFER AGENCY AND SERVICES AGREEMENT SERVICES AGREEMENTTransfer Agency and Services Agreement Services Agreement • January 28th, 2019 • ALPS Series Trust
This Amendment No. 1 dated as of March 24, 2018 (this “Amendment”) is to the Transfer Agency And Services Agreement dated July 15, 2015 (the “Agreement”), by and between ALPS Series Trust (the “Trust”), organized as a Delaware statutory trust, on behalf of the DDJ Opportunistic High Yield Fund (the “Fund”), a series of the Trust, and ALPS Fund Services, Inc. a Colorado corporation (“ALPS”).
