FORM OF PENSERRA CAPITAL MANAGEMENT LLC SUB-ADVISORY AGREEMENTSub-Advisory Agreement • June 28th, 2019 • Guinness Atkinson Funds • New York
Sub-Advisory Agreement (this “Agreement”) entered into as of the ___ day of ___, 2019, by and between GUINNESS ATKINSON ASSET MANAGEMENT, INC., a Delaware corporation (the “Adviser”) and PENSERRA CAPITAL MANAGEMENT LLC, a registered investment advisor organized under the laws of the State of New York (the “Sub-Adviser”).
ETF DISTRIBUTION AGREEMENTDistribution Agreement • June 28th, 2019 • Guinness Atkinson Funds • Delaware
This Distribution Agreement (the “Agreement”) is made this __ day of ______, 2019, by and between GUINNESS ATKINSON FUNDS, a Delaware statutory trust (the “Trust”) having its principal place of business at ____________, and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101.
FORM OF AUTHORIZED PARTICIPANT AGREEMENT Guinness Atkinson FundsAuthorized Participant Agreement • June 28th, 2019 • Guinness Atkinson Funds • New York
This Authorized Participant Agreement (the “Agreement”) is entered into by and between Foreside Fund Services, LLC (the “Distributor”) and __________ (the “Participant”) and is subject to acceptance by [Name of Transfer Agent/Index Receipt Agent] (the “[Transfer Agent/Index Receipt Agent]”), and is further subject to acknowledgement and agreement by Guinness Atkinson Funds (the “Trust”), a series trust offering a number of portfolios of securities (each a “Fund” and collectively the “Funds”), solely with respect to Sections 4(c) and 12(c) 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”).
FORM OF INVESTMENT ADVISORY AGREEMENT between GUINNESS ATKINSON FUNDS and GUINNESS ATKINSON ASSET MANAGEMENT, LLCInvestment Advisory Agreement • June 28th, 2019 • Guinness Atkinson Funds • Delaware
INVESTMENT ADVISORY AGREEMENT, dated as of _________, 2019 by and between GUINNESS ATKINSON FUNDS, a Delaware statutory trust which may issue one or more series of shares of beneficial interest (the “Trust”), and GUINNESS ATKINSON ASSET MANAGEMENT, INC. (the “Advisor”), a Delaware corporation.
FORM OF 4th AMENDMENT TO FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • June 28th, 2019 • Guinness Atkinson Funds
THIS AMENDMENT dated ________________, 2019 to the Fund Administration Servicing Agreement dated September 14, 2009 (the “Agreement”) as amended from time to time, is entered by and between Guinness Atkinson Funds, a Delaware statutory trust (the “Trust”) and Mutual Fund Administration, LLC, a California limited liability company (“MFAC LLC”).
Form of AMENDMENT TO CUSTODIAN AGREEMENTCustodian Agreement • June 28th, 2019 • Guinness Atkinson Funds
THIS AMENDMENT TO CUSTODIAN AGREEMENT (this “Amendment”) is made as of _____________, 2019 by and between BROWN BROTHERS HARRIMAN & CO., a limited partnership organized under the laws of the State of New York (“BBH&Co.” or the “Custodian”), and GUINNESS ATKINSON FUNDS, a Delaware statutory trust (the “Trust”), on behalf of each of its series portfolios listed on Exhibit A to the Agreement (each a “Fund” and collectively, the “Funds”), registered with the Securities and Exchange Commission under the Investment Company Act of 1940.
