ALPS SERIES TRUST CLARKSTON CAPITAL PARTNERS, LLC INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • January 28th, 2020 • ALPS Series Trust • Colorado
This Agreement is made and entered into effective as of February 13, 2019, 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”).
ContractGlobal Custody Agreement • January 28th, 2020 • ALPS Series Trust • New York
This Amended and Restated Global Custody Agreement (“Amended and Restated Agreement”) is made as of, January 23, 2020 by and between ALPS Series Trust ("Principal") and MUFG Union Bank, N.A. ("Custodian"), and hereby supersedes that certain Custody Agreement dated as of November 29, 2012, the Addendum to Custody Agreement for Special Assets, and other supplements thereto (collectively, the “Custody Agreement”), by and between Custodian and Principal, and any amendments thereof. This Amended and Restated Agreement shall be effective as of January 23, 2020.
DDJ CAPITAL MANAGEMENT, LLCExpense Limitation Agreement • January 28th, 2020 • ALPS Series Trust
This letter (the “Agreement”) 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 below.
BEACON INVESTMENT ADVISORY SERVICES, INC.Management Fee Agreement • January 28th, 2020 • ALPS Series Trust
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 below.
SEVEN CANYONS ADVISORS, LLCManagement Fee Agreement • January 28th, 2020 • ALPS Series Trust
This letter (the “Agreement”) confirms the agreement of Seven Canyons Advisors, LLC (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 below.
MASTER LIQUDITY RISK MANAGEMENT ADDENDUM to the Administration, Bookkeeping and Pricing Services Agreement(s)Administration, Bookkeeping and Pricing Services Agreement • January 28th, 2020 • ALPS Series Trust • Colorado
This Master Liquidity Risk Management Addendum (this “Addendum”), dated as of October 31, 2019, with retroactive effectiveness as may be described herein, and is attached to and made part of all those respective Administration, Bookkeeping and Pricing Services Agreement(s) identified in Appendix II, each by and between ALPS Fund Services, Inc., a Colorado corporation (“ALPS”) and ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the Funds applicable to such Agreement.
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT AMENDMENT NO. 1Chief Compliance Officer Services Agreement • January 28th, 2020 • ALPS Series Trust
This amendment (the “Amendment”) between the parties signing below (“Parties”) is entered into on October 17, 2019 and amends the Existing Agreement retroactively as described herein:
ALPS SERIES TRUST AMERICAN INDEPENDENCE KANSAS TAX-EXEMPT BOND FUND INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • January 28th, 2020 • ALPS Series Trust • Delaware
This Agreement is made and entered into effective as of September 23, 2019, by and between the ALPS Series Trust (“Trust”), a Delaware statutory trust, on behalf of the American Independence Kansas Tax-Exempt Bond Fund, a series of shares of the Trust (the “Fund”), and Carret Asset Management, LLC, a Delaware limited liability company (“Adviser”).
CARRET ASSET MANAGEMENT, LLCExpense Limitation Agreement • January 28th, 2020 • ALPS Series Trust
This letter agreement confirms the agreement of Carret Asset Management, LLC (“Adviser”) with the Trust to contractually limit the total amount of the “Management Fees” that it is entitled to receive and to reimburse “Other Expenses” to the extent required.
CLARKSTON CAPITAL PARTNERS, LLCManagement Fee Agreement • January 28th, 2020 • ALPS Series Trust
This letter (the “Agreement”) confirms the agreement of Clarkston Capital Partners, LLC (the “Adviser”) with the Trust to contractually limit the total amount of the “Management Fees” that it is entitled to receive from the Clarkston Funds and to reimburse “Other Expenses” to the extent required below.
AMENDMENT 3Distribution Agreement • January 28th, 2020 • ALPS Series Trust
Except as amended hereby, all terms of the Existing Agreement remain in full force and effect. This Amendment includes the amendments in Schedule A and general terms in Schedule B.
