0001398344-22-001325 Sample Contracts
CUSTODY AGREEMENT Dated March 15, 2021 Between UMB BANK, N.A. and ALPS SERIES TRUST CUSTODY AGREEMENTCustody Agreement • January 28th, 2022 • ALPS Series Trust
This agreement made as of the date first set forth above between UMB Bank, n.a., a national banking association with its principal place of business located in Kansas City, Missouri (hereinafter "Custodian"), and severally and not jointly, each of the Funds listed on Appendix B hereof, together with such additional Funds which shall be made parties to this Agreement by the execution of Appendix B hereto (individually, a "Fund" and collectively, the "Funds").
Standard Contracts
BEACON FUNDS AMENDMENT NO. 1Transfer Agency and Services Agreement • January 28th, 2022 • 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 hereto.
BEACON FUNDS AMENDMENT NO. 2Administration, Bookkeeping and Pricing Services Agreement • January 28th, 2022 • 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 hereto.
DDJ CAPITAL MANAGEMENT, LLCExpense Limitation Agreement • January 28th, 2022 • 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.
Services AgreementServices Agreement • January 28th, 2022 • ALPS Series Trust • New York
This Agreement is made as of March 18, 2021 with and will be effective upon commencement of operations of the Fund, which shall not be later than March 15, 2021 (the “Effective Date”).
CLARKSTON FUNDS AMENDMENT NO. 1Master Liquidity Risk Management Addendum to Administration, Bookkeeping and Pricing Services Agreement • January 28th, 2022 • 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 hereto.
CLARKSTON CAPITAL PARTNERS, LLCManagement Fee Agreement • January 28th, 2022 • 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:
Form of Beacon Funds – Amendment No. 3Administration, Bookkeeping and Pricing Services Agreement • January 28th, 2022 • 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 hereto.
CARRET KANSAS TAX-EXEMPT BOND FUND AMENDMENT NO. 1Administration, Bookkeeping and Pricing Services Agreement • January 28th, 2022 • 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 hereto.
CLARKSTON FUNDS AMENDMENT NO. 2Transfer Agency and Services Agreement • January 28th, 2022 • 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 hereto.
SEVEN CANYONS FUNDS AMENDMENT NO. 3Transfer Agency and Services Agreement • January 28th, 2022 • 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 hereto.
BEACON INVESTMENT ADVISORY SERVICES, INC. 163 Madison Avenue, Suite 600 Morristown, NJ 07960Expense Limitation Agreement • January 28th, 2022 • ALPS Series Trust
Hillman Capital Management, Inc.Letter Agreement • January 28th, 2022 • ALPS Series Trust
This letter confirms the agreement of Hillman Capital Management, Inc. (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.
CARRET ASSET MANAGEMENT, LLC 320 Park Avenue, 18th Floor New York, NY 10022Management Fee Agreement • January 28th, 2022 • ALPS Series Trust
ASSIGNMENT OF CUSTODY AGREEMENTAssignment of Custody Agreement • January 28th, 2022 • ALPS Series Trust
THIS AGREEMENT (the "Assignment"), is made and entered into as of this 14th day of July, 2021 among ALPS Series Trust, a Delaware statutory trust (the "Trust"), on behalf of the separate series of the Trust listed on Appendix A hereto (each a “Portfolio” and collectively, the “Portfolios”), MUFG Union Bank, N.A. ("Union Bank"), and U.S. Bank, N.A. ("U.S. Bank"), each a national banking association organized and existing under the laws of the United States of America.
CLARKSTON FUNDS AMENDMENT NO. 3Administration, Bookkeeping and Pricing Services Agreement • January 28th, 2022 • 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 hereto.
Form of Beacon Funds – Amendment No. 2Transfer Agency and Services Agreement • January 28th, 2022 • 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 hereto.
AMENDMENT NO. 3 TO ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENTAdministration, Bookkeeping and Pricing Services Agreement • January 28th, 2022 • ALPS Series Trust
This amendment (the “Amendment”) between the parties signing below (“Parties”) amends the Existing Agreement effective as of July 1, 2020 (“Amendment Effective Date”):
