INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • March 8th, 2023 • ALPS Series Trust • Delaware
This Agreement is made as of March 8, 2023 and is effective upon commencement of operations of the first Fund, by and between the ALPS Series Trust (“Trust”), a Delaware statutory trust, on behalf of each series included on Exhibit A hereto, each a separate series of shares of the Trust (each, a “Fund”), and Brigade Capital Management, LP, a Delaware limited partnership (“Adviser”).
AMENDMENT 5Distribution Agreement • March 8th, 2023 • ALPS Series Trust
This amendment (the “Amendment”) between the parties signing below (each, a “Party” and collectively, the “Parties”) amends the Existing Agreement as of December 20, 2022 (the “Effective Date”):
ALPS SERIES TRUST BRIGADE HIGH INCOME FUNDCo-Administration Agreement • March 8th, 2023 • ALPS Series Trust • Delaware
This Agreement is made as of March 8, 2023 and is effective upon commencement of operations of the first Fund, by and between the ALPS Series Trust (“Trust”), a Delaware statutory trust, on behalf of each series included on Exhibit A hereto, each a separate series of shares of the Trust (each, a “Fund”), and Brigade Capital Management, LP, a Delaware limited partnership (“Co-Administrator”).
Services AgreementServices Agreement • March 8th, 2023 • ALPS Series Trust • New York
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • March 8th, 2023 • ALPS Series Trust • Colorado
AGREEMENT, made as of March 8, 2023 and is effective upon commencement of operations of the first Fund, by and among Brigade Capital Management, LP (the “Investment Adviser”), a limited partnership organized under the laws of Delaware with its principal place of business at 399 Park Avenue, 16th Floor, New York, New York 10022, U.S.A., ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the funds listed in Schedule A hereto, as amended from time to time, each a series of the Trust (each, a “Fund” and collectively, the “Funds”), and Brigade Capital UK LLP, a UK Limited Liability Partnership (the “Sub-Adviser”), having its principal place of business at Southwest House, 11A Regent Street, Third Floor, London, SW1Y 4LR.
AMENDMENT 6Distribution Agreement • March 8th, 2023 • ALPS Series Trust
This amendment (the “Amendment”) between the parties signing below (each, a “Party” and collectively, the “Parties”) amends the Existing Agreement as of December 20, 2022 (the “Effective Date”):
BRIGADE CAPITAL MANAGEMENT, LP 399 Park Avenue, Suite 1600 New York, NY 10022Management Fee Limitation Agreement • March 8th, 2023 • ALPS Series Trust
This letter (the “Agreement”) confirms the agreement of Brigade Capital Management, LP (the “Adviser”) with the Trust to contractually limit the total amount of the “Management Fees” (pursuant to the Investment Advisory Agreement between the Trust, on behalf of the Fund, and the Adviser) and “Co-Administration Fees” (pursuant to the Co-Administration Agreement between the Trust, on behalf of the Fund, and the Adviser) that it is entitled to receive from the Fund and to reimburse “Other Expenses” to the extent required below.
