CUSTODY AGREEMENT Dated May 24, 2023 Between UMB BANK, N.A. and LIST INCOME OPPORTUNITIES FUND CUSTODY AGREEMENTCustody Agreement • July 26th, 2023 • List Income Opportunities Fund
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 List Income Opportunities Fund, a Delaware statutory trust (the "Fund").
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF LIST Income Opportunities Fund a Delaware Statutory TrustAgreement and Declaration of Trust • July 26th, 2023 • List Income Opportunities Fund • Delaware
WHEREAS this Trust is authorized to issue its shares of beneficial interest in separate Series, and to issue classes of Shares of any Series or divide Shares of any Series into two or more classes, all in accordance with the provisions hereinafter set forth; and
DISTRIBUTION AGREEMENTDistribution Agreement • July 26th, 2023 • List Income Opportunities Fund • New York
THIS AGREEMENT is made as of May 24, 2023, between List Income Opportunities Fund, a Delaware statutory trust (the “Fund”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
BROKER-DEALER SELLING AGREEMENTBroker-Dealer Selling Agreement • July 26th, 2023 • List Income Opportunities Fund • Colorado
THIS BROKER-DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203, and ___________________________________, a _________________________ having its principal place of business at ________________________________________________________ (hereinafter “Broker-Dealer”).
Trust NETWORKING AgreementTrust Networking Agreement • July 26th, 2023 • List Income Opportunities Fund
AGREEMENT entered into this _____ day of _____________, 20__, by and between ALPS Distributors, Inc., with its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203 (“ALPS” or “Fund Agent”) and _______________________________________ with its principal place of business in _______________________________________ (“Trust Entity”).
Services AgreementServices Agreement • July 26th, 2023 • List Income Opportunities Fund • New York
LIST INCOME OPPORTUNITIES FUND INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • July 26th, 2023 • List Income Opportunities Fund • Delaware
This Investment Advisory Agreement (this “Agreement”) is made and entered into effective as of May 24, 2023 by and between the List Income Opportunities Fund (the “Fund”), a Delaware statutory trust and Legalist Inc., a Delaware corporation (the “Adviser”).
Fund/SERV AgreementFund/Serv Agreement • July 26th, 2023 • List Income Opportunities Fund
AGREEMENT entered into this _____ day of _____________, 20__, by and between ALPS Distributors, Inc., with its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203 (“ALPS”) and ________________ with its principal place of business in _________________ (“Trust Entity”).
SHAREHOLDER SERVICER SELLING AGREEMENTShareholder Servicer Selling Agreement • July 26th, 2023 • List Income Opportunities Fund • Colorado
THIS SHAREHOLDER SERVICER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203, and ___________________________________, a _________________________ having its principal place of business at ________________________________________________________ (hereinafter “Servicer”).
Expense Limitation AgreementExpense Limitation Agreement • July 26th, 2023 • List Income Opportunities Fund
SUBSCRIPTION AGREEMENT FOR COMMON SHARES OF BENEFICIAL INTEREST OF LIST INCOME OPPORTUNITIES FundSubscription Agreement • July 26th, 2023 • List Income Opportunities Fund
The undersigned hereby subscribes for and agrees to purchase 10,000 common shares of beneficial interest, $0.001 par value per share (the "Common Shares"), of List Income Opportunities Fund, a Delaware statutory trust (the "Trust"), at a price of $10.00 per Common Share, and request to assign ownership and purchases in such names and with such specifications as are set forth on Schedule A attached hereto, and hereby agrees to contribute cash to the Trust on the date hereof as consideration for the Common Shares of Beneficial Interest in the amount of $100,000.00 with a trade date of June 5, 2023 (the "Consideration").
