Ancora Trust Sample Contracts

EXHIBIT E-1 TRI-PARTY AGREEMENT FOR DISTRIBUTION SERVICES
Tri-Party Agreement for Distribution Services • April 28th, 2023 • Ancora Trust • Ohio

THIS AGREEMENT is made as of November 21, 2016, between Ancora Trust (the “Trust” and/or Investment Company “IC”, or “Fund”), a Delaware statutory Trust/IC, Ancora Advisors, LLC the Registered Investment Advisor (the “RIA”) a Delaware corporation, and Arbor Court Capital (“ACC”), a limited liability corporation organized and existing under the laws of the State of Ohio.

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EXHIBIT h2 TRANSFER AGENT AGREEMENT
Transfer Agent Agreement • April 28th, 2006 • Ancora Trust • Ohio

THIS AGREEMENT is made and entered into this 3rd day of May, 2005, by and between the Ancora Trust (the “Trust”), an Ohio business trust having its principal place of business at 2000 Auburn Dr, Ste 420, Cleveland, OH 44122, and Mutual Shareholder Services, LLC, a Delaware Limited Liability Company (“MSS”).

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EXHIBIT h3 ACCOUNTING SERVICES AGREEMENT
Accounting Services Agreement • April 28th, 2006 • Ancora Trust • Ohio

THIS AGREEMENT is made and entered into this 3rd day of May, 2005, by and between the Ancora Trust (the “Trust”), an Ohio business trust having its principal place of business at 2000 Auburn Dr, Ste 420, Cleveland, OH 44122, and Mutual Shareholder Services, LLC, a Delaware Limited Liability Company (“MSS”).

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CUSTODY AGREEMENT
Custody Agreement • November 26th, 2003 • Ancora Trust • Minnesota

This AGREEMENT, dated as of November _____, 2003, by and between the Ancora Trust (the Trust ), a business trust organized under the laws of the State of Ohio, acting for and on behalf of Ancora Income Fund, Ancora Equity Fund, Ancora Special Opportunity Fund and Ancora Bancshares (each, a “Fund”), which is operated and maintained by the Trust for the benefit of the holders of shares of the fund(s), and U.S. BANK, N.A., (the "Custodian").

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EXHIBIT E1 DISTRIBUTION AGREEMENT
Distribution Agreement • April 28th, 2006 • Ancora Trust • Ohio

This Agreement made as of July 1, 2005, between the Ancora Trust, an Ohio business trust (the “Fund”) and Ancora Securities, Inc., a Nevada corporation (the “Distributor”).

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EXHIBIT D MANAGEMENT AGREEMENT
Management Agreement • April 27th, 2007 • Ancora Trust

THIS MANAGEMENT AGREEMENT (“Management Agreement”) is made and entered into this first day of November 2006, by and between Ancora Trust (the “Trust”) and Ancora Advisors LLC (the “Investment Advisor”). Each of the Trust and the Investment Advisor may be referred to herein as a “Party” or collectively as the “Parties.”

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DISTRIBUTION AGREEMENT
Distribution Agreement • October 15th, 2003 • Ancora Trust • Ohio
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EXHIBIT H5 FIRST AMENDMENT TO FEE WAIVER AGREEMENT
Fee Waiver Agreement • April 30th, 2013 • Ancora Trust

THIS FIRST AMENDMENT TO FEE WAIVER AGREEMENT (this “Amendment”) is made and entered into effective as of April 30, 2013 between Ancora Advisors, Inc. (the “Advisor”) and Ancora Trust (the “Trust”), on behalf of certain series of the Trust set forth in Schedule A attached hereto (each a “Fund,” and collectively, the “Funds”).

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FIRST AMENDMENT TO ADMINISTRATION AGREEMENT
Administration Agreement • April 30th, 2019 • Ancora Trust

THIS FIRST AMENDMENT TO THE ADMINISTRATION AGREEMENT (this “Amendment”) is made and entered into effective as of April 30, 2019 between The Ancora Group, Inc., an Ohio corporation (the “Administrator”) and Ancora Trust (the “Trust”), on behalf the Funds (as defined below). of each series of the Trust set forth in Schedule A attached hereto, and such other investment funds as the Trust may from time to time create (each a “Fund,” and collectively, the “Funds”).

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ANCORA TRUST FEE WAIVER AGREEMENT
Fee Waiver Agreement • September 28th, 2012 • Ancora Trust

THIS FEE WAIVER AGREEMENT is made and entered into effective as of January 1, 2013 by and between Ancora Advisors, Inc. (the “Advisor”) and Ancora Trust (the “Trust”), on behalf of certain series of the Trust set forth in Schedule A attached hereto (each a “Fund,” and collectively, the “Funds”).

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EXHIBIT h-5 FIRST AMENDMENT TO 2021 FEE WAIVER AGREEMENT
Fee Waiver Agreement • April 28th, 2023 • Ancora Trust

THIS FIRST AMENDMENT TO 2021 FEE WAIVER AGREEMENT (this “Amendment”) is made and entered into effective as of April 30, 2023 between Ancora Advisors LLC (the “Advisor”) and Ancora Trust (the “Trust”), on behalf of certain series of the Trust set forth in Schedule A attached hereto, and such other investment funds as the Trust may from time to time create (each a “Fund,” and collectively, the “Funds”).

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FIRST AMENDMENT TO SHAREHOLDER SERVICES AGREEMENT
Shareholder Services Agreement • April 30th, 2019 • Ancora Trust

THIS FIRST AMENDMENT TO SHAREHOLDER SERVICES AGREEMENT (this “Amendment”) is made and entered into effective as of April 30, 2019 between The Ancora Group, Inc., an Ohio corporation (the “Provider”) and Ancora Trust (the “Trust”), on behalf of each series of the Trust set forth in Schedule A attached hereto, and such other investment funds as the Trust may from time to time create (each a “Fund,” and collectively, the “Funds”).

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EXHIBIT h5 FIFTH AMENDMENT TO FEE WAIVER AGREEMENT
Fee Waiver Agreement • April 29th, 2016 • Ancora Trust

THIS FIFTH AMENDMENT TO FEE WAIVER AGREEMENT (this “Amendment”) is made and entered into effective as of April 30, 2016 between Ancora Advisors LLC (the “Advisor”) and Ancora Trust (the “Trust”), on behalf of certain series of the Trust set forth in Schedule A attached hereto (each a “Fund,” and collectively, the “Funds”).

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NINTH AMENDMENT TO FEE WAIVER AGREEMENT
Fee Waiver Agreement • April 30th, 2020 • Ancora Trust

THIS NINTH AMENDMENT TO FEE WAIVER AGREEMENT (this “Amendment”) is made and entered into effective as of April 30, 2020 between Ancora Advisors LLC (the “Advisor”) and Ancora Trust (the “Trust”), on behalf of certain series of the Trust set forth in Schedule A attached hereto, and such other investment funds as the Trust may from time to time create (each a “Fund,” and collectively, the “Funds”).

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ADMINISTRATION AGREEMENT
Administration Agreement • October 15th, 2003 • Ancora Trust • Ohio

Ancora Trust (the “Trust”), an Ohio business trust consisting of separate series of funds including Ancora Income Fund, Ancora Equity Fund, Ancora Special Opportunity Fund and Ancora Bancshares (each a “Fund” collectively the “Funds”) and Ancora Capital Inc. (“Administrator”) agree as follows:

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ANCORA TRUST Dealer Agreement
Ancora Trust • November 26th, 2003 • Ancora Trust • Indiana

Unified Financial Securities, Inc., (the "Distributor") invites you, as a selected dealer, to participate as principal in the distribution of shares (the "Shares") of the Ancora Trust (the "Fund"), of which it is the exclusive underwriter. The Distributor agrees to sell to you, subject to any limitations imposed by the Fund or any of its Portfolios (see Exhibit A), Shares issued by the Fund and to promptly confirm each sale to you. All sales will be made according to the following terms:

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EXHIBIT h1 ADMINISTRATION AGREEMENT June 5, 2014
Exhibit H1 • April 30th, 2015 • Ancora Trust • Ohio

Ancora Trust (the “Trust”), an Ohio business trust consisting of separate series of funds including Ancora Income Fund, Ancora Equity Fund, Ancora/Thelen Small-Mid Cap Fund, Ancora MicroCap Fund and Ancora Special Opportunity Fund (each a “Fund” collectively the “Funds”) and The Ancora Group Inc. (“Administrator”) agree as follows:

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FOURTH AMENDED MANAGEMENT AGREEMENT
Fourth Amended Management Agreement • April 30th, 2021 • Ancora Trust

THIS FOURTH AMENDED MANAGEMENT AGREEMENT (“Management Agreement”) is made and entered into the 1st day of October, 2020, by and between Ancora Trust (the “Trust”) and Ancora Advisors LLC (the “Investment Advisor”). Each of the Trust and the Investment Advisor may be referred to herein as a “Party” or collectively as the “Parties.”

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EXHIBIT H5 SECOND AMENDMENT TO FEE WAIVER AGREEMENT
Fee Waiver Agreement • April 30th, 2014 • Ancora Trust

THIS SECOND AMENDMENT TO FEE WAIVER AGREEMENT (this “Amendment”) is made and entered into effective as of April 30, 2014 between Ancora Advisors, Inc. (the “Advisor”) and Ancora Trust (the “Trust”), on behalf of certain series of the Trust set forth in Schedule A attached hereto (each a “Fund,” and collectively, the “Funds”).

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EXHIBIT h5 FOURTH AMENDMENT TO FEE WAIVER AGREEMENT
Fee Waiver Agreement • April 30th, 2015 • Ancora Trust

THIS FOURTH AMENDMENT TO FEE WAIVER AGREEMENT (this “Amendment”) is made and entered into effective as of April 30, 2015 between Ancora Advisors LLC (the “Advisor”) and Ancora Trust (the “Trust”), on behalf of certain series of the Trust set forth in Schedule A attached hereto (each a “Fund,” and collectively, the “Funds”).

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SEVENTH AMENDMENT TO FEE WAIVER AGREEMENT
Fee Waiver Agreement • April 27th, 2018 • Ancora Trust

THIS SEVENTH AMENDMENT TO FEE WAIVER AGREEMENT (this “Amendment”) is made and entered into effective as of April 30, 2018 between Ancora Advisors LLC (the “Advisor”) and Ancora Trust (the “Trust”), on behalf of certain series of the Trust set forth in Schedule A attached hereto (each a “Fund,” and collectively, the “Funds”).

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SECOND AMENDMENT TO SHAREHOLDER SERVICES AGREEMENT
Shareholder Services Agreement • April 30th, 2021 • Ancora Trust

THIS SECOND AMENDMENT TO SHAREHOLDER SERVICES AGREEMENT (this “Amendment”) is made and entered into effective as of April 30, 2021 between The Ancora Group, Inc., an Ohio corporation (the “Provider”) and Ancora Trust (the “Trust”), on behalf of each series of the Trust set forth in Schedule A attached hereto, and such other investment funds as the Trust may from time to time create (each a “Fund,” and collectively, the “Funds”).

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SELLING AGREEMENT
Selling Agreement • October 15th, 2003 • Ancora Trust • Ohio

We at Ancora Securities Inc. invite you, _____________ to distribute shares of the separate series and classes of Ancora Trust listed on Schedule A attached hereto and incorporated herein by reference (each, a “Fund” collectively, the “Funds”). We may periodically change the list of Funds by giving you written notice of the change. We are the Funds’ principal underwriter and, as agent for the Funds, we offer to sell Fund shares to you on the following terms and conditions:

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AMENDMENT NO. 1 TO TRI-PARTY AGREEMENT
Tri-Party Agreement • April 28th, 2023 • Ancora Trust

THIS AMENDMENT is made as of August 22, 2022, among Ancora Trust (the “Trust” and/or Investment Company “IC”, or “Fund”), an Ohio business Trust/IC, Ancora Advisors, LLC, an Ohio limited liability company and Arbor Court Capital (“ACC”), a limited liability corporation organized and existing under the laws of the State of Ohio.

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EXHIBIT h5 THIRD AMENDMENT TO FEE WAIVER AGREEMENT
Fee Waiver Agreement • May 30th, 2014 • Ancora Trust

THIS THIRD AMENDMENT TO FEE WAIVER AGREEMENT (this “Amendment”) is made and entered into effective as of August 1 2014 between Ancora Advisors LLC (the “Advisor”) and Ancora Trust (the “Trust”), on behalf of certain series of the Trust set forth in Schedule A attached hereto (each a “Fund,” and collectively, the “Funds”).

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MUTUAL FUND SERVICES AGREEMENT
Mutual Fund Services Agreement • November 26th, 2003 • Ancora Trust • Indiana

AGREEMENT (this “Agreement”), dated as of November 15, 2003, between the Ancora Trust, an Ohio business trust (the “Fund”), and Unified Fund Services, Inc., a Delaware corporation (“Unified”).

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EXHIBIT D FIRST AMENDED MANAGEMENT AGREEMENT
First Amended Management Agreement • April 30th, 2015 • Ancora Trust

THIS FIRST AMENDED MANAGEMENT AGREEMENT (“Management Agreement”) is made and entered into the 18th day of August, 2014, by and between Ancora Trust (the “Trust”) and Ancora Advisors LLC (the “Investment Advisor”). Each of the Trust and the Investment Advisor may be referred to herein as a “Party” or collectively as the “Parties.”

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TENTH AMENDMENT TO FEE WAIVER AGREEMENT
Fee Waiver Agreement • April 30th, 2021 • Ancora Trust

THIS TENTH AMENDMENT TO FEE WAIVER AGREEMENT (this “Amendment”) is made and entered into effective as of April 30, 2021 between Ancora Advisors LLC (the “Advisor”) and Ancora Trust (the “Trust”), on behalf of certain series of the Trust set forth in Schedule A attached hereto, and such other investment funds as the Trust may from time to time create (each a “Fund,” and collectively, the “Funds”).

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RICHARD A. BARONE One Chagrin Highlands
Ancora Trust • November 26th, 2003
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