Alternative Strategies Fund Sample Contracts

INVESTMENT ADVISORY AGREEMENT Between ALTERNATIVE STRATEGIES FUND and LADENBURG THALMANN ASSET MANAGEMENT, INC.
Investment Advisory Agreement • October 18th, 2019 • Alternative Strategies Fund • New York

AGREEMENT, made as of May 3, 2019, between ALTERNATIVE STRATEGIES FUND, a Delaware statutory trust (the "Trust"), and LADENBURG THALMANN ASSET MANAGEMENT, INC. a Delaware corporation (the "Adviser") located at 277 Park Avenue, 26th Floor, New York, New York 10172.

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AGREEMENT AND DECLARATION OF TRUST of
Agreement and Declaration of Trust • July 15th, 2010 • Ladenburg Thalmann Alternative Strategies Fund • Delaware
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By-Laws of LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND
Ladenburg Thalmann Alternative Strategies Fund • July 15th, 2010
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FUND SERVICES AGREEMENT between LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND and
Fund Services Agreement • September 13th, 2010 • Ladenburg Thalmann Alternative Strategies Fund • New York

THIS FUND SERVICES AGREEMENT (the “Agreement”) made as of the 17TH day of June, 2010, by and between LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND, a Delaware statutory trust having its principal office and place of business at 520 Madison Avenue, New York, New York 10022 (the "Trust") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 4020 South 147th Street, Omaha, Nebraska 68137 (“GFS”). This Agreement replaces and supersedes all prior understandings and agreements between the parties hereto for the services described below.

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AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST
Agreement and Declaration of Trust • September 13th, 2010 • Ladenburg Thalmann Alternative Strategies Fund • Delaware
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AMENDED AND RESTATED CONSULTING AGREEMENT
Consulting Agreement • December 10th, 2021 • Alternative Strategies Fund • Nebraska

dated November 10, 2021 (the “Effective Date”), is entered into by and between ALTERNATIVE STRATEGIES FUND, a Delaware statutory trust having its office and principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the “Fund”), and NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company having its office and principal place of business at 80 Arkay Drive, Suite 110, Hauppauge, New York 11788 (“NLCS”).

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FUND SERVICES AGREEMENT between ALTERNATIVE STRATEGIES FUND
Fund Services Agreement • October 25th, 2022 • Alternative Strategies Fund • New York

THIS FUND SERVICES AGREEMENT (the “Agreement”) made as of the 13th day of December, 2021 (the “Effective Date”), by and between ALTERNATIVE STRATEGIES FUND, a Delaware statutory trust having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the “Trust”) and ULTIMUS FUND SOLUTIONS, LLC, an Ohio limited liability company having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (“UFS”). This Agreement replaces and supersedes all prior understandings and agreements between the parties hereto for the services described below.

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CUSTODIAN AGREEMENT
Custodian Agreement • September 13th, 2010 • Ladenburg Thalmann Alternative Strategies Fund • California

This Custodian Agreement is made by and between LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND, on behalf of each series listed on Schedule I, which may be amended from time to time ("Principal"), and UNION BANK, N.A. ("Custodian"). Principal desires that Custodian hold and administer on behalf of Principal certain Securities (as herein defined). Custodian is willing to do so on the terms and conditions set forth in this Agreement. Accordingly, Principal and Custodian agree as follows:

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INVESTMENT ADVISORY AGREEMENT Between ALTERNATIVE STRATEGIES FUND and SCG ASSET MANAGEMENT, LLC
Investment Advisory Agreement • October 25th, 2022 • Alternative Strategies Fund • New York

AGREEMENT, made as of December 13, 2021, between ALTERNATIVE STRATEGIES FUND, a Delaware statutory trust (the "Trust"), and SCG ASSET MANAGEMENT, LLC, a New York limited liability company (the "Adviser"), located at 2132 Deep Water Lane, Suite 232, Naperville, Illinois, 60564.

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ALTERNATIVE STRATEGIES FUND OPERATING EXPENSES LIMITATION AGREEMENT ALTERNATIVE STRATEGIES FUND
Strategies Fund Operating Expenses Limitation Agreement • October 25th, 2022 • Alternative Strategies Fund • New York

THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is effective as of the 13th day of December 2021 by and between ALTERNATIVE STRATEGIES FUND, a Delaware statutory trust (the “Trust”), on behalf of the ALTERNATIVE STRATEGIES FUND, (the “Fund”) a series of the Trust and the Advisor of such Fund, SCG Asset Management LLC (the “Advisor”).

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1.2 Administrative Services. The Trust has engaged the services of an administrator. The Adviser shall provide such additional administrative services as reasonably requested by the Board of Trustees or officers of the Trust; provided, that the...
Agreement • September 13th, 2022 • Alternative Strategies Fund • New York
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THIRD AMENDMENT TO FUND SERVICES AGREEMENT
Fund Services Agreement • September 29th, 2021 • Alternative Strategies Fund

THIS THIRD Amendment TO FUND SERVICES AGREEMENT (this “Amendment”) is effective as of January 1, 2020, and is made by and between Gemini Fund Services, LLC, a Nebraska limited liability company (“GFS”), and Alternative Strategies Fund (formerly, Ladenburg Thalmann Alternative Strategies Fund), a Delaware statutory trust (the “Trust”).

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Ladenburg Thalmann & Co. Inc. New York, NY 10022 Dealer’s Agreement
S Agreement • September 13th, 2010 • Ladenburg Thalmann Alternative Strategies Fund • New York

Ladenburg Thalmann & Co. Inc. (“Underwriter”) invites you, as a selected dealer, to participate as principal in the distribution of shares (the “Shares”) of Ladenburg Thalmann Alternative Strategies Fund, Inc. (the “Fund”), of which it is the exclusive underwriter. Underwriter agrees to sell to you, subject to any limitations imposed by the Fund, 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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SHAREHOLDER SERVICING PLAN AND AGREEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940
Shareholder Servicing Plan and Agreement • September 13th, 2010 • Ladenburg Thalmann Alternative Strategies Fund

This is a SHAREHOLDER SERVICES AGREEMENT (the “Plan”) made as of June 17, 2010 by and between Ladenburg Thalmann Alternative Strategies Fund (the “Fund,”), and the distributor for the Fund, Ladenburg Thalmann & Co, Inc. (the “DISTRIBUTOR”).

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ALTERNATIVE STRATEGIES FUND OPERATING EXPENSES LIMITATION AGREEMENT ALTERNATIVE STRATEGIES FUND
Strategies Fund Operating Expenses Limitation Agreement • October 27th, 2016 • Alternative Strategies Fund • New York

THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is effective as of the 12th day of August, 2010, as amended August 12, 2014, November 16, 2015 and August 24, 2016 by and between ALTERNATIVE STRATEGIES FUND, a Delaware statutory trust (the “Trust”), on behalf of the ALTERNATIVE STRATEGIES FUND, (the “Fund”) a series of the Trust and the Advisor of such Fund, Ladenburg Thalmann Asset Management, Inc. (the “Advisor”).

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SUBSCRIPTION AGREEMENT BETWEEN THE FUND AND THE INVESTOR LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND LETTER OF INVESTMENT INTENT
Subscription Agreement • September 13th, 2010 • Ladenburg Thalmann Alternative Strategies Fund

The undersigned (the "Purchaser") hereby subscribes to purchase a beneficial interest ("Interest") in the Ladenburg Thalmann Alternative Strategies Fund, in the amount of $100,000.00 for 10,000 shares at net asset value of $10.00 per share, in consideration for which the Purchaser agrees to transfer to you upon demand cash in the amount of $100,000.00.

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LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND OPERATING EXPENSES LIMITATION AGREEMENT LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND
Expenses Limitation Agreement • September 13th, 2010 • Ladenburg Thalmann Alternative Strategies Fund • New York

THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is effective as of the 12th day of August, 2010, by and between LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND, a Delaware statutory trust (the “Trust”), on behalf of the LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND, (the “Fund”) a series of the Trust and the Advisor of such Fund, Ladenburg Thalmann Asset Management, Inc. (the “Advisor”).

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ALTERNATIVE STRATEGIES FUND OPERATING EXPENSES LIMITATION AGREEMENT
Strategies Fund Operating Expenses Limitation Agreement • October 18th, 2019 • Alternative Strategies Fund • New York

THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is effective as of the 12th day of August, 2010, as amended August 12, 2014, November 16, 2015, August 24, 2016 and August 20, 2019 by and between ALTERNATIVE STRATEGIES FUND, a Delaware statutory trust (the “Trust”), on behalf of the ALTERNATIVE STRATEGIES FUND, (the “Fund”) a series of the Trust and the Advisor of such Fund, Ladenburg Thalmann Asset Management, Inc. (the “Advisor”).

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UNDERWRITING AGREEMENT Between LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND and LADENBURG THALMANN & CO, INC.
Underwriting Agreement • September 13th, 2010 • Ladenburg Thalmann Alternative Strategies Fund • New York

THIS UNDERWRITING AGREEMENT made the 17th day of June 2010 by and between LADENBURG THALMANN ALTERNATIVE STRATEGIES FUND, a Delaware statutory trust, having its principal office and place of business at 520 Madison Avenue, New York, New York 10022 (the “Trust”), and LADENBURG THALMANN & CO, INC, a Delaware corporation having its principal office and place of business at 520 Madison Avenue, New York, New York (“Ladenburg”).

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AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST of Alternative Strategies Fund a Delaware Statutory Trust TABLE OF CONTENTS Page ARTICLE I. Name and Definitions 3 Section 1 Name. 2 Section 2. Registered Agent and Registered Office; Principal...
Agreement and Declaration • September 13th, 2022 • Alternative Strategies Fund • Delaware
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