LISTED FUNDS TRUST INVESTMENT ADVISORY AGREEMENT with Core Alternative Capital, LLCInvestment Advisory Agreement • September 27th, 2019 • Listed Funds Trust • Delaware
This INVESTMENT ADVISORY AGREEMENT (the “Agreement”) is made as of this 23rd day of September, 2019 by and between LISTED FUNDS TRUST (the “Trust”), a Delaware statutory trust, and Core Alternative Capital, LLC, a Georgia limited liability company with its principal place of business at 3930 East Jones Bridge Road, Peachtree Corners, GA 30092 (the “Adviser”).
DISTRIBUTION AGREEMENTDistribution Agreement • September 27th, 2019 • Listed Funds Trust • Delaware
THIS DISTRIBUTION AGREEMENT (the “Agreement”) entered into as of the last date on the signature page, is between LISTED FUNDS TRUST, a Delaware statutory trust (the “Trust”) and Quasar Distributors, LLC, a Delaware limited liability company (the “Distributor”). Core Alternative Capital, LLC (the “Adviser”), the investment adviser to the series of the Trust listed in Schedule A, is a party hereto with respect to Article 5 only.
CUSTODIAN AND TRANSFER AGENT AGREEMENTCustodian and Transfer Agent Agreement • July 29th, 2016 • Cambria ETF Trust • New York
THIS AGREEMENT, dated as of April 3, 2013, between Cambria ETF Trust (the Fund, including its separate series, the Portfolios), an open-end management investment company organized under the laws of the State of Delaware and registered with the Commission under the Investment Company Act of 1940 (the 1940 Act), and BROWN BROTHERS HARRIMAN & CO., a limited partnership formed under the laws of the State of New York (BBH&Co, or, when referring to BBH&Co. in its capacity as custodian, the Custodian, and when referring to BBH&Co. in its capacity as transfer agent, TA).
AMENDED AND RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • October 12th, 2016 • Cambria ETF Trust • Pennsylvania
THIS AMENDED AND RESTATED ADMINISTRATION AGREEMENT (this “Agreement”) is made as of the 15th day of November, 2012 (the “Effective Date”), by and between Cambria ETF Trust (the “Trust”) Cambria Investment Management, L.P. (the “Adviser”), solely in respect of the rights and obligations set forth in Section 8 of this Agreement, and SEI Investments Global Funds Services, a statutory trust formed under the laws of the State of Delaware (the “Administrator”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • May 22nd, 2017 • Cambria ETF Trust • Delaware
Agreement made as of March 3, 2014, between CAMBRIA ETF TRUST, a Delaware statutory trust (“Trust”), and Cambria Investment Management, L.P. (“Adviser”), a registered investment adviser under the Investment Advisers Act of 1940, as amended (“Advisers Act”).
TRADING SERVICES SUB-ADVISORY AGREEMENTTrading Services • August 28th, 2023 • Cambria ETF Trust • Delaware
This Trading Services Sub-Advisory Agreement (the “Agreement”) is made as of this 28th day of August, 2023 by and between Cambria Investment Management, L.P., a Delaware limited partnership, with its principal place of business at 3300 Highland Avenue, Manhattan Beach, CA 90266 (the “Adviser”), and Toroso Investments, LLC, a Delaware limited liability company, with its principal place of business at 234 W. Florida Street, Suite 203, Milwaukee, WI 53204 (the “Sub-Adviser”), with respect to the series of Cambria ETF Trust (the “Trust”) identified on Schedule A to this Agreement, as may be amended from time to time (each, a “Fund” and, collectively, the “Funds”).
AUTHORIZED PARTICIPANT AGREEMENTAuthorized Participant Agreement • May 3rd, 2013 • Cambria ETF Trust • Pennsylvania
This Authorized Participant Agreement (this “Agreement”) is entered into as of this ___ day of __________ 20__ (the “Effective Date”), by and between _____________________ (the “Participant”) and SEI Investments Distribution Co. (together with its affiliates, the “Distributor”), principal underwriter of Cambria ETF Trust (the “Trust”), and is subject to acceptance by the Trust and Brown Brothers Harriman & Co. as transfer agent (the “Transfer Agent” or “Index Receipt Agent”) to each investment portfolio of the Trust (each, a “Series”). Capitalized terms used herein and not otherwise defined have the meaning assigned to them in SECTION 14 of this Agreement.
AMENDMENT NO. 2 TO AMENDED & RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • October 12th, 2016 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 2 TO AMENDED & RESTATED ADMINISTRATION AGREEMENT (this “Amendment”), made this 5th day of December 2014, (the “Amendment Effective Date”), between Cambria ETF Trust (the “Trust”), and SEI Investments Global Funds Services, a statutory trust formed under the laws of the State of Delaware (“Administrator”).
DISTRIBUTION AGREEMENTDistribution Agreement • June 25th, 2020 • Cambria ETF Trust • New York
THIS AGREEMENT is made as of April 1, 2020, between Cambria ETF Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
AMENDMENT NO. 4 TO AMENDED & RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • October 12th, 2016 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 4 TO AMENDED & RESTATED ADMINISTRATION AGREEMENT (this “Amendment”), made this 19th day of July, 2016, with effect retroactively from and after April 1, 2016 (the “Amendment Effective Date”), between Cambria ETF Trust (the “Trust”), and SEI Investments Global Funds Services, a statutory trust formed under the laws of the State of Delaware (“Administrator”).
AMENDMENT NO. 2 TO DISTRIBUTION AGREEMENTDistribution Agreement • October 12th, 2016 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 2 to the Distribution Agreement (this “Amendment”), made this 16th day of September, 2014 (the “Amendment Effective Date”), by and among Cambria ETF Trust (the “Company”), a Delaware statutory trust, and SEI Investments Distribution Co. (the “Distributor”), a Pennsylvania corporation.
AMENDMENT NO. 3 TO DISTRIBUTION AGREEMENTDistribution Agreement • October 12th, 2016 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 3 to the Distribution Agreement (this “Amendment”), made this 8th day of March, 2016 (the “Amendment Effective Date”), by and among Cambria ETF Trust (the “Company”), a Delaware statutory trust, and SEI Investments Distribution Co. (the “Distributor”), a Pennsylvania corporation.
AMENDMENT NO. 5 TO AMENDED & RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • October 12th, 2016 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 5 TO AMENDED & RESTATED ADMINISTRATION AGREEMENT (this “Amendment”), made this 16th day of September 2016, (the “Amendment Effective Date”), between Cambria ETF Trust (the “Trust”), and SEI Investments Global Funds Services, a statutory trust formed under the laws of the State of Delaware (“Administrator”).
AMENDMENT TO THE LISTED FUNDS TRUST CUSTODY AGREEMENTListed Funds Trust Custody Agreement • September 27th, 2019 • Listed Funds Trust
THIS AMENDMENT to the Custody Agreement, dated as of April 25, 2019 (the “Agreement”), is entered into as of the last date on the signature block by and between LISTED FUNDS TRUST, a Delaware statutory trust (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association (the “Custodian”).
AMENDMENT NO. 3 TO AMENDED & RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • October 12th, 2016 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 3 TO AMENDED & RESTATED ADMINISTRATION AGREEMENT (this “Amendment”), made this 8th day of March 2016, (the “Amendment Effective Date”), between Cambria ETF Trust (the “Trust”), and SEI Investments Global Funds Services, a statutory trust formed under the laws of the State of Delaware (“Administrator”).
Board of Trustees Listed Funds Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 Board of Trustees Cambria ETF Trust 2321 Rosecrans Avenue, Suite 3225 El Segundo, California 90245Listed Funds Trust • September 27th, 2019
Re: Agreement and Plan of Reorganization, dated as of [●], 2019 (the “Agreement”), by and among (i) Cambria ETF Trust, a Delaware statutory trust (“Cambria Trust”), on behalf of its series, the Cambria Core Equity ETF (the “Existing Fund”); (ii) Listed Funds Trust, a Delaware statutory trust (“LiFT”), on behalf of its series, the Core Alternative ETF (the “Acquiring Fund”); and (iii) solely for the purposes of Section 9.1 of the Agreement, Core Alternative Capital, LLC, the investment adviser to the Acquiring Fund.
AMENDMENT TO THE LISTED FUNDS TRUST FUND SERVICING AGREEMENTFund Servicing Agreement • September 27th, 2019 • Listed Funds Trust
THIS AMENDMENT to the Fund Servicing Agreement, dated as of April 25, 2019 (the “Agreement”), is entered into as of the last date on the signature block, by and between LISTED FUNDS TRUST, a Delaware statutory trust (the “Trust”), and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“Fund Services”).
AMENDMENT NO. 5 TO DISTRIBUTION AGREEMENTDistribution Agreement • May 22nd, 2017 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 5 to the Distribution Agreement (this “Amendment”), made this 16th day of March, 2017 (the “Amendment Effective Date”), by and among Cambria ETF Trust (the “Company”), a Delaware statutory trust, and SEI Investments Distribution Co. (the “Distributor”), a Pennsylvania corporation.
AMENDMENT NO. 4 TO DISTRIBUTION AGREEMENTDistribution Agreement • October 12th, 2016 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 4 to the Distribution Agreement (this “Amendment”), made this 16th day of September, 2016 (the “Amendment Effective Date”), by and among Cambria ETF Trust (the “Company”), a Delaware statutory trust, and SEI Investments Distribution Co. (the “Distributor”), a Pennsylvania corporation.
FIRST AMENDMENT TO THE CAMBRIA ETF SERIES TRUST PARTIAL FUND ADMINISTRATION SERVICING AGREEMENTAdministration Servicing Agreement • December 27th, 2023 • Cambria ETF Trust
THIS AMENDMENT effective as of the last date on the signature block, to the Fund Partial Administration Servicing Agreement (the “Agreement”) dated as of September 1, 2023, is entered into by and between CAMBRIA ETF SERIES TRUST, a Delaware statutory trust (the “Trust”), and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“Fund Services”).
PARTIAL FUND ADMINISTRATION SERVICING AGREEMENTServicing Agreement • October 10th, 2023 • Cambria ETF Trust • Wisconsin
THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between CAMBRIA ETF SERIES TRUST, a Delaware Statutory Trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“USBGFS”).
AMENDMENT NO. 1 TO DISTRIBUTION AGREEMENTDistribution Agreement • August 27th, 2014 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 1 to the Distribution Agreement (this “Amendment”), made this 1st day of June, 2014, with effect retroactively from and after the 10th day of December, 2013 (the “Amendment Effective Date”), by and among Cambria ETF Trust (the “Company”), a Delaware statutory trust, and SEI Investments Distribution Co. (the “Distributor”), a Pennsylvania corporation.
SECOND AMENDMENT TO THE TRADING SERVICES SUB-ADVISORY AGREEMENTTrading Services Sub-Advisory Agreement • December 27th, 2023 • Cambria ETF Trust
This Second Amendment to the Sub-Advisory Agreement (the “Amendment”) is made as of November 16, 2023, by and between CAMBRIA INVESTMENT MANAGEMENT, L.P. (the “Adviser”) and TIDAL INVESTMENTS LLC (the “Sub-Adviser”).
AMENDMENT NO. 7 TO DISTRIBUTION AGREEMENTDistribution Agreement • September 10th, 2018 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 7 to the Distribution Agreement (this “Amendment”), made this 6th day of September, 2018 (the “Amendment Effective Date”), by and among Cambria ETF Trust (the “Company”), a Delaware statutory trust, and SEI Investments Distribution Co. (the “Distributor”), a Pennsylvania corporation.
AMENDMENT NO. 6 TO DISTRIBUTION AGREEMENTDistribution Agreement • February 5th, 2018 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 6 to the Distribution Agreement (this “Amendment”), made this 5th day of February, 2018 (the “Amendment Effective Date”), by and among Cambria ETF Trust (the “Company”), a Delaware statutory trust, and SEI Investments Distribution Co. (the “Distributor”), a Pennsylvania corporation.
DISTRIBUTION AGREEMENTDistribution Agreement • May 3rd, 2013 • Cambria ETF Trust • Pennsylvania
THIS DISTRIBUTION AGREEMENT (this “Agreement’) is made as of this 30th day of August, 2012 by and between Cambria ETF Trust (the “Company”), a Delaware statutory trust, and SEI Investments Distribution Co. (the “Distributor”), a Pennsylvania corporation.
FIRST AMENDMENT TO THE CAMBRIA ETF SERIES TRUST TRANSFER AGENT SERVICING AGREEMENTServicing Agreement • December 27th, 2023 • Cambria ETF Trust
THIS FIRST AMENDMENT effective as of the last date on the signature block, to the Transfer Agent Servicing Agreement (the “Agreement”) dated as of July 19, 2023, is entered into by and between CABRIA ETF SERIES TRUST, a Delaware statutory trust (the “Trust”), and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“Fund Services”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • August 28th, 2018 • Cambria ETF Trust • Delaware
Investment Advisory Agreement (the “Agreement”) made as of June 26, 2018, between CAMBRIA ETF TRUST, a Delaware statutory trust (the “Trust”), and Cambria Investment Management, L.P. (the “Adviser”), a registered investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”).
AMENDMENT NO. 10 TO AMENDED & RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • July 26th, 2019 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 10 TO AMENDED & RESTATED ADMINISTRATION AGREEMENT (this “Amendment”), made this 18th day of June, 2019, (the “Amendment Effective Date”), between Cambria ETF Trust (the “Trust”), and SEI Investments Global Funds Services, a statutory trust formed under the laws of the State of Delaware (“Administrator”).
AMENDMENT NO. 9 TO AMENDED & RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • July 12th, 2019 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 9 TO AMENDED & RESTATED ADMINISTRATION AGREEMENT (this “Amendment”), made this 3rd day of May, 2019, (the “Amendment Effective Date”), between Cambria ETF Trust (the “Trust”), and SEI Investments Global Funds Services, a statutory trust formed under the laws of the State of Delaware (“Administrator”).
AMENDMENT NO. 9 TO DISTRIBUTION AGREEMENTDistribution Agreement • July 26th, 2019 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 9 to the Distribution Agreement (this “Amendment”), made this 18th day of June, 2019 (the “Amendment Effective Date”), by and among Cambria ETF Trust (the “Company”), a Delaware statutory trust, and SEI Investments Distribution Co. (the “Distributor”), a Pennsylvania corporation.
TRANSFER AGENT SERVICING AGREEMENTTransfer Agent Servicing Agreement • October 10th, 2023 • Cambria ETF Trust • Wisconsin
THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between CAMBRIA ETF SERIES TRUST, a Delaware Statutory trust (the “Trust”) U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“USBGFS”).
AMENDMENT NO. 6 TO AMENDED & RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • May 22nd, 2017 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 6 TO AMENDED & RESTATED ADMINISTRATION AGREEMENT (this “Amendment”), made this 16th day of March 2017, (the “Amendment Effective Date”), between Cambria ETF Trust (the “Trust”), and SEI Investments Global Funds Services, a statutory trust formed under the laws of the State of Delaware (“Administrator”).
ETF FUND ACCOUNTING SERVICING AGREEMENTFund Accounting Servicing Agreement • October 10th, 2023 • Cambria ETF Trust • Wisconsin
THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between CAMBRIA ETF SERIES TRUST, a Delaware Statutory Trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“USBGFS”).
AMENDMENT NO. 5 TO AMENDED & RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • May 22nd, 2017 • Cambria ETF Trust • Pennsylvania
THIS AMENDMENT NO. 5 TO AMENDED & RESTATED ADMINISTRATION AGREEMENT (this “Amendment”), made this 13th day of September 2016, (the “Amendment Effective Date”), between Cambria ETF Trust (the “Trust”), and SEI Investments Global Funds Services, a statutory trust formed under the laws of the State of Delaware (“Administrator”).
