Franklin Alternative Strategies Funds Sample Contracts
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST of Franklin Alternative Strategies Funds a Delaware Statutory TrustAgreement and Declaration of Trust • September 27th, 2018 • Franklin Alternative Strategies Funds • Delaware
WHEREAS Franklin Alternative Strategies Funds (the “Trust”) was formed on July 21, 2011 under the name “Franklin Alternative Strategies Funds” by its Trustees by the filing of the Certificate of Trust with the Office of the Secretary of State of the State of Delaware pursuant to an Agreement and Declaration of Trust dated as of July 21, 2011 (the “Original Declaration of Trust”); and
FRANKLIN ALTERNATIVE STRATEGIES FUNDS on behalf of FRANKLIN K2 LONG SHORT CREDIT FUND AMENDED AND RESTATEDInvestment Management Agreement • September 30th, 2019 • Franklin Alternative Strategies Funds • Delaware
THIS INVESTMENT MANAGEMENT AGREEMENT, dated as of October 1, 2017 is made between FRANKLIN ALTERNATIVE STRATEGIES FUNDS, a Delaware statutory trust (the “Trust”), on behalf of FRANKLIN K2 LONG SHORT CREDIT FUND (the “Fund”), a series of the Trust, and K2/D&S MANAGEMENT CO., L.L.C., a Delaware limited liability company (the “Manager”) and amends and restates the prior Investment Management Agreement between the Trust, on behalf of the Fund, and the Manager dated as of August 1, 2015.
MASTER CUSTODY AGREEMENTMaster Custody Agreement • September 28th, 2017 • Franklin Alternative Strategies Funds
The following is a list of the Investment Companies and their respective Series for which the Custodian shall serve under the Master Custody Agreement dated as of February 16, 1996.
FRANKLIN ALTERNATIVE STRATEGIES FUNDSDistribution Agreement • September 26th, 2022 • Franklin Alternative Strategies Funds • California
We, Franklin Alternative Strategies Funds (the “Trust”), comprised of the series listed on Attachment A (each a “Fund”, and collectively, the “Funds”), are a Delaware statutory trust operating as an open-end management investment company or “mutual fund”, which is registered under the Investment Company Act of 1940, as amended (the “1940 Act”), and whose shares are registered under the Securities Act of 1933, as amended (the “1933 Act”). We desire to issue one or more series or classes of our authorized but unissued shares of capital stock or beneficial interest (the “Shares”) to authorized persons in accordance with applicable Federal and State securities laws. The Fund’s Shares may be made available in one or more separate series, each of which may have one or more classes.
MASTER CUSTODY AGREEMENTMaster Custody Agreement • September 27th, 2013 • Franklin Alternative Strategies Funds
The following is a list of the Investment Companies and their respective Series for which the Custodian shall serve under the Master Custody Agreement dated as of February 16, 1996.
FRANKLIN TEMPLETON INVESTOR SERVICES, LLC SECOND AMENDED AND RESTATED TRANSFER AGENT AND SHAREHOLDER SERVICES AGREEMENTTransfer Agent and Shareholder Services Agreement • September 26th, 2023 • Franklin Alternative Strategies Funds
The parties to this Agreement are the Investment Company named above ("Investment Company"), an open-end investment company registered as such under the Investment Company Act of 1940 ("1940 Act"), on behalf of each class of shares of each series, if any, of the Investment Company which now exists or may hereafter be created (individually, a "Fund" and collectively, the "Funds") and FRANKLIN TEMPLETON INVESTOR SERVICES, LLC ("FTIS"), a registered transfer agent. This Agreement supersedes the Amended and Restated Transfer Agent and Shareholder Services Agreement between the parties.
TERMINAL LINK AGREEMENTTerminal Link Agreement • September 28th, 2017 • Franklin Alternative Strategies Funds
The following is a list of the Investment Companies and their respective Series for which the Custodian shall serve under the Master Custody Agreement dated as of February 16, 1996.
AGREEMENT AND DECLARATION OF TRUST of FRANKLIN ALTERNATIVE STRATEGIES FUNDS a Delaware Statutory TrustTrust Agreement • December 6th, 2011 • Franklin Alternative Strategies Funds • Delaware
AMENDED AND RESTATED FUND ADMINISTRATION AGREEMENTFund Administration Agreement • September 27th, 2013 • Franklin Alternative Strategies Funds • California
This Agreement, dated as of May 21, 2012, is between FRANKLIN ALTERNATIVE STRATEGIES FUNDS (the “Trust”), a Delaware statutory trust on behalf of FRANKLIN PELAGOS MANAGED FUTURES STRATEGY FUND (the “Fund”), and FRANKLIN TEMPLETON SERVICES, LLC (“Administrator”), and amends and restates the prior Fund Administration Agreement between the Trust on behalf of the Fund and Administrator.
AMENDMENT TO MASTER CUSTODY AGREEMENTMaster Custody Agreement • September 27th, 2019 • Franklin Alternative Strategies Funds
This Amendment is dated as of the 1st day of August 2019, by and between each of the Investment Companies listed on Exhibit A hereto (the “Fund”) and for each of its Series listed on Exhibit A hereto, and The Bank of New York Mellon (formerly The Bank of New York) (the “Custodian”). Capitalized terms used but not defined herein shall have the meanings given in the Agreement (defined below).
AMENDED AND RESTATED FOREIGN CUSTODY MANAGER AGREEMENTForeign Custody Manager Agreement • February 23rd, 2012 • Franklin Alternative Strategies Funds
The following is a list of the Investment Companies and their respective Series for which the Custodian shall serve under the Foreign Custody Manager Agreement dated as of May 16, 2001.
AMENDMENT TO MASTER CUSTODY AGREEMENTMaster Custody Agreement • September 8th, 2015 • Franklin Alternative Strategies Funds
The following is a list of the Investment Companies and their respective Series for which the Custodian shall serve under the Amendment dated May 16, 2001 to that certain Master Custody Agreement dated as of February 16, 1996.
FRANKLIN TEMPLETON INVESTOR SERVICES, LLC AMENDED AND RESTATEDTransfer Agent and Shareholder Services Agreement • September 27th, 2019 • Franklin Alternative Strategies Funds • California
As the registered transfer agent and shareholder servicing agent for the Funds, FTIS is responsible for providing overall support for the customers of each Fund, including shareholders, financial advisors, distribution intermediaries, and other authorized representatives. FTIS controls the flow of the customer interactions, processes transactions, and handles inquiries while ensuring mitigation of operational, financial, regulatory, and reputational risk. FTIS is responsible for affecting activity in accordance with fund policies, (e.g. Rule 12b-1 payments, fund openings, reorganizations, closings), as well as required trade confirmations, statements, and tax reporting. FTIS maintains relationships with the back offices of intermediaries and ensures appropriate payments to intermediaries and other service vendors in accordance with this Agreement.
SUBCONTRACT FOR FUND ADMINISTRATIVE SERVICESSubcontract for Fund Administrative Services • December 31st, 2013 • Franklin Alternative Strategies Funds • California
This Subcontract, dated as of September 27, 2013, is between Pelagos Capital Management, LLC a Delaware limited liability company (the “Investment Manager”), and Franklin Templeton Services, LLC (“Administrator”).
SUBCONTRACT FOR FUND ADMINISTRATIVE SERVICESSubcontract for Fund Administrative Services • September 28th, 2016 • Franklin Alternative Strategies Funds • California
This Subcontract, dated as of August 1, 2015, is between K2/D&S Management Co., L.L.C. (the “Investment Manager”), and Franklin Templeton Services, LLC (the “Administrator”).
AMENDMENT TO MASTER CUSTODY AGREEMENTMaster Custody Agreement • February 23rd, 2012 • Franklin Alternative Strategies Funds
The following is a list of the Investment Companies and their respective Series for which the Custodian shall serve under the Amendment dated May 16, 2001 to that certain Master Custody Agreement dated as of February 16, 1996.
AMENDMENT TO MASTER CUSTODY AGREEMENTMaster Custody Agreement • September 28th, 2020 • Franklin Alternative Strategies Funds
This Amendment (“Amendment”), dated as of the 25th day of February, 2020, is entered into separately by and between each Investment Company listed on Exhibit A to the Agreement (as defined below) (each an “Investment Company”) and The Bank of New York Mellon (formerly, The Bank of New York) (the “Custodian”).
MASTER CUSTODY AGREEMENTMaster Custody Agreement • February 23rd, 2012 • Franklin Alternative Strategies Funds
The following is a list of the Investment Companies and their respective Series for which the Custodian shall serve under the Master Custody Agreement dated as of February 16, 1996.
AMENDMENT TO MASTER CUSTODY AGREEMENTMaster Custody Agreement • September 28th, 2017 • Franklin Alternative Strategies Funds
The following is a list of the Investment Companies and their respective Series for which the Custodian shall serve under the Amendment dated May 16, 2001 to that certain Master Custody Agreement dated as of February 16, 1996.
AMENDMENT TO MASTER CUSTODY AGREEMENTMaster Custody Agreement • September 27th, 2019 • Franklin Alternative Strategies Funds
This Amendment is dated as of the 3rd day of June, 2019, by and between Each of the Investment Companies Listed on Schedule 1 hereto for itself and for Each of its Series listed on Schedule 1 hereto (the “Client”), and The Bank of New York Mellon (formerly The Bank of New York) (the “Custodian”).
AMENDMENT TO MASTER CUSTODY AGREEMENTMaster Custody Agreement • September 27th, 2018 • Franklin Alternative Strategies Funds
This Amendment is dated as of the first day of June, 2018, by and between Each of the Investment Companies Listed on Schedule 1 hereto for itself and for Each of its Series listed on Schedule 1 hereto (the “Client”), and The Bank of New York Mellon (formerly The Bank of New York) (the “Custodian”).
SUPPLEMENT TO THE MASTER CUSTODY AGREEMENT HONG KONG - CHINA CONNECT SERVICESupplement to the Master Custody Agreement • September 28th, 2020 • Franklin Alternative Strategies Funds
This Letter relates to the Hong Kong - China Connect Service (as referenced in the Rules of the Stock Exchange of Hong Kong and as hereafter referred to in this Letter, the China Connect Service or Connect). Connect is a trading and clearing service established between Shanghai Stock Exchange, Shenzhen Stock Exchange, China Securities Depository and Clearing Corporation Limited (China Connect Clearing House), Hong Kong Exchanges and Clearing Limited, China Foreign Exchange Trade System & National Interbank Funding Centre (CFETS), China Central Depository & Clearing (CCDC), Shanghai Clearing House (SCH), the Central Moneymarkets Unit of the Monetary Authority of Hong Kong (CMU), the Stock Exchange of Hong Kong (SEHK) and the Hong Kong Stock Exchange’s clearing and nominee company, Hong Kong Securities Clearing Company Ltd. (HKSCC). The service applies to listed stock/securities on a China Connect Market (China Connect Listed Stock) and bonds traded on the China Interbank Bond Market (Ch
AMENDED AND RESTATED FOREIGN CUSTODY MANAGER AGREEMENTForeign Custody Manager Agreement • September 8th, 2015 • Franklin Alternative Strategies Funds
The following is a list of the Investment Companies and their respective Series for which the Custodian shall serve under the Foreign Custody Manager Agreement dated as of May 16, 2001.
TERMINAL LINK MASTER CUSTODY AGREEMENTMaster Custody Agreement • September 28th, 2016 • Franklin Alternative Strategies Funds
The following is a list of the Investment Companies and their respective Series for which the Custodian shall serve under the Master Custody Agreement dated as of February 16, 1996.
TERMINAL LINK AGREEMENTTerminal Link Agreement • September 8th, 2015 • Franklin Alternative Strategies Funds
The following is a list of the Investment Companies and their respective Series for which the Custodian shall serve under the Master Custody Agreement dated as of February 16, 1996.
AMENDED AND RESTATED FOREIGN CUSTODY MANAGER AGREEMENTForeign Custody Manager Agreement • December 6th, 2011 • Franklin Alternative Strategies Funds
The following is a list of the Investment Companies and their respective Series for which the Custodian shall serve under the Foreign Custody Manager Agreement dated as of May 16, 2001.
MASTER CUSTODY AGREEMENTMaster Custody Agreement • December 6th, 2011 • Franklin Alternative Strategies Funds
The following is a list of the Investment Companies and their respective Series for which the Custodian shall serve under the Master Custody Agreement dated as of February 16, 1996.
MASTER CUSTODY AGREEMENT EXHIBIT AMaster Custody Agreement • September 26th, 2022 • Franklin Alternative Strategies Funds
The following is a list of the Investment Companies and their respective Series for which the Custodian shall serve under the Master Custody Agreement dated as of February 16, 1996.
ContractSubcontract for Fund Administrative Services • October 2nd, 2013 • Franklin Alternative Strategies Funds • California
AMENDMENT TO MASTER CUSTODY AGREEMENTMaster Custody Agreement • June 30th, 2016 • Franklin Alternative Strategies Funds
The following is a list of the Investment Companies and their respective Series for which the Custodian shall serve under the Amendment dated May 16, 2001 to that certain Master Custody Agreement dated as of February 16, 1996.
SUBADVISORY AGREEMENT FRANKLIN ALTERNATIVE STRATEGIES FUNDS on behalf of FRANKLIN K2 Global Macro Opportunities FUNDSubadvisory Agreement • September 27th, 2018 • Franklin Alternative Strategies Funds • Delaware
THIS SUBADVISORY AGREEMENT made as of January 5, 2017, by and between K2/D&S MANAGEMENT CO., L.L.C., a Delaware limited liability company (hereinafter called “K2”), and P/E GLOBAL LLC, a Delaware limited liability company (hereinafter called “Sub-Adviser”).
TERMINAL LINK AGREEMENT EXHIBIT A (Effective as of February 2020)Terminal Link Agreement • September 28th, 2020 • Franklin Alternative Strategies Funds
The following is a list of the Investment Companies and their respective Series for which the Custodian shall serve under the Master Custody Agreement dated as of February 16, 1996.
AMENDMENTMaster Custody Agreement • December 6th, 2011 • Franklin Alternative Strategies Funds
Amendment made as of May 16, 2001 to that certain Master Custody Agreement dated as of February 16, 1996, as thereafter amended, between each of the investment companies listed on Schedule 1 hereto (each, a “Fund”) and The Bank of New York (“Custodian”) (such Master Custody Agreement hereinafter referred to as the “Custody Agreement”).
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • September 26th, 2014 • Franklin Alternative Strategies Funds • Delaware
THIS INVESTMENT MANAGEMENT AGREEMENT made between FPC HOLDINGS CORPORATION, a corporation organized under the laws of the Cayman Islands (the “Company”) and PELAGOS CAPITAL MANAGEMENT, LLC, a Delaware limited liability company (the “Manager”).
SUBCONTRACT FOR FUND ADMINISTRATIVE SERVICESSubcontract for Fund Administrative Services • September 26th, 2014 • Franklin Alternative Strategies Funds • California
This Subcontract, dated as of October 11, 2013, and amended as of July 1, 2014, is between K2/D&S MANAGEMENT CO., L.L.C., a Delaware limited liability company (the “Investment Manager”), and Franklin Templeton Services, LLC (the “Administrator”).