MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • February 26th, 2016 • Clough Funds Trust • Massachusetts
This Agreement is made as of August 31, 2015 (this “Agreement”), between each management investment company identified on Appendix A and each management investment company which becomes a party to this Agreement in accordance with the terms hereof (in each case, a “Fund”), including, if applicable, each series of the Fund identified on Appendix A and each series which becomes a party to this Agreement in accordance with the terms hereof, and STATE STREET BANK AND TRUST COMPANY , a Massachusetts trust company (the “Custodian”). This Agreement shall be effective with respect to each series of a Fund as of the effective date identified on Appendix A.
DISTRIBUTION AGREEMENTDistribution Agreement • September 23rd, 2015 • Clough Funds Trust • Colorado
THIS AGREEMENT is made as of __________, 2015, between Clough Funds Trust, a Delaware statutory trust (the “Fund”), and ALPS Portfolio Solutions Distributor, Inc., a Colorado corporation (“ALPS”).
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • February 26th, 2016 • Clough Funds Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of September 30, 2015 (the “Effective Date”) by and between Clough Funds Trust (the “Trust”), a Delaware statutory trust, and each Fund offered by the Trust (each a “Fund”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • February 26th, 2016 • Clough Funds Trust • Colorado
THIS AGREEMENT is made as of September 30, 2015, between Clough Funds Trust (the “Trust”), organized as a statutory trust under the laws of the State of Delaware, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
NETWORKING AgreementNetworking Agreement • September 23rd, 2015 • Clough Funds Trust • Colorado
AGREEMENT entered into this _____ day of _____________, 201_, by and between ALPS Portfolio Solutions Distributor, Inc., with its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS” or “Fund Agent”), and with its principal place of business in (“Firm”).
Fund/SERV AgreementFund/Serv Agreement • September 23rd, 2015 • Clough Funds Trust • Colorado
AGREEMENT entered into this _____ day of _____________, 201_, by and between ALPS Portfolio Solutions Distributor, Inc., with its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS”), and with its principal place of business in (“Trust Entity”).
MANAGEMENT AGREEMENTManagement Agreement • February 26th, 2016 • Clough Funds Trust • Delaware
This MANAGEMENT AGREEMENT (“Agreement”) is made as of this 30th day of September, 2015, by and between Clough Funds Trust (the “Trust”), a Delaware statutory trust, and Clough Capital Partners, L.P., a Delaware corporation (the “Manager”).
ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENTPricing Services Agreement • February 26th, 2016 • Clough Funds Trust • Colorado
THIS AGREEMENT is made as of September 30, 2015, between Clough Funds Trust, organized as a statutory trust under the laws of the State of Delaware (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
CLOUGH CAPITAL PARTNERS L.P.Clough Funds Trust • February 28th, 2017
SHAREHOLDER SERVICING AGREEMENTShareholder Servicing Agreement • September 23rd, 2015 • Clough Funds Trust • Colorado
THIS SHAREHOLDER SERVICING AGREEMENT (“Agreement”) made and entered into between ALPS Portfolio Solutions Distributor, Inc. (“APSD”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and _________________________________________, a _______________________________ company having its principal place of business at______________________________, _________________, _______________(hereinafter “Servicer”).
TRANSFER AGENCY AND SERVICES AGREEMENT AMENDMENT NO. 2Transfer Agency and Services Agreement • February 26th, 2021 • Clough Funds Trust
This amendment (the “Amendment”) between the parties signing below (“Parties”) amends the Existing Agreement as of January 21, 2020 (the “Effective Date”):
CLOUGH CAPITAL PARTNERS L.P.Clough Funds Trust • September 23rd, 2015
DISTRIBUTION AGREEMENTDistribution Agreement • June 29th, 2018 • Clough Funds Trust • Colorado
THIS AGREEMENT (the “Agreement”) is made as of April 16, 2018, between Clough Funds Trust, a Delaware statutory trust (the “Trust”), and ALPS Portfolio Solutions Distributor, Inc., a Colorado corporation (“ALPS”).
SHARE PURCHASE AGREEMENT CLOUGH FUNDS TRUST On behalf of its series, Clough Global Long/Short Fund (the “Fund”)Share Purchase Agreement • September 23rd, 2015 • Clough Funds Trust
This Agreement is made effective as of the __ day of September 2015 between ALPS Fund Services, Inc., a Colorado corporation (“ALPS”), and Clough Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of the Fund.
CLOUGH CAPITAL PARTNERS L.P.Clough Funds Trust • February 28th, 2020
This letter confirms the agreement by Clough Capital Partners L.P. (the “Adviser”) with the Trust to contractually limit the total expenses of the Fund as set forth herein. To the extent the Total Annual Fund Operating Expenses (as defined in Item 3 to Form N-1A), after such expense reimbursement and/or fee waiver (excluding Rule 12b-1 Distribution and Service Fees, Shareholder Services Fees, acquired fund fees and expenses, interest, taxes, brokerage costs and commissions, dividend and interest expense on short sales, litigation, indemnification and extraordinary expenses as determined under generally accepted accounting principles), exceed 1.25% for each of the Class A, Investor Class, Class C and Class I shares of the Fund, the Adviser will waive a portion of its advisory fees to the extent of such excess and/or shall reimburse and/or cause a third-party to reimburse the Fund (or class as applicable) by the amount of such excess. The waiver or reimbursement shall be allocated to eac
CLOUGH CAPITAL PARTNERS L.P.Clough Funds Trust • February 26th, 2021
This letter confirms the agreement by Clough Capital Partners L.P. (the “Adviser”) with the Trust to contractually limit the total expenses of the Fund as set forth herein. To the extent the Total Annual Fund Operating Expenses (as defined in Item 3 to Form N-1A), after such expense reimbursement and/or fee waiver (excluding Rule 12b-1 Distribution and Service Fees, Shareholder Services Fees, acquired fund fees and expenses, interest, taxes, brokerage costs and commissions, dividend and interest expense on short sales, litigation, indemnification and extraordinary expenses as determined under generally accepted accounting principles), exceed 1.25% for each of the Class A, Investor Class, Class C and Class I shares of the Fund, the Adviser will waive a portion of its advisory fees to the extent of such excess and/or shall reimburse and/or cause a third-party to reimburse the Fund (or class as applicable) by the amount of such excess. The waiver or reimbursement shall be allocated to eac
Amendment to Management AgreementManagement Agreement • February 28th, 2020 • Clough Funds Trust
This Amendment dated as of September 30, 2019 (this “Amendment”) is to the Management Agreement dated as of September 30, 2015 (the “Agreement”), between Clough Funds, a Delaware statutory trust (the “Trust”) and Clough Capital Partners L.P., a Delaware Corporation (the “Manager”). Any items not herein defined shall have the meaning ascribed to them in the Agreement.
CLOUGH CAPITAL PARTNERS L.P.Clough Funds Trust • February 28th, 2023
This letter confirms the agreement by Clough Capital Partners L.P. (the “Adviser”) with the Trust to contractually limit the total expenses of the Fund as set forth herein. To the extent the Total Annual Fund Operating Expenses (as defined in Item 3 to Form N-1A), after such expense reimbursement and/or fee waiver (excluding Rule 12b-1 Distribution and Service Fees, Shareholder Services Fees, acquired fund fees and expenses, interest, taxes, brokerage costs and commissions, dividend and interest expense on short sales, litigation, indemnification and extraordinary expenses as determined under generally accepted accounting principles), exceed 1.25% for each of the Class A, Investor Class, Class C and Class I shares of the Fund, the Adviser will waive a portion of its advisory fees to the extent of such excess and/or shall reimburse and/or cause a third-party to reimburse the Fund (or class as applicable) by the amount of such excess. The waiver or reimbursement shall be allocated to eac
AMENDMENT 1Clough Funds Trust • February 26th, 2021
Except as amended hereby, all terms of the Existing Agreement remain in full force and effect. This Amendment includes the amendments in Schedule A and general terms in Schedule B.
CLOUGH CAPITAL PARTNERS L.P.Clough Funds Trust • February 26th, 2016
CLOUGH CAPITAL PARTNERS L.P.Clough Funds Trust • February 28th, 2022
This letter confirms the agreement by Clough Capital Partners L.P. (the "Adviser") with the Trust to contractually limit the total expenses of the Fund as set forth herein. To the extent the Total Annual Fund Operating Expenses (as defined in Item 3 to Form N-1A), after such expense reimbursement and/or fee waiver (excluding Rule 12b-1 Distribution and Service Fees, Shareholder Services Fees, acquired fund fees and expenses, interest, taxes, brokerage costs and commissions, dividend and interest expense on short sales, litigation, indemnification and extraordinary expenses as determined under generally accepted accounting principles), exceed 1.25% for each of the Class A, Investor Class, Class C and Class I shares of the Fund, the Adviser will waive a portion of its advisory fees to the extent of such excess and/or shall reimburse and/or cause a third-party to reimburse the Fund (or class as applicable) by the amount of such excess. The waiver or reimbursement shall be allocated to eac
CLOUGH CAPITAL PARTNERS L.P. One Post Office Square 40th Floor Boston, Massachusetts 02109Clough Funds Trust • June 29th, 2018
BROKER DEALER SELLING AGREEMENTBroker Dealer • September 23rd, 2015 • Clough Funds Trust • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Portfolio Solutions Distributor, Inc. (“APSD”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and _________, a _________ company having its principal place of business at ___________________ (hereinafter “Broker/Dealer”).
CLOUGH CAPITAL PARTNERS L.P.Clough Funds Trust • February 28th, 2018
FIRST AMENDMENT TO THE ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENTPricing Services Agreement • February 28th, 2023 • Clough Funds Trust
This Amendment (the “Amendment”) between the parties signing below (“Parties”) amends the Existing Agreement as of September 1, 2022 (the “Effective Date”):
DISTRIBUTION AGREEMENTDistribution Agreement • February 26th, 2016 • Clough Funds Trust • Colorado
THIS AGREEMENT is made as of September 30, 2015, between Clough Funds Trust, a Delaware statutory trust (the “Fund”), and ALPS Portfolio Solutions Distributor, Inc., a Colorado corporation (“APSD”).
