CUSTODY AGREEMENT Dated July 17, 2019 Between UMB BANK, N.A. and A3 ALTERNATIVE CREDIT FUND CUSTODY AGREEMENTCustody Agreement • September 4th, 2019 • A3 Alternative Credit Fund
This agreement made as of the date first set forth above between UMB Bank, n.a., a national banking association with its principal place of business located in Kansas City, Missouri (hereinafter "Custodian"), and each of the Funds listed on Appendix B hereof, together with such additional Funds which shall be made parties to this Agreement by the execution of Appendix B hereto (individually, a "Fund" and collectively, the "Funds").
DISTRIBUTION AGREEMENTDistribution Agreement • January 30th, 2024 • Alpha Alternative Assets Fund • New York
THIS AGREEMENT is made as of July 10, 2023, between Alpha Alternative Assets Fund, a Delaware statutory trust (the “Fund”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
AGREEMENT AND DECLARATION OF TRUST OF A3 Alternative INCOME Fund a Delaware Statutory TrustAgreement and Declaration • December 23rd, 2021 • A3 Alternative Income Fund • Delaware
DISTRIBUTION AGREEMENTDistribution Agreement • December 23rd, 2021 • A3 Alternative Income Fund • Delaware
THIS AGREEMENT is made and entered into as of this first day of April, 2021, by and between A3 Alternative Credit Fund, a Delaware statutory trust (the “Fund”) and Foreside Financial Services, LLC, a Delaware limited liability company (the “Distributor”).
TRANSFER AGENCY AGREEMENTTransfer Agency Agreement • September 4th, 2019 • A3 Alternative Credit Fund • Wisconsin
THIS TRANSFER AGENCY AGREEMENT (the “Agreement”) is made as of this 23 day of August, 2019, by and between A3 Alternative Credit Fund, a Delaware statutory trust (the “Fund”), and UMB Fund Services, Inc., a Wisconsin corporation, its successors and assigns (the “Transfer Agent”).
AGREEMENT AND DECLARATION OF TRUST OF A3 Alternative Credit Fund a Delaware Statutory TrustAgreement and Declaration of Trust • December 22nd, 2020 • A3 Alternative Credit Fund • Delaware
AGREEMENT AND DECLARATION OF TRUST made this 9th day of May, 2019 by the Trustee hereunder. This Agreement and Declaration of Trust shall be effective upon the filing of the Certificate of Trust in the office of the Secretary of State of the State of Delaware.
ADMINISTRATION AND FUND ACCOUNTING AGREEMENTAdministration and Fund Accounting Agreement • September 4th, 2019 • A3 Alternative Credit Fund • Wisconsin
THIS ADMINISTRATION AND FUND ACCOUNTING AGREEMENT (the “Agreement”) is made as of this 23 day of August, 2019, by and between A3 Alternative Credit Fund, a Delaware statutory trust (the “Fund”), and UMB Fund Services, Inc., a Wisconsin corporation, its successors and assigns (the “Administrator”).
MANAGEMENT AGREEMENTManagement Agreement • December 23rd, 2021 • A3 Alternative Income Fund • Delaware
A3 Alternative Income Fund (the "Trust" or "Fund") is a closed-end management investment company that is operated as an interval fund and established as a Delaware statutory trust.
ALPHA ALTERNATIVE ASSETS FUND INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • December 1st, 2022 • Alpha Alternative Assets Fund • Delaware
This Investment Advisory Agreement (“Agreement”) is made and entered into effective as of October 1, 2022 by and between the Alpha Alternative Assets Fund (“Fund”), a Delaware statutory trust and Alpha Growth Management, LLC, a Delaware limited liability company (“Adviser”).
CUSTODY, RECORDKEEPING AND ADMINISTRATIVE SERVICES AGREEMENTCustody, Recordkeeping and Administrative Services Agreement • September 4th, 2019 • A3 Alternative Credit Fund • Missouri
This agreement (the “Agreement”) is made this 23 day of August, 2019, between UMB Fund Services, Inc., a Wisconsin corporation having its principal place of business at 235 W. Galena Street, Milwaukee, WI 53212 and a subsidiary of UMB Financial Corporation ("Agent"), A3 Alternative Credit Fund, a Delaware statutory trust having its principal office and place of business at 90 Madison Street, Suite 303, Denver, CO 80206 (“Fund”) and UMB Bank, n.a., a national banking association, having its principal office and place of business at 1010 Grand Boulevard, Kansas City, Missouri 64141 ("Bank" and “Custodian”).
RULE 17f-5 DELEGATION AGREEMENTRule 17f-5 Delegation Agreement • September 4th, 2019 • A3 Alternative Credit Fund • Missouri
By its execution of this Delegation Agreement by and between UMB Bank, N.A. (the “Custodian”), a national banking association, with its principal office in Kansas City, Missouri, and A3 Alternative Credit Fund, as closed-end registered investment company (the “Fund”), the Fund hereby directs the Custodian to appoint Citibank, N.A., a National Banking Association under the laws of the United States of America, as the Approved Foreign Custody Manager (the “Delegate”) under the terms of the Custody Agreement between the Fund and the Custodian to perform certain functions with respect to the custody of the Fund’s Assets (as defined in Section 13 of this Delegation Agreement) outside the United States of America.
Services AgreementServices Agreement • January 30th, 2024 • Alpha Alternative Assets Fund • New York
FUND CCO AGREEMENTFund Cco Agreement • September 4th, 2019 • A3 Alternative Credit Fund • Delaware
AGREEMENT made as of August 29, 2019 by and between A3 Alternative Credit Fund, a Delaware statutory trust, with its principal office and place of business at 90 Madison Street, Suite 303, Denver, Colorado 80206 (the “Fund”), and Foreside Fund Officer Services, LLC, a Delaware limited liability company, with its principal office and place of business at Three Canal Plaza, Portland, Maine 04101 (“Foreside”).
MANAGEMENT AGREEMENTManagement Agreement • September 4th, 2019 • A3 Alternative Credit Fund • Delaware
A3 Alternative Credit Fund (the "Trust" or "Fund") is a closed-end management investment company that is operated as an interval fund and established as a Delaware statutory trust.
A3 ALTERNATIVE CREDIT FUND AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AGREEMENTOperating Expenses Limitation Agreement • December 22nd, 2020 • A3 Alternative Credit Fund • Delaware
THIS AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) by and between A3 ALTERNATIVE CREDIT FUND, a Delaware statutory trust (the “Trust” or the “Fund”) and the adviser, A3 FINANCIAL INVESTMENTS, LLC (the “Adviser”).
Expense Limitation AgreementExpense Limitation Agreement • December 1st, 2022 • Alpha Alternative Assets Fund
ALPHA ALTERNATIVE ASSETS (CAYMAN) LTD INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • December 1st, 2022 • Alpha Alternative Assets Fund • Delaware
This Investment Advisory Agreement (“Agreement”) is made and entered into effective as of September 8, 2022 by and between the Alpha Alternative Assets (Cayman) Ltd. (the “Company”), a Cayman Islands exempted company and Alpha Growth Management, LLC, a Delaware limited liability company (“Adviser”).
A3 ALTERNATIVE INCOME FUND OPERATING EXPENSES LIMITATION AGREEMENTOperating Expenses Limitation Agreement • December 23rd, 2021 • A3 Alternative Income Fund • Delaware
THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) by and between A3 ALTERNATIVE INCOME FUND, a Delaware statutory trust (the “Fund”) and the adviser, A3 FINANCIAL INVESTMENTS, LLC (the “Adviser”).
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • December 1st, 2022 • Alpha Alternative Assets Fund • Delaware
This Investment Sub-Advisory Agreement (“Agreement”) is made and entered into effective as of October 1, 2022 by and among Alpha Alternative Assets Fund (formerly known as A3 Alternative Credit Fund), a Delaware statutory trust, located at 90 Madison Street, Suite 303, Denver, CO 80206 (the “Fund”), Haven Asset Management (Interval Funds) LLC, a Delaware limited liability company, located at 537 Steamboat Road, Suite 302, Greenwich, Connecticut 06830 (the “Sub-Adviser”), and Alpha Growth Management LLC, a Delaware limited liability company located at 500 Newport Center Drive, Suite 680, Newport Beach, CA 92660 (the “Adviser”).
Expense Limitation AgreementLimitation Agreement • January 30th, 2024 • Alpha Alternative Assets Fund
Effective as of the date hereof, we agree, at least until January 31, 2025 to waive our management fees and to pay or absorb the ordinary annual operating expenses of the Fund and the organizational and offering expenses of the Fund (excluding interest, dividends, amortization/accretion and interest on securities sold short, brokerage commissions, acquired fund fees and expenses, distribution and shareholder servicing fees, and extraordinary expenses) to the extent that our management fees plus the Fund’s expenses exceed 2.40% per annum of the Fund’s average daily net assets attributable to Class A Shares and Class I Shares.
AMENDMENT 1Alpha Alternative Assets Fund • January 30th, 2024
This amendment (the “Amendment”) between the parties signing below (the “Parties”) amends the Existing Agreement as of May 24, 2023 (the “Effective Date”):
AMENDMENT 1Existing Agreement • January 30th, 2024 • Alpha Alternative Assets Fund
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.
