SHAREHOLDER SERVICES AGREEMENTShareholder Services Agreement • April 24th, 2014 • Aquila Funds Trust • New York
AQUILA FUNDS TRUST, on behalf of its series AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND (the "Fund") confirms its agreement with Aquila Distributors, Inc. (the "Distributor") with respect to the servicing of shareholder accounts. This Agreement is entered into pursuant to the Fund's Shareholder Services Plan dated as of October 11, 2013; such Shareholder Services Plan, in its current form and as it may subsequently be amended from time to time, is hereby incorporated by reference and referred to herein as “the Plan.” All terms defined in the Plan shall have the same meanings when used herein. It is understood that in the event of a conflict between any provision of this Agreement and the terms of the Plan, the Plan shall govern. Part I of this Agreement applies solely to the Level-Payment Class ("Class C"), Part II solely to the Financial Intermediary Class ("Class I") and Part III to both classes of shares.
AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND SUB-ADVISORY AGREEMENTPeaks Opportunity Growth Fund • April 24th, 2014 • Aquila Funds Trust
THIS AGREEMENT, made as of October 11, 2013 by and between AQUILA INVESTMENT MANAGEMENT LLC, a Delaware limited liability company (the "Manager"), 380 Madison Avenue, Suite 2300, New York, New York 10017 and THREE PEAKS CAPITAL MANAGEMENT, LLC (the "Sub-Adviser"), a Colorado limited liability company, 3750 Dacoro Lane, Suite 100, Castle Rock, CO 80109.
AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND ADVISORY AND ADMINISTRATION AGREEMENTPeaks Opportunity Growth Fund • April 24th, 2014 • Aquila Funds Trust
THIS AGREEMENT, made as of October 11, 2013 by and between AQUILA FUNDS TRUST (the “Trust”), a Massachusetts business trust, on behalf of its series AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND (the "Fund"), 380 Madison Avenue, Suite 2300, New York, New York 10017 and AQUILA INVESTMENT MANAGEMENT LLC (the “Manager”), a Delaware limited liability company, 380 Madison Avenue, Suite 2300, New York, New York 10017.
FIRST AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • April 24th, 2014 • Aquila Funds Trust
This First Amendment (“Amendment”) to the Custody Agreement dated April 25, 2006 (the “Agreement”) is entered by and between Aquila Funds Trust (formerly known as Aquila Three Peaks High Income Fund), a business trust organized under the laws of the Commonwealth of Massachusetts (the “Trust”) and JPMorgan Chase Bank, N.A. (the “Custodian”).
AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND DISTRIBUTION AGREEMENTAquila Three Peaks Opportunity Growth Fund • April 24th, 2014 • Aquila Funds Trust
THIS AGREEMENT, made as of this 11th day of October, 2013 by and between AQUILA FUNDS TRUST (hereinafter called the “Trust”), on behalf of its series AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND (hereinafter called the "Fund"), and AQUILA DISTRIBUTORS, INC., (hereinafter called the "Distributor").
AMENDMENT AGREEMENTAmendment Agreement • April 24th, 2014 • Aquila Funds Trust
THIS AMENDMENT AGREEMENT (the “Amendment Agreement”) is dated as of October 11, 2013, by and among BNY Mellon Investment Servicing (US) Inc. (f/k/a PFPC Inc.) (the “Transfer Agent”), Aquila Three Peaks Opportunity Growth Fund (f/k/a Aquila Rocky Mountain Equity Fund) (the “Predecessor Trust”), on behalf of its series Aquila Three Peaks Opportunity Growth Fund (the “Predecessor Fund”), and Aquila Funds Trust, a Massachusetts business trust (the “Successor Trust”), on behalf of its series Aquila Three Peaks Opportunity Growth Fund (the “Successor Fund”).
