0001213900-26-113359 Sample Contracts
ADMINISTRATIVE SERVICES AGREEMENT between GUINNESS ATKINSON FUNDS and GUINNESS ATKINSON ASSET MANAGEMENT, INC.Administrative Services Agreement • October 28th, 2026 • Guinness Atkinson Funds • Delaware
ADMINISTRATIVE SERVICES AGREEMENT, dated as of November 11, 2020 by and between GUINNESS ATKINSON FUNDS, a Delaware statutory trust which may issue one or more series of shares of beneficial interest (the “Trust”), and GUINNESS ATKINSON ASSET MANAGEMENT, INC. (the “Adviser”), a Delaware corporation.
AUTHORIZED PARTICIPANT AGREEMENT Guinness Atkinson FundsAuthorized Participant Agreement • October 28th, 2026 • Guinness Atkinson Funds • New York
This Authorized Participant Agreement (the “Agreement”) is entered into by and between Foreside Fund Services, LLC (the “Distributor”) and __________ (the “Participant”) and is subject to acceptance by Brown Brothers Harriman & Co. (the “Index Receipt Agent”), and is further subject to acknowledgement and agreement by Guinness Atkinson Funds (the “Trust”), a series trust offering a number of portfolios of securities (each a “Fund” and collectively the “Funds”), solely with respect to Sections 4(c) and 12(c) herein. Capitalized terms used but not defined herein are defined in the current prospectus for each Fund as it may be supplemented or amended from time to time, and included in the Trust’s Registration Statement on Form N-1A, as it may be amended from time to time, or otherwise filed with the U.S. Securities and Exchange Commission (“SEC”) (together with such Fund’s Statement of Additional Information incorporated therein, the “Prospectus”).
AMENDMENT TO CUSTODIAN AGREEMENTAmendment to Custodian Agreement • October 28th, 2026 • Guinness Atkinson Funds
THIS AMENDMENT TO CUSTODIAN AGREEMENT (this “Amendment”) is made as of July 27, 2026 by and between BROWN BROTHERS HARRIMAN & CO., a limited partnership organized under the laws of the State of New York (“BBH&Co.” or the “Custodian”), and GUINNESS ATKINSON FUNDS, a Delaware statutory trust (the “Trust”), on behalf of each of its series portfolios listed on Exhibit A to the Agreement (each a “Fund” and collectively, the “Funds”), registered with the Securities and Exchange Commission under the Investment Company Act of 1940.
Certain identified information has been excluded from the exhibit because it is both not material and the type that the Registrant treats as private or confidential. AMENDED AND RESTATED PENSERRA CAPITAL MANAGEMENT LLC SUB-ADVISORY AGREEMENTSub-Advisory Agreement • October 28th, 2026 • Guinness Atkinson Funds • New York
This Amended and Restated Sub-Advisory Agreement (this “Agreement”) entered into as of the __________ , 2026 to the Sub-Advisory Agreement dated the 9th day of August 2019, by and between GUINNESS ATKINSON ASSET MANAGEMENT, INC., a Delaware corporation (the “Adviser”) and PENSERRA CAPITAL MANAGEMENT LLC, a registered investment advisor organized under the laws of the State of New York (the “Sub-Adviser”).
9th AMENDMENT TO FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • October 28th, 2026 • Guinness Atkinson Funds
THIS AMENDMENT dated September 15, 2026 to the Fund Administration Servicing Agreement dated September 14, 2009 (the “Agreement”), as amended from time to time, is entered by and between Guinness Atkinson Funds, a Delaware statutory trust (the “Trust”) and Mutual Fund Administration, LLC, a California limited liability company (“MFAC LLC”).
FIFTH AMENDMENT TO NOVATED ETF DISTRIBUTION AGREEMENTFifth Amendment to Novated Etf Distribution Agreement • October 28th, 2026 • Guinness Atkinson Funds
This fifth amendment (the “Amendment”) to the novated ETF Distribution Agreement (the “Agreement”) dated as of September 30, 2021, by and between Guinness Atkinson Funds (the “Fund Company”) and Foreside Fund Services, LLC (“Distributor”) is entered into as of September 15, 2026 (the “Effective Date”).
AMENDMENT TO ADMINISTRATIVE AGENCY AGREEMENTAmendment to Administrative Agency Agreement • October 28th, 2026 • Guinness Atkinson Funds
THIS AMENDMENT TO ADMINISTRATIVE AGENCY AGREEMENT (this “Amendment”) is made as of July 27, 2026 by and between BROWN BROTHERS HARRIMAN & CO., a limited partnership organized under the laws of the State of New York (“BBH&Co.” or the “Administrator”), and GUINNESS ATKINSON FUNDS, a Delaware statutory trust (the “Trust”), on behalf of each of its series portfolios listed on Appendix A to the Agreement (each a “Portfolio” and collectively, the “Portfolios”), registered with the Securities and Exchange Commission under the Investment Company Act of 1940.
UNITARY FEE AGREEMENT between GUINNESS ATKINSON FUNDS and GUINNESS ATKINSON ASSET MANAGEMENT, INC.Unitary Fee Agreement • October 28th, 2026 • Guinness Atkinson Funds • Delaware
UNITARY FEE AGREEMENT, dated as of [ ] by and between GUINNESS ATKINSON FUNDS, a Delaware statutory trust which may issue one or more series of shares of beneficial interest (the “Trust”), and GUINNESS ATKINSON ASSET MANAGEMENT, INC. (the “Adviser”), a Delaware corporation.