FORM OF SHAREHOLDER SERVICES AGREEMENTShareholder Services Agreement • April 22nd, 2013 • 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 _____________; 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.
FORM OF CUSTODY AGREEMENTForm of Custody Agreement • April 22nd, 2013 • Aquila Funds Trust • Ohio
THIS AGREEMENT, is made as of ____________, 2013, by and between AQUILA FUNDS TRUST, a business trust organized under the laws of the Commonwealth of Massachusetts (the "Trust"), on behalf of its series AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND, and [JP Morgan Chase Bank, N.A.], a banking company organized under the laws of the United States (the "Custodian").
FORM OF TRANSFER AGENCY SERVICES AGREEMENTForm of Transfer Agency Services Agreement • April 22nd, 2013 • Aquila Funds Trust
THIS AGREEMENT is made as of , 2013 by and between [BNY Mellon], a Delaware corporation, and AQUILA FUNDS TRUST, a Massachusetts business trust, on behalf of its series AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND, (the "Fund").
ANTI-MONEY LAUNDERING AMENDMENT TO DISTRIBUTION AGREEMENTDistribution Agreement • April 22nd, 2013 • Aquila Funds Trust
This ANTI-MONEY LAUNDERING AMENDMENT (this “Amendment”) amends as of the ___ day of _______, 2013 (the “Effective Date”), the Distribution Agreement, dated as of ______________________, between AQUILA FUNDS TRUST, on behalf of its series AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND (hereinafter called the "Fund"), and Aquila Distributors Inc. (the “Distributor”) (the “Agreement”).
FORM OF ANTI-MONEY LAUNDERING AMENDMENTAquila Funds Trust • April 22nd, 2013
This ANTI-MONEY LAUNDERING AMENDMENT (this “Amendment”) amends as of the ___ day of _______, 2013 (the “Effective Date”), the Transfer Agency Service Agreement, dated as of _________________, 2013, between AQUILA FUNDS TRUST, on behalf of its series AQUILA THREE PEAKS HIGH INCOME FUND (the "Fund"), and BNY Mellon (the “Agreement”).
FORM OF ADVISORY AND ADMINISTRATION AGREEMENTForm of Advisory and Administration Agreement • April 22nd, 2013 • Aquila Funds Trust
THIS AGREEMENT, made as of ______________, 2013 by and between AQUILA FUNDS 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.
AQUILA ROCKY MOUNTAIN EQUITY FUND DISTRIBUTION AGREEMENTAquila Rocky Mountain Equity Fund • April 22nd, 2013 • Aquila Funds Trust
AGREEMENT, made as of this ____ day of ____________, 2013 by and between AQUILA FUNDS TRUST, on behalf of its series AQUILA THREE PEAKS OPPORTUNITY GROWTH FUND (hereinafter called the "Fund"), and AQUILA DISTRIBUTORS, INC., (hereinafter called the "Distributor").
FORM OF SUB-ADVISORY AGREEMENTForm of Sub-Advisory Agreement • April 22nd, 2013 • Aquila Funds Trust
THIS AGREEMENT, made as of ______________, 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.
