EX-99.28.H.7 6 fp0051994_ex9928h7.htm

Exhibit (h)(7)

 

Amendment to

LIQUDITY RISK MANAGEMENT ADDENDUM
to Amended and Restated Administration Agreement

 

This Amendment (this “Amendment”) dated January 2, 2020, is to the Liquidity Risk Management Addendum (the “Addendum”) dated December 1, 2018 to the Amended and Restated Administration Agreement dated March 6, 2017, as amended (the “Agreement”), by and between ALPS Advisors, Inc., a Colorado corporation (“Adviser”), ALPS Fund Services, Inc., a Colorado corporation (“ALPS”) and ALPS ETF Trust, a Delaware statutory trust (the “Trust”).

 

WHEREAS, the Trust, the Adviser and ALPS have previously entered into the Addendum to the Agreement, pursuant to which ALPS provides the Trust with certain administrative services; and

 

WHEREAS, the Trust, the Adviser and ALPS wish to supplement the Addendum to the Agreement to provide for services to be performed by ALPS in connection with a new investment objective for the ALPS REIT Dividend Dogs ETF and to revise the fees for those services accordingly.

 

NOW THEREFORE, in consideration of the promises and mutual covenants hereinafter contained, the parties hereto agree as follows:

 

1.Effective as of the date of this Amendment, Appendix II (Compensation) to the Addendum is hereby deleted in its entirety and replaced with Appendix II (Compensation), attached hereto.

 

Except as specifically set forth herein, all other provisions of the Addendum shall remain in full force and effect. Any items not herein defined shall have the meaning ascribed to them in the Addendum.

 

[Remainder of page intentionally left blank. Signature page to follow.]

 

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Exhibit (h)(7)

 

IN WITNESS WHEREOF, the parties hereto have executed this Amendment as of the day and year first above written.

 

  ALPS ETF TRUST  
       
  By: /s/ Kathryn Burns  
  Name: Kathryn Burns  
  Title: Treasurer  
       
  ALPS FUND SERVICES, INC.  
       
  By: /s/ Rahul Kanwar  
  Name: Rahul Kanwar  
  Title: Authorized Representative  
       
  ALPS ADVISORS, INC.  
       
  By: /s/ Rahul Kanwar  
  Name: Rahul Kanwar  
  Title: Authorized Representative  

 

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Appendix II

Compensation

 

Fees for the Additional Services:

For the Additional Services, the Trust will pay to ALPS the following annual fees, payable monthly:

 

Fund Annual Fund Fee ($)
Alerian Energy Infrastructure ETF  
Alerian MLP ETF  
ALPS Disruptive Technologies ETF  
ALPS Emerging Sector Dividend Dogs ETF  
ALPS Equal Sector Weight ETF  
ALPS International Sector Dividend Dogs ETF  
ALPS Medical Breakthroughs ETF  
ALPS Sector Dividend Dogs ETF  
ALPS Clean Energy ETF  
ALPS REIT Dividend Dogs ETF  
BARRON'S 400SM ETF  
RiverFront Dynamic Core Income ETF  
RiverFront Dynamic Unconstrained Income ETF  
RiverFront Dynamic US Dividend Advantage ETF  
RiverFront Dynamic US Flex-Cap ETF  
RiverFront Strategic Income Fund  

 

The above fees are based on assumptions derived from the Trust’s historical portfolio information and/or information provided by the Trust. ALPS’ fees are subject to revision by ALPS, upon prior notice to and acceptance by the Trust, if ALPS determines that a cost of living adjustment is appropriate or that the Trust’s portfolio composition changes or additional work is required by ALPS as compared to what ALPS originally contemplated for its provision of the Additional Services. The Trust’s use of alternative data suppliers may result in additional fees may as determined by ALPS and accepted by the Trust.

 

Third Party Expenses:

All reasonable third party expenses incurred in providing the Additional Services will be billed to the Trust, including, but not limited to, liquidity services fees, expenses related to security reference data, portfolio risk metrics, valuation leveling, and/or similar data provided by third party suppliers. For third party suppliers from which the Trust receives services as part of an existing ALPS relationship or agreement, the Trust will be billed the amount attributable to the services it received, calculated before application of any discount that ALPS may receive as part of its overall relationship with the supplier (if applicable). All expenses in which a third party supplier does not have an established relationship with ALPS will be billed to the Trust as incurred.

 

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