EX-99.28.H.7 11 fp0073468_ex9928h7.htm

Amendment to ALPS ETF Trust Administration Agreement

 

This Amendment to ALPS ETF Trust Amended and Restated Administration Agreement (this “Amendment”), dated February 23, 2022 between ALPS ETF Trust, a Delaware statutory trust (the “Trust”), and ALPS Fund Services, Inc. (“ALPS”).

 

WHEREAS, the Trust and ALPS have entered into an ALPS ETF Trust Amended and Restated Administration Agreement dated March 6, 2017 (the “Agreement”).

 

 NOW, THEREFORE, in consideration of the mutual covenants herein contained and for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereby agree as follows:

 

1.       Effective as of the date hereof, Appendix A of the Agreement is hereby deleted in its entirety and replaced with a new Appendix A attached hereto.

 

2.        Effective as of the date hereof, Appendix C of the Agreement is hereby deleted in its entirety and replaced with a new Appendix C attached hereto.

 

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

 

ALPS ETF TRUST   ALPS FUND SERVICES, INC.  
         
By: /s/ Kathryn Burns   By: /s/ Kenneth Fullerton  
Name: Kathryn Burns   Name: Ken Fullerton  
Title: Treasurer   Title: Authorized Representative  

   

 

APPENDIX A

 

Fund Name Initial Approval Date Initial Term
Alerian Energy Infrastructure ETF October 24, 2013 Two Years
Alerian MLP ETF August 11, 2010 Two years
ALPS Emerging Sector Dividend Dogs ETF December 12, 2013 Two Years
ALPS Equal Sector Weight ETF June 23, 2009 Two Years
ALPS International Sector Dividend Dogs ETF June 10, 2013 Two Years
ALPS Medical Breakthroughs ETF December 29, 2014 Two Years
ALPS Sector Dividend Dogs ETF June 11, 2012 Two Years
Barron’s 400 SM ETF June 3, 2013 Two Years
ALPS REIT Dividend Dogs ETF (f/k/a Cohen & Steers Global Realty Majors ETF) April 1, 2008 Two Years
RiverFront Dynamic Core Income ETF June 2, 2016 Two Years
RiverFront Dynamic US Dividend Advantage ETF June 2, 2016 Two Years
RiverFront Dynamic US Flex-Cap ETF June 2, 2016 Two Years
RiverFront Strategic Income Fund June 10, 2013 Two Years
ALPS Disruptive Technologies ETF December 29, 2017 Two Years
ALPS Clean Energy ETF March 5, 2018 Two Years
ALPS Active REIT ETF December 7, 2020 Two Years
ALPS Hillman Active Value ETF March 8, 2021 Two Years
ALPS Global Travel Beneficiaries June 7, 2021 Two Years
ALPS Intermediate Municipal Bond ETF September 13, 2021 Two Years

   

 

APPENDIX C

 

Fees

 

Fund Name Fee
Alerian Energy Infrastructure ETF The Adviser will be compensated by the Fund in an amount equal to 0.35% of its average daily net assets. From that 0.35% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets.
Alerian MLP ETF

The Adviser will be compensated by the Fund in an amount equal to 0.85% of its average daily net assets. From that 0.85% fee, ALPS will be compensated in an amount equal to 0.04% of the Fund’s average daily net assets.

 

ALPS shall be compensated for out-of-pocket expenses (including securities pricing) payable monthly by the Fund.

 

ALPS Emerging Sector Dividend Dogs ETF

The Adviser will be compensated by the Fund in an amount equal to 0.60% of its average daily net assets. From that 0.60% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets.

 

ALPS Equal Sector Weight ETF

From the unitary management fee paid by the Trust to the Adviser, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets.

 

ALPS shall be compensated for out-of-pocket expenses (including securities pricing) payable monthly by the Fund.

 

ALPS International Sector Dividend Dogs ETF

The Adviser will be compensated by the Fund in an amount equal to 0.50% of its average daily net assets. From that 0.50% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets.

 

ALPS Medical Breakthroughs ETF

The Adviser will be compensated by the Fund in an amount equal to 0.50% of its average daily net assets. From that 0.50% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets.

 

ALPS Sector Dividend Dogs ETF

The Adviser will be compensated by the Fund in an amount equal to 0.40% of its average daily net assets. From that 0.40% fee, ALPS will be compensated in an amount equal to 0.03%of the Fund’s average daily net assets.

 

ALPS shall be compensated for out-of-pocket expenses (including securities pricing) payable monthly by the Fund.

   

 

Barron’s 400 SM ETF

The Adviser will be compensated by the Fund in an amount equal to 0.65% of its average daily net assets. From that 0.65 % fee, ALPS will receive the greater of an annual fee of:

 

(1)  $65,000 per Fund for the first year of the Fund’s operations and $80,000 beginning in year two of the Fund’s operations

 

Or

 

(2)  3.5 bps of the first $1 billion of the Fund’s assets; 2 bps on any one Fund’s assets between $1 billion and 2.5 billion; and 1bps on any one Fund’s assets in excess of $2.5 billion

 

ALPS REIT Dividend Dogs ETF (formerly Cohen & Steers Global Realty Majors ETF)

The Adviser will be compensated by the Fund in an amount equal to 0.35% of its average daily net assets. From that 0.35% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets.

 

ALPS shall be compensated for out-of-pocket expenses (including securities pricing) payable monthly by the Fund.

 

RiverFront Dynamic Core Income ETF The Adviser will be compensated by the Fund in an amount equal to 0.51% of its average daily net assets. From that 0.51% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets.
RiverFront Dynamic US Dividend Advantage ETF

The Adviser will be compensated by the Fund in an amount equal to 0.52% of its average daily net assets. From that 0.52% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets.

 

RiverFront Dynamic US Flex-Cap ETF

The Adviser will be compensated by the Fund in an amount equal to 0.52% of its average daily net assets. From that 0.52% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets.

 

RiverFront Strategic Income Fund

The Adviser will be compensated by the Fund in an amount equal to 0.22% of its average daily net assets. From that 0.22% fee, ALPS will be compensated in an amount equal to 0.03% of the Fund’s average daily net assets.

 

ALPS Clean Energy ETF The Adviser will be compensated by the Fund in an amount equal to 0.55% of its average daily net assets. From the 0.55% fee, ALPS will be compensated by the Adviser in an amount equal to 0.03% of the Fund’s average daily net assets.

   

 

ALPS Active REIT ETF The Adviser will be compensated by the Fund in an amount equal to 0.68% of its average daily net assets. From the 0.68% fee, ALPS will be compensated by the Adviser in an amount equal to 0.03% of the Fund’s average daily net assets.
ALPS Hillman Active Value ETF The Adviser will be compensated by the Fund in an amount equal to 0.55% of its average daily net assets. From the 0.55% fee, ALPS will be compensated by the Adviser in an amount equal to 0.03% of the Fund’s average daily net assets.
ALPS Global Travel Beneficiaries ETF The Adviser will be compensated by the Fund in an amount equal to 0.65% of its average daily net assets. From the 0.65% fee, ALPS will be compensated by the Adviser in an amount equal to 0.03% of the Fund’s average daily net assets.
ALPS Intermediate Municipal Bond ETF The Adviser will be compensated by the Fund in an amount equal to 0.50% of its average daily net assets. From the 0.50% fee, ALPS will be compensated by the Adviser in an amount equal to 0.03% of the Fund’s average daily net assets.