May 12, 2022
State Street Bank and Trust Company
Channel Center, CCB7
One Iron Street
Boston, MA 02210
Attention: Patrick Arthur, AVP
Re: ALPS ETF Trust (the “Trust”)
Ladies and Gentlemen:
Please be advised that the undersigned Trust has established four new series (the “Portfolio”) of shares to be known as follows:
ALPS | O’Shares U.S. Quality Dividend ETF
ALPS | O’Shares U.S. Small-Cap Quality Dividend ETF
ALPS | O’Shares Global Internet Giants ETF
ALPS | O’Shares Europe Quality Dividend ETF
In accordance with Section 12, the Additional Portfolio provision, of the Transfer Agency and Service Agreement dated as of June 30, 2015, as amended, modified, or supplemented from time to time (the “Agreement”), by and among each registered investment company party thereto, and State Street Bank and Trust Company (“State Street”), the undersigned Trust hereby requests that State Street act as Transfer Agent for the new Portfolio under the terms of the Agreement. In connection with such request, the undersigned Trust hereby confirms to State Street, as of the date hereof, its representations and warranties set forth in Section 3 of the Agreement. Schedule A to the Agreement shall be deleted and replaced in its entirety with Schedule A attached herein.
Please indicate your acceptance of the foregoing by executing two copies of this letter agreement, returning one to the Trust and retaining one for your records.
| Sincerely, | |
| ALPS ETF Trust | |
| on behalf of: | |
| ALPS | O’Shares U.S. Quality Dividend ETF | |
| ALPS | O’Shares U.S. Small-Cap Quality Dividend ETF | |
| ALPS | O’Shares Global Internet Giants ETF | |
| ALPS | O’Shares Europe Quality Dividend ETF |
| By: | /s/Kathryn Burns | ||
| Name: | Kathryn Burns | ||
| Title: | Treasurer, Duly Authorized |
Information Classification: Limited Access
Agreed and Accepted:
STATE STREET BANK AND TRUST COMPANY
| By: | /s/Suzanne Hinckley | |
| Name: | Suzanne Hinckley | |
| Title: | Senior Vice President, Duly Authorized |
| Effective Date: |
Information Classification: Limited Access
Schedule A
LIST OF PORTFOLIOS
ALPS ETF Trust
| Alerian Energy Infrastructure ETF | Effective 8/3/2015 |
| Alerian MLP ETF | Effective 8/3/2015 |
| ALPS Active REIT ETF | Effective 2/1/2021 |
| ALPS Clean Energy ETF | Effective 6/29/2018 |
| ALPS Disruptive Technologies ETF | Effective 12/29/2017 |
| ALPS Emerging Sector Dividend Dogs ETF | Effective 8/3/2015 |
| ALPS Equal Sector Weight ETF | Effective 8/3/2015 |
| ALPS Global Travel Beneficiaries ETF | Effective 8/24/21 |
| ALPS Hillman Active Value ETF | Effective 7/1/2021 |
| ALPS Intermediate Municipal Bond ETF | Effective |
| ALPS International Sector Dividend Dogs ETF | Effective 8/3/2015 |
| ALPS Medical Breakthroughs ETF | Effective 8/3/2015 |
| ALPS | O’Shares U.S. Quality Dividend ETF | Effective |
| ALPS | O’Shares U.S. Small-Cap Quality Dividend ETF | Effective |
| ALPS | O’Shares Global Internet Giants ETF | Effective |
| ALPS | O’Shares Europe Quality Dividend ETF | Effective |
| ALPS Sector Dividend Dogs ETF | Effective 8/3/2015 |
| Barron's 400 ETF | Effective 8/3/2015 |
| ALPS REIT Dividend DOGS ETF (f/k/a Cohen & Steers Global Realty Majors ETF) | Effective 8/3/2015 |
| RiverFront Dynamic Core Income ETF | Effective 6/10/2016 |
| RiverFront Dynamic US Dividend Advantage ETF | Effective 6/3/2016 |
| RiverFront Dynamic US Flex-Cap ETF | Effective 6/3/2016 |
| Riverfront Strategic Income Fund | Effective 8/3/2015 |
Information Classification: Limited Access
