AMENDMENT 3
This amendment (the “Amendment”) between the parties signing below (the “Parties”) amends the Existing Agreement as of January 20, 2023 (the “Effective Date”):
| Term | Means |
| “Existing Agreement” | The Distribution Services, Advertising and Sales Material Review, and Licensing of Registered Representatives Letter Agreement between ALPS and the Client dated October 31, 2022, as amended |
| “ALPS” | ALPS Distributors, Inc. |
| “Client” | AXS Investments, LLC |
Except as amended hereby, all terms of the Existing Agreement remain in full force and effect. This Amendment includes the amendments in Schedule A and general terms in Schedule B.
IN WITNESS WHEREOF, the Parties have executed this Amendment by their duly authorized representatives.
| ALPS Distributors, Inc. | AXS Investments, LLC | |||
By: | By: | |||
Name: | Stephen Kyllo | Name: | ||
Title: | SVP & Director | Title: | ||
Schedule A to this Amendment
Amendments
Effective as of the Effective Date, the Existing Agreement is amended as follows:
| 1. | EXHIBIT A: FUNDS shall be deleted in its entirety and replaced with the following new EXHIBIT A: FUNDS |
EXHIBIT A: FUNDS
Investment Managers Series Trust II
AXS Mutual Funds:
AXS Adaptive Plus Fund
AXS All Terrain Opportunity Fund
AXS Alternative Growth Fund
AXS Alternative Value Fund
AXS Chesapeake Strategy Fund
AXS Dynamic Opportunity Fund
AXS Income Opportunities Fund
AXS Market Neutral Fund
AXS Merger Fund
AXS Multi-Strategy Alternatives Fund
AXS Sustainable Income Fund
AXS Tactical Income Fund
AXS Thomson Reuters Private Equity Return Tracker Fund
AXS Thomson Reuters Venture Capital Return Fund
AXS Exchange-Traded Funds:
AXS 1.25X NVDA Bear Daily ETF
AXS 1.5X PYPL Bear Daily ETF
AXS 1.5X PYPL Bull Daily ETF
AXS 2X Innovation ETF
AXS 2X NKE Bear Daily ETF
AXS 2X NKE Bull Daily ETF
AXS 2X PFE Bear Daily ETF
AXS 2X PFE Bull Daily ETF
AXS Astoria Inflation Sensitive ETF
AXS Brendan Wood TopGun Index ETF
AXS Change Finance ESG ETF
AXS Cannabis ETF
AXS Esoterica NextG Economy ETF
AXS First Priority CLO Bond ETF
AXS Short China Internet ETF
AXS Short De-SPAC Daily ETF
AXS Short Innovation Daily ETF
AXS TSLA Bear Daily ETF
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Schedule B to this Amendment
General Terms
| 1. | Capitalized terms not defined herein shall have the meanings given to them in the Existing Agreement. |
| 2. | The Parties’ duties and obligations are governed by and limited to the express terms and conditions of this Amendment, and shall not be modified, supplemented, amended or interpreted in accordance with, any industry custom or practice, or any internal policies or procedures of any Party. This Amendment (including any attachments, schedules and addenda hereto), along with the Existing Agreement, as amended, contains the entire agreement of the Parties with respect to the subject matter hereof and supersedes all previous communications, representations, understandings and agreements, either oral or written, between the Parties with respect thereto. |
| 3. | This Amendment may be executed in counterparts, each of which when so executed will be deemed to be an original. Such counterparts together will constitute one agreement. Signatures may be exchanged via facsimile or electronic mail and signatures so exchanged shall be binding to the same extent as if original signatures were exchanged. |
| 4. | This Amendment and any dispute or claim arising out of or in connection with it, its subject matter or its formation (including non-contractual disputes or claims) shall be governed by and construed in accordance with the laws of the same jurisdiction as the Existing Agreement. |
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