EX-99.28 4 fp0091385-1_ex9928h15.htm

 

CONFIDENTIAL

 

Amendment No. 9 to Administration, Bookkeeping and Pricing Services Agreement

 

This amendment (the “Amendment”) between the parties signing below (the “Parties”) amends the Existing Agreement as of August 20, 2024 (the “Effective Date”):

 

Term Means
“Existing Agreement”

The Administration, Bookkeeping and Pricing Services Agreement between ALPS, the Trust, and RiverNorth dated December 6, 2010, as amended 

“ALPS” ALPS Fund Services, Inc.
“Trust” RiverNorth Funds
“RiverNorth” RiverNorth Capital Management, 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 Fund Services, Inc.   RiverNorth Capital Management, LLC  
       

By: 

/s/ Bhagesh Malde  

By: 

/s/ Marcus Collins  
           

Name: 

Bhagesh Malde  

Name:

Marcus Collins  
           

Title: 

Authorized Signatory  

Title:

General Counsel and CCO  
           
RiverNorth Funds      
       

By: 

/s/ Marcus Collins        
           

Name: 

Marcus Collins        
           

Title: 

Secretary and CCO        

 

 

Schedule A to this Amendment

Amendments

 

As of the Effective Date, the Existing Agreement is amended as follows:

 

1.The following section entitled “Tailored Shareholder Reporting (“TSR”) Solution” is added to the end of Appendix B:

 

Tailored Shareholder Reporting (“TSR”) Solution

 

a.Capture relevant data needed to prepare Fund’s TSR from Fund accounting data maintained electronically by SS&C.

 

b.Reconcile TSR data collected to N-CSR report values.

 

c.Prepare each Fund’s TSR per class utilizing SS&C standard templates.

 

d.Coordinate the review of TSR with Fund’s auditor and filing of TSR with the SEC.

 

e.Provide Fund online access to a Web Portal for read-only access.

 

f.Notwithstanding anything in this Agreement to the contrary, Fund has ultimate authority over and responsibility for all financial matters and related filings required for it to comply with SEC requirements.

 

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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