EX-99.28.H.3 36 fp0024532_ex9928h3.htm
 
Exhibit (h)(3)

June 2, 2016

State Street Bank and Trust Company
Channel Center, CCB7
One Iron Street
Boston, MA 02210
Attention:  Penny O’Kelley, Managing Director

Re:  ALPS ETF Trust (the “Trust”)

Ladies and Gentlemen:

Please be advised that the undersigned Trust has established four new series of shares to be known as RIVERFRONT DYNAMIC UNCONSTRAINED INCOME ETF, RIVERFRONT DYNAMIC CORE INCOME ETF, RIVERFRONT DYNAMIC US DIVIDEND ADVANTAGE ETF, RIVERFRONT DYNAMIC US FLEX-CAP ETF, respectively (the “Portfolios”).

In accordance with Section 12, the Additional Portfolios 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 Portfolios 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:
 
RIVERFRONT DYNAMIC UNCONSTRAINED INCOME ETF
 
RIVERFRONT DYNAMIC CORE INCOME ETF
 
RIVERFRONT DYNAMIC US DIVIDEND ADVANTAGE ETF
 
RIVERFRONT DYNAMIC US FLEX-CAP ETF
       
 
By:
/s/ Thomas A. Carter
 
 
Name:
Thomas A. Carter
 
 
Title:
President, Duly Authorized
 

Agreed and Accepted:
STATE STREET BANK AND TRUST COMPANY
By:
/s/ Jane Kirkland
 
Name:
Jane Kirkland
 
Title:
Senior Vice President, Duly Authorized
 

Effective Date: 6/2/2016


Schedule A

LIST OF PORTFOLIOS

Alerian Energy Infrastructure ETF
Effective 8/3/2015
Alerian MLP ETF
Effective 8/3/2015
ALPS Emerging Sector Dividend Dogs ETF
Effective 8/3/2015
ALPS Enhanced Put Write Strategy ETF
Effective 6/30/2015
ALPS Equal Sector Weight ETF
Effective 8/3/2015
ALPS International Sector Dividend Dogs ETF
Effective 8/3/2015
ALPS Medical Breakthroughs ETF
Effective 8/3/2015
ALPS MSCI EAFE Equal Sector Weighted ETF
Effective 6/30/2015
ALPS MSCI Emerging Markets Equal Sector Weighted ETF
Effective 6/30/2015
ALPS Sector Dividend Dogs ETF
Effective 8/3/2015
Barron's 400 ETF
Effective 8/3/2015
Cohen & Steers Global Reality Majors ETF
Effective 8/3/2015
Janus Velocity Tail Risk Hedged Large Cap ETF
Effective 8/3/2015
Janus Velocity Volatility Hedged Large Cap ETF
Effective 8/3/2015
RiverFront Dynamic Unconstrained Income ETF
Effective 6/10/2016
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
Sprott Buzz Social Media Insights EFT
Effective 4/15/2016
Sprott Gold Miners ETF
Effective 8/3/2015
Sprott Junior Gold Miners ETF
Effective 8/3/2015
U.S. Equity High Volatility Put Write Index Fund
Effective 8/3/2015
Workplace Equality Portfolio
Effective 8/3/2015