Distribution Agreement (2017)Full Document 

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THIS AGREEMENT is made as of August 14, 2017, by and between Stone Ridge Trust IV, a Delaware statutory trust (the "Trust"), on behalf of Stone Ridge Post-Event Reinsurance Fund (the "Fund"), and ALPS Distributors, Inc., a Colorado corporation ("ALPS").

WHEREAS, the Fund is a closed-end management investment company that is operated as an interval fund and registered under the Investment Company Act of 1940, as amended ("1940 Act");

WHEREAS, ALPS is registered as a broker-dealer under the Securities Exchange Act of 1934, as amended (the "Exchange Act") and a member of the Financial Industry Regulatory Authority ("FINRA"); and

WHEREAS, the Fund wishes to employ the services of ALPS in connection with the promotion and distribution of the shares of the Fund (the "Shares").

NOW, THEREFORE, in consideration of the mutual promises and undertakings herein contained, the parties agree as follows.


ALPS Appointment and Duties.


The Fund hereby appoints ALPS to provide the distribution services set forth in this Agreement on Appendix A, as amended from time to time, upon the terms and conditions hereinafter set forth. ALPS hereby accepts such appointment and agrees to furnish such specified services. ALPS shall for all purposes be deemed to be an independent contractor and shall, except as otherwise expressly authorized in this Agreement, have no authority to act for or represent the Fund in any way or otherwise be deemed an agent of the Fund.


ALPS may employ or associate itself with a person or persons or organizations as ALPS believes to be desirable in the performance of its duties hereunder; provided that, in such event, the compensation of such person or persons or organizations shall be paid by and be the sole responsibility of ALPS, and the Fund shall bear no cost or obligation with respect thereto; and provided further that ALPS shall not be relieved of any of its obligations under this Agreement in such event and shall be responsible for all acts of any such person or persons or organizations taken in furtherance of this Agreement to the same extent it would be for its own acts.


ALPS Compensation; Expenses.

ALPS will bear all expenses in connection with the performance of its services under this Agreement, except as otherwise provided herein. ALPS will not bear any of the costs of Fund personnel. Other Fund expenses incurred shall be borne by the Fund in accordance with the terms of its investment management agreement, including, but not limited to, initial organization and offering expenses; the blue sky registration and qualification of

Shares for sale in the various states in which the officers of the Fund shall determine it advisable to qualify such Shares for sale (including registering the Fund as a broker or dealer or any officer of the Fund as agent or salesman in any state); litigation expenses; taxes; costs of preferred shares; expenses of conducting repurchase offers for the purpose of repurchasing Fund shares; administration, transfer agency, and custodial expenses; interest; Fund trustees’ fees; brokerage fees and commissions; state and federal registration fees; advisory fees; insurance premiums; fidelity bond premiums; Fund and investment advisory related legal expenses; costs of maintenance of Fund existence; printing and delivery of materials in connection with meetings of the Fund’s trustees; printing and mailing of shareholder reports, prospectuses, statements of additional information, other offering documents and supplements, proxy materials, repurchase offer notifications and other communications to shareholders; securities pricing data and expenses in connection with electronic filings with the U.S. Securities and Exchange Commission (the "SEC"). To the extent applicable, the Fund is responsible for all reasonable out-of-pocket expenses incurred by ALPS in connection with travel expenses to Board of Trustees of the Fund ("Board") meetings.

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