SUPPLEMENT TO INVESTMENT MANAGEMENT AGREEMENT PIMCO ETF Trust 840 Newport Center Drive Newport Beach, California 92660 May 23, 2011 Pacific Investment Management Company LLC 840 Newport Center Drive Newport Beach, California 92660 RE: PIMCO Foreign...Investment Management Agreement • August 26th, 2011 • PIMCO ETF Trust
SUPPLEMENT TO INVESTMENT MANAGEMENT AGREEMENT PIMCO ETF Trust 840 Newport Center Drive Newport Beach, California 92660 May 23, 2011 Pacific Investment Management Company LLC 840 Newport Center Drive Newport Beach, California 92660
AMENDED AND RESTATED FEE WAIVER AGREEMENT PIMCO ETF Trust Newport Beach, California 92660 August 23, 2023Fee Waiver Agreement • October 26th, 2023 • PIMCO ETF Trust
This letter (the “Agreement”) amends and restates the agreement between PIMCO ETF Trust (the “Trust”) on behalf of the Fund and Pacific Investment Management Company LLC (“PIMCO”) dated November 16, 2022. This Agreement will confirm the agreement between the Trust on behalf of the Fund and PIMCO as follows:
FORM OF AUTHORIZED PARTICIPANT AGREEMENT PIMCO ETF TrustAuthorized Participant Agreement • October 28th, 2016 • PIMCO ETF Trust • New York
This Authorized Participant Agreement (the “Agreement”) is entered into between PIMCO Investments LLC (the “Distributor”) and _____________________________________ (the “Participant”) and is subject to acceptance by State Street Bank and Trust Company (the “Transfer Agent”). The Distributor, the Participant, and the Transfer Agent acknowledge and agree that PIMCO ETF Trust (the “Trust”) and each series thereof (each, a “Fund,” and collectively, the “Funds”) shall be a third-party beneficiary of this Agreement and shall receive the benefits contemplated by this Agreement to the extent specified herein. Capitalized terms used but not defined herein are defined in the current prospectus for each Fund (together with the Statement of Additional Information (“SAI”) incorporated therein, the “Prospectus”).
FORM OF AUTHORIZED PARTICIPANT AGREEMENT PIMCO ETF TrustAuthorized Participant Agreement • May 26th, 2009 • PIMCO ETF Trust • New York
This Authorized Participant Agreement (the “Agreement”) is entered into between Allianz Global Investors Distributors LLC (the “Distributor”) and ; NSCC # (the “Participant”) and is subject to acceptance by State Street Bank and Trust Company (the “Transfer Agent”) as transfer agent for PIMCO ETF Trust (the “Trust”). The Distributor, the Participant, and the Transfer Agent acknowledge and agree that the Trust and each series thereof (each, a “Fund”) shall be a third-party beneficiary of this Agreement and shall receive the benefits contemplated by this Agreement to the extent specified herein. Capitalized terms used but not defined herein are defined in the current prospectus (together with the Statement of Additional Information incorporated therein, the “Prospectus”) for each Fund.
FEE WAIVER AGREEMENT PIMCO ETF Trust Newport Beach, California 92660 August 12, 2014Fee Waiver Agreement • September 3rd, 2014 • PIMCO ETF Trust
This will confirm the agreement between the undersigned (the “Trust”) and Pacific Investment Management Company LLC (“PIMCO”), as follows:
PARTICIPATION AGREEMENTParticipation Agreement • October 25th, 2019 • PIMCO ETF Trust • Delaware
THIS AGREEMENT is entered into as of [ ], 20[ ], among [Name of Acquiring Trust], a [ ] trust, on behalf of itself and its separate series listed on Schedule A, severally and not jointly (each, an “Acquiring Fund”), and PIMCO ETF Trust and PIMCO Equity Series, each a statutory trust organized under the laws of the State of Delaware (each, a “Trust” and collectively, the “Trusts”), each on behalf of its respective series listed on Schedule B and such additional series as shall be designated in the future, severally and not jointly (each, a “Fund” and collectively, the “Funds”).
FEE WAIVER AGREEMENT PIMCO ETF Trust Newport Beach, California 92660 November 15, 2023Fee Waiver Agreement • October 28th, 2024 • PIMCO ETF Trust
This will confirm the agreement between the undersigned (the “Trust”) and Pacific Investment Management Company LLC (“PIMCO”), as follows:
FORM OF INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • February 16th, 2023 • PIMCO ETF Trust
This INVESTMENT MANAGEMENT AGREEMENT (together with any schedules, exhibits or other attachments hereto, and as it may be amended, restated or otherwise modified from time to time, this “Agreement”), is made and entered into as of [ ], [ ] by and between [ ], a Cayman Islands exempted company (the “Fund”), and Pacific Investment Management Company LLC, a Delaware limited liability company (the “Investment Manager”). Capitalized terms not otherwise defined herein have the meanings specified in the Memorandum and Articles of Association of the Fund (as amended, restated or otherwise modified from time to time, the “Articles”).
SUPPLEMENT TO INVESTMENT MANAGEMENT AGREEMENT PIMCO ETF TrustInvestment Management Agreement • February 16th, 2023 • PIMCO ETF Trust
This Supplement and the Agreement shall become effective with respect to the Fund on February 8, 2023 and shall continue in effect for a period not to exceed two years from the effective date of this Supplement and shall continue thereafter on an annual basis with respect to the Fund only so long as such continuance is specifically approved at least annually by (a) the Trust’s Board of Trustees or by the vote of a majority of the outstanding voting securities (as defined in the Investment Company Act of 1940, as amended (the “1940 Act”)) of the Fund, and (b) the vote, cast in accordance with the provisions of the 1940 Act and the rules and any applicable Securities and Exchange Commission guidance or relief thereunder at a meeting called for such purpose, of a majority of the Trust’s Trustees who are not parties to the Contract or “interested persons” (as defined in the 1940 Act) of any such party. This Supplement and the Contract shall terminate automatically in the event of its assig
DISTRIBUTION CONTRACT PIMCO ETF Trust Newport Beach, California 92660 November 9, 2010Distribution Contract • February 14th, 2011 • PIMCO ETF Trust
AMENDED AND RESTATED FEE WAIVER AGREEMENT PIMCO ETF Trust Newport Beach, California 92660 August 21, 2024Fee Waiver Agreement • October 28th, 2024 • PIMCO ETF Trust
Effective as of November 1, 2024, this letter (the “Agreement”) amends and restates the agreement between PIMCO ETF Trust (the “Trust”) on behalf of the Fund and Pacific Investment Management Company LLC (“PIMCO”) dated February 8, 2023. This Agreement will confirm the agreement between the Trust on behalf of the Fund as follows:
FEE WAIVER AGREEMENT PIMCO ETF Trust Newport Beach, California 92660 March 30, 2023Fee Waiver Agreement • October 26th, 2023 • PIMCO ETF Trust
This will confirm the agreement between the undersigned (the “Trust”) and Pacific Investment Management Company LLC (“PIMCO”), as follows:
SUB-ADVISORY AGREEMENT PIMCO ETF TRUST Newport Beach, California 92660Sub-Advisory Agreement • August 15th, 2014 • PIMCO ETF Trust • California
WHEREAS, Pacific Investment Management Company LLC, a Delaware limited liability company (the “Adviser”) has been retained by PIMCO ETF Trust (the “Trust”), an open-end management investment company registered under the Investment Company Act of 1940, as amended (the “1940 Act”) as investment adviser, to provide investment advisory services to the series of the Trust, including the series listed on Exhibit A attached hereto and made a part hereof, as such Exhibit A may be amended from time to time (each a “Fund” and collectively, the “Funds”), pursuant to an investment management agreement (the “Investment Management Agreement”);
INVESTMENT MANAGEMENT AGREEMENT INVESTMENT MANAGEMENT AGREEMENT, made this 24th day of April, 2009, between PIMCO ETF Trust (the "Trust"), a Delaware statutory trust, and Pacific Investment Management Company LLC ("PIMCO"). WHEREAS, the Trust is...Investment Management Agreement • August 27th, 2010 • PIMCO ETF Trust
INVESTMENT MANAGEMENT AGREEMENT, made this 24th day of April, 2009, between PIMCO ETF Trust (the "Trust"), a Delaware statutory trust, and Pacific Investment Management Company LLC ("PIMCO"). WHEREAS, the Trust is registered with the Securities and Exchange Commission ("SEC") as an open-end management investment company under the Investment Company Act of 1940, as amended (the "1940 Act"); and WHEREAS, the Trust is authorized to issue shares of beneficial interest ("Shares") in separate series which are listed in the attached Schedule A (as amended from time to time), with each such series representing interests in a separate portfolio of securities and other assets; and WHEREAS, the Trust desires to retain PIMCO to render investment advisory and supervisory and administrative services hereunder with respect to the series listed in Schedule A together with any other series subsequently established by the Trust, and with respect to which PIMCO is willing to do so, being herein collectiv
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • May 26th, 2009 • PIMCO ETF Trust • Massachusetts
THIS AGREEMENT is made as of the 21 day of May, 2009, by and between STATE STREET BANK AND TRUST COMPANY, a trust company chartered under the laws of the Commonwealth of Massachusetts having its principal office and place of business at One Lincoln Center, Boston, Massachusetts 02111 (“State Street” or the “Transfer Agent”), and PACIFIC INVESTMENT MANAGEMENT COMPANY LLC, a Delaware limited liability company having its principal office and place of business at 840 Newport Center Drive, Newport Beach, California 92660 (“PIMCO” or the “Administrator”) on behalf of PIMCO ETF Trust, a Delaware statutory trust (the “Trust”).
FIRST AMENDED AND RESTATED FEE WAIVER AGREEMENT PIMCO ETF Trust Newport Beach, California 92660 May 8, 2017Fee Waiver Agreement • August 25th, 2017 • PIMCO ETF Trust
This Agreement dated May 8, 2017 amends and restates the Fee Waiver Agreement between PIMCO ETF Trust (the “Trust”) on behalf of the Fund and Pacific Investment Management Company LLC (“PIMCO”), dated August 15, 2014. This will confirm the agreement between the Trust and PIMCO, as follows:
Schedule A to Expense Limitation Agreement Dated April 24, 2009 Amended August 11, 2009Limitation Agreement • October 9th, 2009 • PIMCO ETF Trust
FEE AND EXPENSE LIMITATION AGREEMENT PIMCO ETF TRUST Newport Beach, California 92660 August 11, 2009Limitation Agreement • October 9th, 2009 • PIMCO ETF Trust
This will confirm the agreement between the undersigned (the “Trust”), Pacific Investment Management Company LLC (“PIMCO”) and Allianz Global Investors Distributors LLC (“AGID”) as follows:
SUPPLEMENT TO INVESTMENT MANAGEMENT AGREEMENT PIMCO ETF TrustInvestment Management Agreement • November 23rd, 2022 • PIMCO ETF Trust
This Supplement and the Agreement shall become effective with respect to the Fund on November 16, 2022 and shall continue in effect for a period not to exceed two years from the effective date of this Supplement and shall continue thereafter on an annual basis with respect to the Fund only so long as such continuance is specifically approved at least annually by (a) the Trust’s Board of Trustees or by the vote of a majority of the outstanding voting securities (as defined in the Investment Company Act of 1940, as amended (the “1940 Act”)) of the Fund, and (b) the vote, cast in accordance with the provisions of the 1940 Act and the rules and any applicable Securities and Exchange Commission guidance or relief thereunder at a meeting called for such purpose, of a majority of the Trust’s Trustees who are not parties to the Contract or “interested persons” (as defined in the 1940 Act) of any such party. This Supplement and the Contract shall terminate automatically in the event of its assi
DISTRIBUTION CONTRACT PIMCO ETF Trust Newport Beach, California 92660 May 20, 2022Distribution Contract • October 27th, 2022 • PIMCO ETF Trust
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • May 26th, 2009 • PIMCO ETF Trust • California
INVESTMENT MANAGEMENT AGREEMENT, made this 24th day of April, 2009, between PIMCO ETF Trust (the “Trust”), a Delaware statutory trust, and Pacific Investment Management Company LLC (“PIMCO”).
AUTHORIZED PARTICIPANT AGREEMENT PIMCO ETF Trust PIMCO Equity SeriesAuthorized Participant Agreement • October 28th, 2024 • PIMCO ETF Trust • New York
This Authorized Participant Agreement (the “Agreement”) is entered into between PIMCO Investments LLC (the “Distributor”) and (the “Participant”) and is subject to acceptance by State Street Bank and Trust Company (the “Transfer Agent”). The Distributor, the Participant, and the Transfer Agent acknowledge and agree that PIMCO ETF Trust and PIMCO Equity Series (each a “Trust” and collectively, the “Trusts”) and each exchange-traded series thereof (each, a “Fund,” and collectively, the “Funds”) shall each be a third-party beneficiary of this Agreement and shall each receive the benefits contemplated by this Agreement to the extent specified herein. Capitalized terms used but not defined herein are defined in the current prospectus for each Fund (together with the Statement of Additional Information (“SAI”) incorporated therein, the “Prospectus”).
February 8, 2023 State Street Bank and Trust CompanyPIMCO ETF Trust • February 16th, 2023
AMENDMENT TO FIRST AMENDED AND RESTATED FEE WAIVER AGREEMENT PIMCO ETF Trust Newport Beach, California 92660Fee Waiver Agreement • October 25th, 2019 • PIMCO ETF Trust
This amendment dated July 31, 2019 amends the First Amended and Restated Fee Waiver Agreement between PIMCO ETF Trust (the “Trust”) on behalf of the Fund and Pacific Investment Management Company LLC (“PIMCO”), dated May 8, 2017 (the “Agreement”) as follows:
July 21, 2021PIMCO ETF Trust • October 28th, 2021
AGREEMENT AND PLAN OF REORGANIZATION AND LIQUIDATIONAgreement and Plan of Reorganization and Liquidation • September 26th, 2024 • PIMCO ETF Trust
THIS AGREEMENT AND PLAN OF REORGANIZATION AND LIQUIDATION (“Agreement”) is made as of this 20th day of September, 2024, by PIMCO ETF Trust, a Delaware statutory trust, on behalf of its series PIMCO Mortgage-Backed Securities Active Exchange-Traded Fund (the “Acquiring Fund”), and PIMCO Funds, a Massachusetts business trust, on behalf of its series, PIMCO Mortgage-Backed Securities Fund (the “Acquired Fund”), and, with respect to paragraph 10.2 of this Agreement, Pacific Investment Management Company LLC, a limited liability company organized under the laws of the State of Delaware (“PIMCO”).
SUPPLEMENT TO INVESTMENT MANAGEMENT AGREEMENT PIMCO ETF TrustInvestment Management Agreement • August 25th, 2017 • PIMCO ETF Trust
As provided in the Investment Management Agreement between PIMCO ETF Trust (the “Trust”) and Pacific Investment Management Company LLC (“PIMCO”), dated April 24, 2009 (the “Agreement”), Schedule A to the Agreement sets forth the series of the Trust for which the Agreement has been approved (collectively, the “Funds”), under the same terms and conditions as set forth in the Agreement, and the fee rates for the Funds, as may be amended from time to time.
Appendix A to Custody & Investment Accounting Agreement Dated May 22, 2009 Amended August 11, 2009 List of Funds of PIMCO ETF TrustInvestment Accounting Agreement • August 19th, 2009 • PIMCO ETF Trust
CUSTODY AND INVESTMENT ACCOUNTING AGREEMENTCustody and Investment Accounting Agreement • May 26th, 2009 • PIMCO ETF Trust • Massachusetts
THIS AGREEMENT is made effective on the 22nd day of May, 2009, by and between STATE STREET BANK AND TRUST COMPANY, a trust company chartered under the laws of the Commonwealth of Massachusetts (“State Street”), PIMCO ETF Trust, a Delaware statutory trust (the “Trust”), and PACIFIC INVESTMENT MANAGEMENT COMPANY LLC, a Delaware limited liability company (“PIMCO”).
SUPPLEMENT TO DISTRIBUTION CONTRACT PIMCO ETF Trust Newport Beach, California 92660 October 31, 2012Distribution Contract • April 22nd, 2013 • PIMCO ETF Trust
SUPPLEMENT TO DISTRIBUTION CONTRACT PIMCO ETF Trust Newport Beach, California 92660 February 8, 2023Distribution Contract • February 16th, 2023 • PIMCO ETF Trust
Schedule A to Second Amended and Restated Expense Limitation AgreementLimitation Agreement • November 12th, 2019 • PIMCO ETF Trust
SUPPLEMENT TO DISTRIBUTION CONTRACT PIMCO ETF Trust Newport Beach, California 92660 May 23, 2011Distribution Contract • July 7th, 2011 • PIMCO ETF Trust
Schedule A to Second Amended and Restated Expense Limitation AgreementLimitation Agreement • November 23rd, 2022 • PIMCO ETF Trust
SUPPLEMENT TO INVESTMENT MANAGEMENT AGREEMENT PIMCO ETF TrustInvestment Management Agreement • June 4th, 2024 • PIMCO ETF Trust
This Supplement and the Agreement shall become effective with respect to the Fund on May 10, 2024 and shall continue in effect for a period not to exceed two years from the effective date of this Supplement and shall continue thereafter on an annual basis with respect to the Fund only so long as such continuance is specifically approved at least annually by (a) the Trust’s Board of Trustees or by the vote of a majority of the outstanding voting securities (as defined in the Investment Company Act of 1940, as amended (the “1940 Act”)) of the Fund, and (b) the vote, cast in accordance with the provisions of the 1940 Act and the rules and any applicable Securities and Exchange Commission guidance or relief thereunder at a meeting called for such purpose, of a majority of the Trust’s Trustees who are not parties to the Agreement or “interested persons” (as defined in the 1940 Act) of any such party. This Supplement and the Agreement shall terminate automatically in the event of its assignm
