TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • December 14th, 2022 • Neuberger Berman ETF Trust
THIS AGREEMENT (the “Agreement”) is made as of the February 22, 2022, by and between STATE STREET BANK AND TRUST COMPANY, Massachusetts trust company having its principal office and place of business at One Lincoln Street, Boston, Massachusetts 02111 (“State Street” or the “Transfer Agent”), and NEUBERGER BERMAN ETF TRUST, a Delaware statutory trust having its principal office and place of business at 1290 Avenue of the Americas, New York, NY 10104 (the “Trust”).
MANAGEMENT AGREEMENT NEUBERGER BERMAN ETF TRUSTManagement Agreement • December 14th, 2022 • Neuberger Berman ETF Trust • New York
This Agreement is made as of October 21, 2022, between Neuberger Berman ETF Trust, a Delaware statutory trust (“Trust”), and Neuberger Berman Investment Advisers LLC, a Delaware limited liability company (“Manager”).
MANAGEMENT AGREEMENT NEUBERGER BERMAN CAYMAN COMMODITY FUND I LTD.Management Agreement • December 14th, 2022 • Neuberger Berman ETF Trust • New York
This Agreement is made as of October 21, 2022, between Neuberger Berman Cayman Commodity Fund I Ltd., an exempted company organized under the laws of the Cayman Islands (“Company”), and Neuberger Berman Investment Advisers LLC, a Delaware limited liability company (“Manager”).
ADMINISTRATION AGREEMENT NEUBERGER BERMAN CAYMAN COMMODITY FUND I LTD.Administration Agreement • December 14th, 2022 • Neuberger Berman ETF Trust • New York
This Agreement is made as of October 21, 2022, between Neuberger Berman Cayman Commodity Fund I Ltd., an exempted company organized under the laws of the Cayman Islands (“Company”), and Neuberger Berman Investment Advisers LLC, a Delaware limited liability company (“Administrator”).
MANAGEMENT AGREEMENT NEUBERGER BERMAN ETF TRUSTManagement Agreement • December 14th, 2022 • Neuberger Berman ETF Trust • New York
This Agreement is made as of January 3, 2022, between Neuberger Berman ETF Trust, a Delaware statutory trust (“Trust”), and Neuberger Berman Investment Advisers LLC, a Delaware limited liability company (“Manager”).
NEUBERGER BERMAN ETF TRUST MANAGEMENT AGREEMENT SCHEDULE A SERIES OF NEUBERGER BERMAN ETF TRUSTNeuberger Berman ETF Trust • August 2nd, 2023
Compensation pursuant to Paragraph 3 of the Management Agreement shall be calculated in accordance with the following schedules:
NEUBERGER BERMAN ETF TRUST ADMINISTRATION AGREEMENT SCHEDULE ANeuberger Berman ETF Trust • June 11th, 2024
EXPENSE LIMITATION AGREEMENT NEUBERGER BERMAN ETF TRUST NEUBERGER BERMAN COMMODITY STRATEGY ETFExpense Limitation Agreement • December 15th, 2023 • Neuberger Berman ETF Trust
Neuberger Berman Commodity Strategy ETF (“Fund”) is a series of Neuberger Berman ETF Trust, a Delaware statutory trust (“Trust”).
NEUBERGER BERMAN ETF TRUST ADMINISTRATION AGREEMENT SCHEDULE ANeuberger Berman ETF Trust • March 4th, 2024
EXPENSE LIMITATION AGREEMENT NEUBERGER BERMAN ETF TRUST NEUBERGER BERMAN FLEXIBLE CREDIT INCOME ETFExpense Limitation Agreement • June 11th, 2024 • Neuberger Berman ETF Trust
You hereby agree, from June 19, 2024 until the date noted below (“Limitation Period”), to waive fees and/or reimburse annual operating expenses (excluding interest, brokerage commissions, taxes including any expenses relating to tax reclaims, acquired fund fees and expenses, dividend and interest expenses relating to short sales, and extraordinary expenses, if any) (“Operating Expenses”) of the Fund so that the Operating Expenses of the Fund do not exceed 0.39% of average net assets until 10/31/2025 (after taking into account the Fee Waiver discussed below) and 0.49% of average net assets from 11/1/2025 to 10/31/2027 (the “Expense Limitation”) and may not be terminated during its term without the consent of the Board. Commitment fees relating to borrowings are treated as interest for purposes of this section. As noted above, the Expense Limitation for the Limitation Period from 6/19/2024 to10/31/2025 takes into account a contractual management fee waiver of 0.10% of the Fund's average
NEUBERGER BERMAN ETF TRUST MANAGEMENT AGREEMENT SCHEDULE A SERIES OF NEUBERGER BERMAN ETF TRUSTNeuberger Berman ETF Trust • June 11th, 2024
Compensation pursuant to Paragraph 3 of the Management Agreement shall be calculated in accordance with the following schedules:
FORM OF DISTRIBUTION AGREEMENTForm of Distribution Agreement • March 30th, 2022 • Neuberger Berman ETF Trust • New York
This Distribution Agreement (the “Agreement”) made this day of , 202_, by and between Neuberger Berman ETF Trust (the “Trust”), a Delaware statutory trust, and Neuberger Berman BD LLC (“Distributor”), a Delaware limited liability company,. Capitalized terms used herein and not defined have the meaning given to them in the prospectus and statement and additional information of the Trust.
DISTRIBUTION AGREEMENTDistribution Agreement • December 14th, 2022 • Neuberger Berman ETF Trust
This Distribution Agreement (the “Agreement”) made this 3rd day of January, 2022, by and between Neuberger Berman ETF Trust (the “Trust”), a Delaware statutory trust, and Neuberger Berman BD LLC (“Distributor”), a Delaware limited liability company,. Capitalized terms used herein and not defined have the meaning given to them in the prospectus and statement and additional information of the Trust.
NEUBERGER BERMAN ETF TRUST MANAGEMENT AGREEMENT SCHEDULE A SERIES OF NEUBERGER BERMAN ETF TRUSTNeuberger Berman ETF Trust • March 22nd, 2024
Compensation pursuant to Paragraph 3 of the Management Agreement shall be calculated in accordance with the following schedules:
EXPENSE LIMITATION AGREEMENT NEUBERGER BERMAN ETF TRUST NEUBERGER BERMAN CHINA EQUITY ETF NEUBERGER BERMAN GLOBAL REAL ESTATE ETFExpense Limitation Agreement • December 15th, 2023 • Neuberger Berman ETF Trust
Neuberger Berman China Equity ETF and Neuberger Berman Global Real Estate ETF (each, a “Fund”) are series of Neuberger Berman ETF Trust, a Delaware statutory trust (“Trust”).
FORM OF TRANSFER AGENCY AND SERVICE AGREEMENTForm of Transfer Agency and Service Agreement • March 30th, 2022 • Neuberger Berman ETF Trust • Massachusetts
THIS AGREEMENT (the “Agreement”) is made as of the [__], 202_, by and between STATE STREET BANK AND TRUST COMPANY, Massachusetts trust company having its principal office and place of business at One Lincoln Street, Boston, Massachusetts 02111 (“State Street” or the “Transfer Agent”), and Neuberger Berman ETF Trust ], aDelaware statutory trust having its principal office and place of business at 1290 Avenue of the Americas, New York, NY 10104(the “Trust”).
NEUBERGER BERMAN ETF TRUST MANAGEMENT AGREEMENT SCHEDULE A SERIES OF NEUBERGER BERMAN ETF TRUSTNeuberger Berman ETF Trust • October 13th, 2023
Compensation pursuant to Paragraph 3 of the Management Agreement shall be calculated in accordance with the following schedules:
NEUBERGER BERMAN ETF TRUST MANAGEMENT AGREEMENT SCHEDULE A SERIES OF NEUBERGER BERMAN ETF TRUSTNeuberger Berman ETF Trust • May 8th, 2023
Compensation pursuant to Paragraph 3 of the Management Agreement shall be calculated in accordance with the following schedules:
MANAGEMENT FEE WAIVER AGREEMENT NEUBERGER BERMAN ETF TRUST NEUBERGER BERMAN FLEXIBLE CREDIT INCOME ETFManagement Fee Waiver Agreement • June 11th, 2024 • Neuberger Berman ETF Trust
Neuberger Berman Investment Advisers LLC (the “Manager”) hereby agrees, that from June 19, 2024 until October 31, 2025 (“Limitation Period”) to waive 0.10% per annum, of the average daily net assets of the investment advisory fee (“Fee Waiver”) charged pursuant to the Management Agreement between the Manager and the Trust, on behalf of the Fund. For the avoidance of doubt, this Fee Waiver is in addition to Expense Limitation Agreement dated as of June 11, 2024 between the Manager and the Trust, on behalf of the Fund.
NEUBERGER BERMAN ETF TRUST ADMINISTRATION AGREEMENT SCHEDULE ANeuberger Berman ETF Trust • August 2nd, 2023
MANAGEMENT FEE WAIVER AGREEMENT NEUBERGER BERMAN ETF TRUSTManagement Fee Waiver Agreement • March 30th, 2022 • Neuberger Berman ETF Trust • New York
NEUBERGER BERMAN ETF TRUST ADMINISTRATION AGREEMENT SCHEDULE ANeuberger Berman ETF Trust • March 22nd, 2024
FORM OF AUTHORIZED PARTICIPANT AGREEMENTForm of Authorized Participant Agreement • March 30th, 2022 • Neuberger Berman ETF Trust • New York
This Authorized Participant Agreement (this “Agreement”) is entered into by and between [ ] (the “Participant”) and Neuberger Berman BD LLC (the “Distributor”), principal underwriter of the Trust and its separate series listed on Annex A hereto (each, a “Fund” and collectively, the “Funds”) and is subject to acceptance by State Street Bank and Trust Company, as transfer agent (the “Transfer Agent”), as may be amended from time to time. Capitalized terms used herein and not otherwise defined have the meaning assigned to them in Section 14 of this Agreement.
ADMINISTRATION AGREEMENT NEUBERGER BERMAN ETF TRUSTAdministration Agreement • December 14th, 2022 • Neuberger Berman ETF Trust • New York
This Agreement is made as of October 21, 2022, between Neuberger Berman ETF Trust, a Delaware statutory trust (“Trust”), and Neuberger Berman Investment Advisers LLC, a Delaware limited liability company (“Administrator”) with respect to the series listed on Schedule A.
MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • March 30th, 2022 • Neuberger Berman ETF Trust • Massachusetts
This Agreement is made as of January 3, 2022 (this “Agreement”), between each management investment company identified on Appendix A and each management investment company which becomes a party to this Agreement in accordance with the terms hereof (in each case, a “Trust”), including, if applicable, each series of the Trust identified on Appendix A and each series which becomes a party to this Agreement in accordance with the terms hereof (each such series, a “Fund”), and STATE STREET BANK AND TRUST COMPANY, a Massachusetts trust company (the “Custodian”).
NEUBERGER BERMAN ETF TRUST ADMINISTRATION AGREEMENT SCHEDULE ANeuberger Berman ETF Trust • May 8th, 2023
NEUBERGER BERMAN ETF TRUST MANAGEMENT AGREEMENT SCHEDULE A SERIES OF NEUBERGER BERMAN ETF TRUSTNeuberger Berman ETF Trust • March 4th, 2024
Compensation pursuant to Paragraph 3 of the Management Agreement shall be calculated in accordance with the following schedules:
EXPENSE LIMITATION AGREEMENT NEUBERGER BERMAN ETF TRUST NEUBERGER BERMAN SHORT DURATION INCOME ETFExpense Limitation Agreement • March 22nd, 2024 • Neuberger Berman ETF Trust
Neuberger Berman Short Duration Income ETF (“Fund”) is a series of Neuberger Berman ETF Trust, a Delaware statutory trust (“Trust”).
EXPENSE LIMITATION AGREEMENT NEUBERGER BERMAN ETF TRUST NEUBERGER BERMAN COMMODITY STRATEGY ETFExpense Limitation Agreement • December 14th, 2022 • Neuberger Berman ETF Trust
Neuberger Berman Commodity Strategy ETF (“Fund”) is a series of Neuberger Berman ETF Trust, a Delaware statutory trust (“Trust”).
EXPENSE LIMITATION AGREEMENT NEUBERGER BERMAN ETF TRUST NEUBERGER BERMAN SMALL- MID CAP ETFExpense Limitation Agreement • March 4th, 2024 • Neuberger Berman ETF Trust
You hereby agree, from March 5, 2024 until the date noted on Schedule A (“Limitation Period”), to waive fees and/or reimburse annual operating expenses (excluding interest, brokerage commissions, taxes including any expenses relating to tax reclaims, acquired fund fees and expenses, dividend and interest expenses relating to short sales, and extraordinary expenses, if any) (“Operating Expenses”) of the Fund noted on Schedule A so that the Operating Expenses of the Fund are limited to the respective rate per annum, as noted on Schedule A, of the Fund’s average daily net assets (an “Expense Limitation”). Commitment fees relating to borrowings are treated as interest for purposes of this section.
EXPENSE LIMITATION AGREEMENT NEUBERGER BERMAN ETF TRUST NEUBERGER BERMAN CHINA EQUITY ETF NEUBERGER BERMAN GLOBAL REAL ESTATE ETFExpense Limitation Agreement • August 2nd, 2023 • Neuberger Berman ETF Trust
Neuberger Berman China Equity ETF and Neuberger Berman Global Real Estate ETF (each, a “Fund”) are series of Neuberger Berman ETF Trust, a Delaware statutory trust (“Trust”).
EXPENSE LIMITATION AGREEMENT NEUBERGER BERMAN ETF TRUST NEUBERGER BERMAN OPTION STRATEGY ETFExpense Limitation Agreement • October 13th, 2023 • Neuberger Berman ETF Trust
You hereby agree, from October 16, 2023 until the date noted on Schedule A (“Limitation Period”), to waive fees and/or reimburse annual operating expenses (excluding interest, brokerage commissions, taxes including any expenses relating to tax reclaims, acquired fund fees and expenses, dividend and interest expenses relating to short sales, and extraordinary expenses, if any) (“Operating Expenses”) of the Fund noted on Schedule A so that the Operating Expenses of the Fund are limited to the respective rate per annum, as noted on Schedule A, of the Fund’s average daily net assets (an “Expense Limitation”). Commitment fees relating to borrowings are treated as interest for purposes of this section.
NEUBERGER BERMAN ETF TRUST ADMINISTRATION AGREEMENT SCHEDULE AAdministration Agreement • October 13th, 2023 • Neuberger Berman ETF Trust
