PRINCIPAL EXCHANGE-TRADED FUNDS AMENDED AND RESTATED SUB-ADVISORY AGREEMENT PRINCIPAL REAL ESTATE INVESTORS, LLC SUB-ADVISED SERIESSub-Advisory Agreement • August 16th, 2024 • Principal Exchange-Traded Funds
Contract Type FiledAugust 16th, 2024 CompanyAMENDED AND RESTATED SUB-ADVISORY AGREEMENT (the “Agreement”) to be effective as of January 1, 2024 by and between PRINCIPAL GLOBAL INVESTORS, LLC (the “Manager”) and PRINCIPAL REAL ESTATE INVESTORS, LLC (the “Sub-Advisor”).
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • April 21st, 2015 • Principal Exchange-Traded Funds • Massachusetts
Contract Type FiledApril 21st, 2015 Company JurisdictionTHIS AGREEMENT is made as of the ____ day of ___________, 2014, 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 Principal Exchange-Traded Funds , a Delaware statutory trust having its principal office and place of business at 711 High Street, Des Moines, Iowa 50392-2080 (the “Trust”).
DISTRIBUTION AGREEMENTDistribution Agreement • October 27th, 2015 • Principal Exchange-Traded Funds • Colorado
Contract Type FiledOctober 27th, 2015 Company JurisdictionTHIS AGREEMENT is made as of May 1, 2015, by and between Principal Exchange Traded Funds, a Delaware statutory trust (the "Fund"), and ALPS Distributors, Inc., a Colorado corporation ("ALPS").
FORM OF PRINCIPAL EXCHANGE-TRADED FUNDS AMENDED AND RESTATED MANAGEMENT AGREEMENTManagement Agreement • April 1st, 2020 • Principal Exchange-Traded Funds
Contract Type FiledApril 1st, 2020 CompanyThis AMENDED AND RESTATED MANAGEMENT AGREEMENT (the “Agreement”), to be effective ______________, 2020, is by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (the “Fund”), on behalf of each series identified on Schedule 1 attached hereto, as may be amended from time to time (each, a “Series”), and PRINCIPAL GLOBAL INVESTORS, LLC, a Delaware limited liability company (the “Manager”).
PRINCIPAL EXCHANGE-TRADED FUNDS PARTICIPANT AGREEMENTParticipant Agreement • April 21st, 2015 • Principal Exchange-Traded Funds • Delaware
Contract Type FiledApril 21st, 2015 Company JurisdictionThis Participant Agreement (the “Agreement”) is entered into by and among ALPS Distributors, Inc. (the “Distributor”) and [Firm] [Participant’s Name and NSCC#] (the “Participant”) and is subject to acceptance by State Street Bank and Trust Company, as transfer agent (the “Transfer Agent”). Principal Exchange-Traded Funds Trust (the “Trust”) is an open-end management investment company organized as a Delaware statutory trust consisting of separate investment portfolios (each, a “Fund” and collectively, the “Funds”) as set forth in Attachment A hereto. The Distributor has been retained as principal underwriter of the Trust and provides certain services in connection with the sale and distribution of shares of beneficial interest of the Funds (the “Shares”). The Transfer Agent has been retained to provide certain transfer agency services with respect to the purchase and redemption of Shares.
FORM OF PRINCIPAL EXCHANGE-TRADED FUNDS AMENDED AND RESTATED SUB‑ADVISORY AGREEMENTSub-Advisory Agreement • September 19th, 2016 • Principal Exchange-Traded Funds • Iowa
Contract Type FiledSeptember 19th, 2016 Company JurisdictionAGREEMENT executed as of ________, 2016, by and between PRINCIPAL MANAGEMENT CORPORATION (hereinafter called the “Manager”), and PRINCIPAL GLOBAL INVESTORS, LLC (hereinafter called the “Sub‑Advisor”).
PRINCIPAL EXCHANGE-TRADED FUNDS SUB‑ADVISORY AGREEMENT PRINCIPAL GLOBAL INVESTORS, LLC SUB-ADVISED SERIESSub-Advisory Agreement • April 21st, 2015 • Principal Exchange-Traded Funds • Iowa
Contract Type FiledApril 21st, 2015 Company JurisdictionAGREEMENT executed as of _________, 2015 by and between PRINCIPAL MANAGEMENT CORPORATION (hereinafter called “the Manager”), and PRINCIPAL GLOBAL INVESTORS, LLC. (hereinafter called "the Sub‑Advisor").
PRINCIPAL EXCHANGE-TRADED FUNDS SUB-ADVISORY AGREEMENT AGREEMENT executed as of March 21, 2016, by and between PRINCIPAL MANAGEMENT CORPORATION (hereinafter called the "Manager"), and PRINCIPAL GLOBAL INVESTORS, LLC (hereinafter called the...Sub-Advisory Agreement • August 24th, 2016 • Principal Exchange-Traded Funds • Iowa
Contract Type FiledAugust 24th, 2016 Company Jurisdiction
AMENDMENT 16Distribution Agreement • October 26th, 2023 • Principal Exchange-Traded Funds
Contract Type FiledOctober 26th, 2023 CompanyThis amendment (the "Amendment") between the parties signing below ("Parties") amends the Existing Agreement as of July 10, 2023 (the "Effective Date"):
AGREEMENT AND DECLARATION OF TRUST OF PRINCIPAL EXCHANGE-TRADED FUNDS A Delaware Statutory TrustTrust Agreement • February 6th, 2015 • Principal Exchange-Traded Funds
Contract Type FiledFebruary 6th, 2015 Company
FORM OF DISTRIBUTION PLAN AND AGREEMENT PRINCIPAL EXCHANGE-TRADED FUNDSDistribution Agreement • April 1st, 2020 • Principal Exchange-Traded Funds
Contract Type FiledApril 1st, 2020 CompanyThis DISTRIBUTION PLAN AND AGREEMENT, made as of _________, 20__, is by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (the "Fund"), and ALPS Distributors, Inc., a Colorado corporation (the "Distributor").
PRINCIPAL EXCHANGE-TRADED FUNDS AMENDED AND RESTATED MANAGEMENT AGREEMENTManagement Agreement • October 25th, 2024 • Principal Exchange-Traded Funds
Contract Type FiledOctober 25th, 2024 CompanyThis AMENDED AND RESTATED MANAGEMENT AGREEMENT (the “Agreement”), to be effective November 1, 2024, is by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (the “Fund”), on behalf of each series identified on Schedule 1 attached hereto, as may be amended from time to time (each, a “Series”), and PRINCIPAL GLOBAL INVESTORS, LLC, a Delaware limited liability company (the “Manager”).
FORM OF PRINCIPAL EXCHANGE-TRADED FUNDS DISTRIBUTION PLAN AND AGREEMENTDistribution Agreement • October 25th, 2024 • Principal Exchange-Traded Funds
Contract Type FiledOctober 25th, 2024 CompanyThis DISTRIBUTION PLAN AND AGREEMENT (the “Plan”), made effective as of _________, 20__, is by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (the “Fund”), and ALPS DISTRIBUTORS, INC., a Colorado corporation (the “Distributor”).
DISTRIBUTION PLAN AND AGREEMENT PRINCIPAL EXCHANGE-TRADED FUNDSDistribution Agreement • October 27th, 2016 • Principal Exchange-Traded Funds
Contract Type FiledOctober 27th, 2016 CompanyDISTRIBUTION PLAN AND AGREEMENT made as of _________, 20__, by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware Trust (the "Fund"), and ALPS Distributors, Inc., a Colorado Corporation (the " Distributor ").
PRINCIPAL EXCHANGE-TRADED FUNDS AMENDED & RESTATED MANAGEMENT AGREEMENTManagement Agreement • September 19th, 2016 • Principal Exchange-Traded Funds
Contract Type FiledSeptember 19th, 2016 CompanyAGREEMENT to be effective August 22, 2016, by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (hereinafter called the “Fund”) on behalf of each series identified on Schedule 1 attached hereto, as may be amended from time to time (each, a “Series”), and PRINCIPAL MANAGEMENT CORPORATION, an Iowa corporation (hereinafter called the “Manager”).
MANAGEMENT AGREEMENTManagement Agreement • October 27th, 2015 • Principal Exchange-Traded Funds
Contract Type FiledOctober 27th, 2015 CompanyAGREEMENT to be effective July 8, 2015, by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (hereinafter called the “Fund”) and PRINCIPAL MANAGEMENT CORPORATION, an Iowa corporation (hereinafter called the “Manager”).
Custodian AgreementCustodian Agreement • April 21st, 2015 • Principal Exchange-Traded Funds • Massachusetts
Contract Type FiledApril 21st, 2015 Company JurisdictionThis Agreement is made as of _________, 2015 by and between Principal Exchange-Traded Funds, a statutory trust organized and existing under the laws of Delaware (the “Fund”), and State Street Bank and Trust Company, a Massachusetts trust company (the “Custodian”).
PRINCIPAL EXCHANGE-TRADED FUNDS AMENDED AND RESTATED MANAGEMENT AGREEMENTManagement Agreement • October 28th, 2020 • Principal Exchange-Traded Funds
Contract Type FiledOctober 28th, 2020 CompanyThis AMENDED AND RESTATED MANAGEMENT AGREEMENT (the “Agreement”), to be effective July 1, 2020, is by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (the “Fund”), on behalf of each series identified on Schedule 1 attached hereto, as may be amended from time to time (each, a “Series”), and PRINCIPAL GLOBAL INVESTORS, LLC, a Delaware limited liability company (the “Manager”).
AMENDMENT 8Distribution Agreement • September 2nd, 2021 • Principal Exchange-Traded Funds
Contract Type FiledSeptember 2nd, 2021 CompanyThis amendment (the "Amendment") between the parties signing below ("Parties") amends the Existing Agreement as of January 22, 2021 (the "Effective Date"):
PRINCIPAL EXCHANGE-TRADED FUNDS CONTRACTUAL FEE WAIVER AGREEMENTContractual Fee Waiver Agreement • October 27th, 2022 • Principal Exchange-Traded Funds
Contract Type FiledOctober 27th, 2022 CompanyAGREEMENT to be effective November 1, 2022 by and between Principal Exchange-Traded Funds (the “Fund”) and Principal Global Investors, LLC (the “Advisor”) (together, the “Parties”).
AMENDMENT 4Distribution Agreement • September 2nd, 2021 • Principal Exchange-Traded Funds
Contract Type FiledSeptember 2nd, 2021 CompanyThis amendment (the "Amendment") between the parties signing below ("Parties") amends the Existing Agreement as of June 16, 2020 (the "Effective Date"):
PRINCIPAL EXCHANGE-TRADED FUNDS AMENDED AND RESTATED MANAGEMENT AGREEMENTManagement Agreement • September 2nd, 2021 • Principal Exchange-Traded Funds
Contract Type FiledSeptember 2nd, 2021 CompanyThis AMENDED AND RESTATED MANAGEMENT AGREEMENT (the “Agreement”), to be effective September 1, 2021, is by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (the “Fund”), on behalf of each series identified on Schedule 1 attached hereto, as may be amended from time to time (each, a “Series”), and PRINCIPAL GLOBAL INVESTORS, LLC, a Delaware limited liability company (the “Manager”).
Amendment No. 3 to Distribution AgreementDistribution Agreement • October 27th, 2016 • Principal Exchange-Traded Funds
Contract Type FiledOctober 27th, 2016 CompanyThis Amendment No. 3, dated as of September 21, 2016 (the "Effective Date"), to the Distribution Agreement (this "Amendment"), by and between Principal Exchange-Traded Funds, a Delaware statutory trust (the "Fund"), and ALPS Distributors, Inc., a Colorado corporation, having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 ("ALPS").
Amendment No. 4 to Distribution AgreementDistribution Agreement • May 8th, 2017 • Principal Exchange-Traded Funds
Contract Type FiledMay 8th, 2017 CompanyThis Amendment No. 4 to the Distribution Agreement (this “Amendment”), by and between Principal Exchange-Traded Funds, a Delaware statutory trust (the “Fund”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”), is dated as of May 8, 2017 (the “Effective Date”).
Amendment No. 2 to Distribution AgreementDistribution Agreement • September 19th, 2016 • Principal Exchange-Traded Funds
Contract Type FiledSeptember 19th, 2016 CompanyThis Amendment No. 2, dated as of August 15, 2016 (the "Effective Date"), to the Distribution Agreement (this "Amendment"), by and between Principal Exchange-Traded Funds, a Delaware statutory trust (the "Fund"), and ALPS Distributors, Inc., a Colorado corporation, having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 ("ALPS").
PRINCIPAL EXCHANGE-TRADED FUNDS, INC. CONTRACTUAL FEE WAIVER AGREEMENTContractual Fee Waiver Agreement • May 8th, 2017 • Principal Exchange-Traded Funds
Contract Type FiledMay 8th, 2017 CompanyAGREEMENT made this 31st day of March, 2017 by and between Principal Exchange-Traded Funds, Inc. (the “Fund”) and Principal Management Corporation (the “Advisor”) (together, the “Parties”).
AMENDMENT 18Distribution Agreement • August 16th, 2024 • Principal Exchange-Traded Funds
Contract Type FiledAugust 16th, 2024 CompanyThis amendment (the "Amendment") between the parties signing below ("Parties") amends the Existing Agreement as of August 7, 2024 (the "Effective Date"):
AMENDMENT 9Distribution Agreement • September 2nd, 2021 • Principal Exchange-Traded Funds
Contract Type FiledSeptember 2nd, 2021 CompanyThis amendment (the "Amendment") between the parties signing below ("Parties") amends the Existing Agreement as of March 25, 2021 (the "Effective Date"):
PRINCIPAL EXCHANGE-TRADED FUNDS, INC. CONTRACTUAL FEE WAIVER AGREEMENTContractual Fee Waiver Agreement • January 22nd, 2019 • Principal Exchange-Traded Funds
Contract Type FiledJanuary 22nd, 2019 CompanyAGREEMENT made this November 1, 2018 by and between Principal Exchange-Traded Funds, Inc. (the “Fund”) and Principal Global Investors, LLC (the “Advisor”) (together, the “Parties”).
PRINCIPAL EXCHANGE-TRADED FUNDS SUB-ADVISORY AGREEMENTSub-Advisory Agreement • October 27th, 2015 • Principal Exchange-Traded Funds • Iowa
Contract Type FiledOctober 27th, 2015 Company JurisdictionAGREEMENT executed as of July 8, 2015 and between PRINCIPAL MANAGEMENT CORPORATION (hereinafter called "the Manager"}, and EDGE ASSET MANAGEMENT, INC. (hereinafter called "the Sub-Advisor").
PRINCIPAL EXCHANGE-TRADED FUNDS MANAGEMENT AGREEMENTManagement Agreement • May 5th, 2016 • Principal Exchange-Traded Funds
Contract Type FiledMay 5th, 2016 CompanyAGREEMENT to be effective March 21, 2016, by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (hereinafter called the “Fund”) on behalf of each series identified on Schedule 1 attached hereto, as may be amended from time to time (each, a “Series”), and PRINCIPAL MANAGEMENT CORPORATION, an Iowa corporation (hereinafter called the “Manager”).
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 9th, 2022 • Principal Exchange-Traded Funds • Iowa
Contract Type FiledFebruary 9th, 2022 Company JurisdictionTHIS FUND OF FUNDS INVESTMENT AGREEMENT (the "Agreement"), dated as of January 19, 2022 (the "Effective Date"), is made by and between each registered open-end investment company (each, a "Registrant"), on behalf of each portfolio series of each such Registrant listed on Schedule A or Schedule B hereto, or if the relevant Registrant has no portfolio series, then the relevant Registrant (as applicable, each an "Acquiring Fund" or "Acquired Fund" pursuant to the applicable schedule), each severally and not jointly. Principal Global Investors, LLC, the investment adviser to each Acquired Fund, is a party to this Agreement solely for purposes of paragraph 4 of this Agreement.
Amendment No. 7 to Distribution AgreementDistribution Agreement • January 19th, 2018 • Principal Exchange-Traded Funds
Contract Type FiledJanuary 19th, 2018 CompanyThis Amendment No. 7 to the Distribution Agreement (this “Amendment”), by and between Principal Exchange-Traded Funds, a Delaware statutory trust (the “Fund”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”), is dated as of October 27, 2017 (the “Effective Date”).
PRINCIPAL EXCHANGE-TRADED FUNDS, INC. CONTRACTUAL FEE WAIVER AGREEMENTContractual Fee Waiver Agreement • April 13th, 2018 • Principal Exchange-Traded Funds
Contract Type FiledApril 13th, 2018 CompanyAGREEMENT made this October 10, 2017 by and between Principal Exchange-Traded Funds, Inc. (the “Fund”) and Principal Global Investors, LLC (the “Advisor”) (together, the “Parties”).
PRINCIPAL EXCHANGE-TRADED FUNDS SUB-ADVISORY AGREEMENTSub-Advisory Agreement • October 27th, 2015 • Principal Exchange-Traded Funds • Iowa
Contract Type FiledOctober 27th, 2015 Company JurisdictionAGREEMENT executed as of July 8, 2015 by and between PRINCIPAL MANAGEMENT CORPORATION (hereinafter called "the Manager"), and PRINCIPAL GLOBAL INVESTORS, LLC. (hereinafter called "the Sub-Advisor").