ETF DISTRIBUTION AGREEMENTDistribution Agreement • November 12th, 2021 • Ark ETF Trust • Delaware
This Distribution Agreement (the “Agreement”) is made this 30th day of September 2021, by and between ARK ETF Trust, a Delaware statutory trust (the “Trust”) having its principal place of business at 3 East 28th Street, Floor 7, New York, NY 10016, and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101.
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • September 11th, 2014 • Ark ETF Trust • New York
THIS AGREEMENT is made as of the 8th day of September, 2014, by and between ARK ETF TRUST (hereinafter the “Trust”) on behalf of each series listed on Appendix A hereto (as such Appendix be amended from time to time) (each a “Series”, and collectively, the “Series”, as applicable) and THE BANK OF NEW YORK MELLON, a New York corporation authorized to do a banking business having its principal office and place of business at One Wall Street, New York, New York 10286 (the “Bank”).
ARK ETF TRUST DISTRIBUTION AGREEMENTDistribution Agreement • September 2nd, 2014 • Ark ETF Trust • New York
This Distribution Agreement (the “Agreement”) is made this 7th day of August 2014 by and between ARK ETF Trust, a Delaware statutory trust (the “Trust”) having its principal place of business at 1865 Broadway, Suite 1100, New York, NY 10023, and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101.
CUSTODY AGREEMENTCustody Agreement • December 29th, 2015 • Ark ETF Trust • New York
THIS AGREEMENT is made as of September 24, 2014 by and between ARK ETF Trust, a Delaware statutory trust, having its principal office and place of business at c/o ARK Investment Management LLC, 155 West 19th Street, Fifth Floor, New York, NY 10011 (the “Trust”), on behalf of each series listed on Schedule II hereto (as such Schedule may be amended from time to time) (each a “Series” and collectively, the “Series”, as applicable), and The Bank of New York Mellon, a New York corporation authorized to do a banking business, having its principal office and place of business at One Wall Street, New York, New York 10286 (“Custodian”).
FOREIGN CUSTODY MANAGER AGREEMENTForeign Custody Manager Agreement • November 24th, 2021 • Ark ETF Trust
AGREEMENT made as of December 18, 2020 by and between each entity listed on Annex I attached hereto (the “Fund”) and The Bank of New York Mellon (“BNY”).
AGREEMENT AND DECLARATION OF TRUST OF ARK ETF TRUST (a Delaware Statutory Trust) Dated as of June 7, 2013Agreement and Declaration of Trust • September 2nd, 2014 • Ark ETF Trust • Delaware
WHEREAS, ARK ETF Trust was established on June 7, 2013 with the filing of a Certificate of Trust with the Secretary of State of the State of Delaware for the purposes of carrying on the business of a management investment company;
INVESTMENT ADVISORY AGREEMENT ARK ETF TRUSTInvestment Advisory Agreement • November 12th, 2021 • Ark ETF Trust • Delaware
AGREEMENT made this 30th day of June, 2014 between ARK Investment Management LLC, a Delaware limited liability company (“Adviser”), and ARK ETF Trust, a Delaware statutory trust (“Trust”), on behalf of each series of the Trust list on the attached Exhibit A as it may be amended from time to time (each series is hereinafter referred to as a “Fund”).
SUPERVISION AGREEMENTSupervision Agreement • November 12th, 2021 • Ark ETF Trust • Delaware
This SUPERVISION AGREEMENT (“Agreement”), made this 30th day of June, 2014, between ARK ETF Trust (“Trust”), a Delaware statutory trust, and ARK Investment Management LLC, a Delaware limited liability company (“Adviser”).
AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • November 12th, 2021 • Ark ETF Trust
AMENDMENT made this 18th day of December, 2020 to the Custody Agreement dated September 24, 2014 between ARK ETF Trust (“Trust”), a Delaware statutory trust, and The Bank of New York Mellon, (“Custodian”), a New York corporation authorized to do a banking business (“Agreement”).
FORM OF AMENDMENT #3 FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • January 28th, 2019 • Ark ETF Trust
AMENDMENT made this ___ day of ________, 2019 to the Fund Administration and Accounting Agreement dated September 24, 2014 between ARK ETF Trust (“Trust”), a Delaware statutory trust, and The Bank of New York Mellon (“BNY Mellon”), a New York corporation authorized to do banking business (“Agreement”).
FORM OF SECOND AMENDMENT TO DISTRIBUTION SERVICES AGREEMENTDistribution Services Agreement • January 28th, 2019 • Ark ETF Trust • New York
This second amendment (“Amendment”) to the Distribution Services Agreement (the “Agreement”) dated as of August 7, 2014, by and between ARK Investment Management LLC (the “Adviser”) and Foreside Fund Services, LLC (the “Distributor” and collectively with the Adviser, the “Parties”) is entered into as of ____________ ___, 2019 (the “Effective Date”).
FORm of AMENDMENT #3 SUPERVISION AGREEMENT ARK etf trustSupervision Agreement • December 27th, 2016 • Ark ETF Trust
AMENDMENT made this 1st day of June, 2016 to the Supervision Agreement dated June 30, 2014 between ARK ETF Trust (“Trust”), a Delaware statutory trust, and ARK Investment Management LLC (“Adviser”), a Delaware limited liability company (“Agreement”).
FORm of AMENDMENT #1 TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • October 16th, 2015 • Ark ETF Trust
AMENDMENT made this ____ day of _____________, 2015 to the Fund Administration and Accounting Agreement dated September 8, 2014 between ARK ETF Trust (“Trust”), a Delaware statutory trust, and The Bank of New York Mellon, (“Bank”), a New York corporation authorized to do a banking business (“Agreement”).
AMENDMENT TO FOREIGN CUSTODY MANAGER AGREEMENTForeign Custody Manager Agreement • November 24th, 2021 • Ark ETF Trust
AMENDMENT made this 18th day of May, 2021 (“Effective Date”) to the Foreign Custody Manager Agreement dated December 18, 2020 between each entity listed on Annex I (each, the “Fund”), a Delaware statutory trust, and The Bank of New York Mellon, (“BNYM”), a New York corporation authorized to do a banking business (“Agreement”).
FORm of AMENDMENT #2 INVESTMENT ADVISORY AGREEMENT ARK ETF TRustInvestment Advisory Agreement • December 27th, 2016 • Ark ETF Trust
AMENDMENT made this 1st day of June, 2016 to the Investment Advisory Agreement dated June 30, 2014 between ARK ETF Trust (“Trust”), a Delaware statutory trust, and ARK Investment Management LLC (“Adviser”), a Delaware limited liability company (“Agreement”).
AMENDMENT TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • November 12th, 2021 • Ark ETF Trust
AMENDMENT made this 18th day of December, 2020 to the Transfer Agency and Service Agreement dated September 8, 2014 between ARK ETF Trust (“Trust”), a Delaware statutory trust, and The Bank of New York Mellon, (“Bank”), a New York corporation authorized to do a banking business (“Agreement”).
FORm of AMENDMENT #1 DISTRIBUTION AGREEMENTDistribution Agreement • October 16th, 2015 • Ark ETF Trust
AMENDMENT made this ____ day of _____________, 2015 to the Distribution Agreement dated August 7, 2014 between ARK ETF Trust (“Trust”), a Delaware statutory trust, and Foreside Fund Services, LLC (“Distributor”), a Delaware limited liability company (“Agreement”).
FORm of AMENDMENT #1 INVESTMENT ADVISORY AGREEMENT ARK ETF TrustInvestment Advisory Agreement • October 16th, 2015 • Ark ETF Trust
AMENDMENT made this ____ day of _____________, 2015 to the Investment Advisory Agreement dated June 30, 2014 between ARK Investment Management LLC, a Delaware limited liability company (“Adviser”), and ARK ETF Trust, a Delaware statutory trust (“Trust”), on behalf of each series of the Trust (“Agreement”).
FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • November 12th, 2021 • Ark ETF Trust
AMENDMENT made this 18th day of December, 2020 to the Fund Administration and Accounting Agreement dated September 24, 2014 between ARK ETF Trust (“Trust”), a Delaware statutory trust, and The Bank of New York Mellon, (“BNY Mellon”), a New York corporation authorized to do a banking business (“Agreement”).
FORM OF SECOND AMENDMENT TO ARK ETF TRUST DISTRIBUTION AGREEMENTDistribution Agreement • January 28th, 2019 • Ark ETF Trust • New York
This second amendment (“Amendment”) to the ARK ETF Trust Distribution Agreement (the “Agreement”) dated as of May 31, 2017, by and between ARK ETF Trust (the “Trust”) and Foreside Fund Services, LLC (the “Distributor” and collectively with the Trust, the “Parties”) is entered into as of ____________ ___, 2019 (the “Effective Date”).
FORm of AMENDMENT #1 CUSTODY AGREEMENTCustody Agreement • October 16th, 2015 • Ark ETF Trust
AMENDMENT made this ____ day of _____________, 2015 to the Custody Agreement dated September 24, 2014 between ARK ETF Trust (“Trust”), a Delaware statutory trust, and The Bank of New York Mellon, (“Custodian”), a New York corporation authorized to do a banking business (“Agreement”).
FIRST AMENDMENT TO ARK ETF TRUST DISTRIBUTION AGREEMENTDistribution Agreement • November 21st, 2018 • Ark ETF Trust • New York
This first amendment ("Amendment") to the ARK ETF Trust Distribution Agreement (the "Agreement") dated as of May 31, 2017, by and between ARK ETF Trust (the “Trust”) and Foreside Fund Services, LLC (the “Distributor” and collectively with the Trust, the “Parties”) is entered into as of August 6, 2018 (the "Effective Date").
AMENDMENT TO INVESTMENT COMPANY REPORTING MODERNIZATION SERVICES AMENDMENT TO FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • November 12th, 2021 • Ark ETF Trust
AMENDMENT made this 13th day of September, 2021 to the Investment Company Reporting Modernization Services Amendment to Fund Administration and Accounting Agreement dated September 5, 2018 (“SEC Mod Amendment”) between ARK ETF Trust (“Trust”), a Delaware statutory trust, and The Bank of New York Mellon, (“BNY Mellon”), a New York corporation authorized to do a banking business (“Agreement”).
DISTRIBUTION SERVICES AGREEMENTDistribution Services Agreement • September 2nd, 2014 • Ark ETF Trust • New York
AGREEMENT made this 7th day of August 2014, by and between ARK Investment Management LLC, a Delaware limited liability company (the “Adviser”), and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”).
AMENDMENT TO| FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • November 12th, 2021 • Ark ETF Trust
AMENDMENT made this 13th day of September, 2021 to the Fund Administration and Accounting Agreement dated September 24, 2014 between ARK ETF Trust (“Trust”), a Delaware statutory trust, and The Bank of New York Mellon, (“BNY Mellon”), a New York corporation authorized to do a banking business (“Agreement”).
FORm of AMENDMENT #1 DISTRIBUTION SERVICES AGREEMENTDistribution Services Agreement • October 16th, 2015 • Ark ETF Trust
AMENDMENT made this ____ day of _____________, 2015 to the Distribution Services Agreement dated August 7, 2014 between ARK Investment Management LLC (“Adviser”), a Delaware limited liability company, and Foreside Fund Services, LLC (“Distributor”), a Delaware limited liability company (“Agreement”).
FORm of AMENDMENT #1 FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • October 16th, 2015 • Ark ETF Trust
AMENDMENT made this ____ day of _____________, 2015 to the Fund Administration and Accounting Agreement dated September 24, 2014 between ARK ETF Trust (“Trust”), a Delaware statutory trust, and The Bank of New York Mellon, (“BNY Mellon”), a New York corporation authorized to do a banking business (“Agreement”).
FORm of AMENDMENT #2 SUPERVISION AGREEMENT ARK etf trustSupervision Agreement • December 27th, 2016 • Ark ETF Trust
AMENDMENT made this 16th day of February, 2016 to the Supervision Agreement dated June 30, 2014 between ARK ETF Trust (“Trust”), a Delaware statutory trust, and ARK Investment Management LLC (“Adviser”), a Delaware limited liability company (“Agreement”).
FORm of AMENDMENT #1 SUPERVISION AGREEMENTSupervision Agreement • October 16th, 2015 • Ark ETF Trust
AMENDMENT made this ____ day of _____________, 2015 to the Supervision Agreement dated June 30, 2014 between ARK ETF Trust (“Trust”), a Delaware statutory trust, and ARK Investment Management LLC (“Adviser”), a Delaware limited liability company (“Agreement”).
FORM OF AMENDMENT #3 INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • January 28th, 2019 • Ark ETF Trust
AMENDMENT made this ___ day of ________, 2019 to the Investment Advisory Agreement dated June 30, 2014 between ARK ETF Trust (“Trust”), a Delaware statutory trust, and ARK Investment Management LLC (“Adviser”), a Delaware limited liability company (“Agreement”).
AMENDMENT TO INVESTMENT COMPANY REPORTING MODERNIZATION SERVICES AMENDMENT TO FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • November 12th, 2021 • Ark ETF Trust
AMENDMENT made this 18th day of December, 2020 to the Investment Company Reporting Modernization Services Amendment to Fund Administration and Accounting Agreement dated September 5, 2018 (“SEC Mod Amendment”) between ARK ETF Trust (“Trust”), a Delaware statutory trust, and The Bank of New York Mellon, (“BNY Mellon”), a New York corporation authorized to do a banking business (“Agreement”).
AMENDMENT TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • November 12th, 2021 • Ark ETF Trust
AMENDMENT made this 13th day of September, 2021 to the Transfer Agency and Service Agreement dated September 8, 2014 between ARK ETF Trust (“Trust”), a Delaware statutory trust, and The Bank of New York Mellon, (“Bank”), a New York corporation authorized to do a banking business (“Agreement”).
FORM OF AMENDMENT #4 SUPERVISION AGREEMENTSupervision Agreement • January 28th, 2019 • Ark ETF Trust
AMENDMENT made this ___ day of ________, 2019 to the Supervision Agreement dated June 30, 2014 between ARK ETF Trust (“Trust”), a Delaware statutory trust, and ARK Investment Management LLC (“Adviser”), a Delaware limited liability company (“Agreement”).
Form of Distribution AgreementDistribution Agreement • November 22nd, 2017 • Ark ETF Trust
THIS DISTRIBUTION AGREEMENT (“Agreement”) is by and between Foreside Fund Services, LLC (the “Distributor”) and ARK ETF Trust (“Fund Company”).
FORM OF AMENDMENT #2 TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • January 28th, 2019 • Ark ETF Trust
AMENDMENT made this ___ day of ________, 2019 to the Transfer Agency and Service Agreement dated September 8, 2014 between ARK ETF Trust (“Trust”), a Delaware statutory trust, and The Bank of New York Mellon (“BNY Mellon”), a New York corporation authorized to do banking business (“Agreement”).
