CUSTODY AGREEMENTCustody Agreement • July 29th, 2019 • Innovator ETFs Trust II • Minnesota
THIS AGREEMENT is made and entered into as of the last date on the signature page, by and between INNOVATOR ETFs TRUST II, a Massachusetts business trust (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America with its principal place of business at Minneapolis, Minnesota (the “Custodian”).
ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • July 30th, 2018 • Innovator ETFs Trust II • Delaware
This Distribution Agreement (the “Agreement”) is made as of _________ 2017, by and between Elkhorn ETF Trust, a Massachusetts business trust (the “Trust”) having its principal place of business at 207 Reber Street, Suite 201, Wheaton, IL 60187, 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.
Investment Management AgreementInvestment Management Agreement • April 28th, 2015 • Elkhorn ETF Trust • Illinois
Investment Management Agreement made this [ ] day of [ ], 2015, by and between Elkhorn ETF Trust, a Massachusetts business trust (the “Trust”), and Elkhorn Investments, LLC, a Delaware limited liability company (the “Adviser”).
ETF DISTRIBUTION AGREEMENT EXHIBIT A Effective as of July 29, 2021 FUNDSEtf Distribution Agreement • July 29th, 2021 • Innovator ETFs Trust
AUTHORIZED PARTICIPANT AGREEMENT FOR ELKHORN ETF TRUSTAuthorized Participant Agreement • April 28th, 2015 • Elkhorn ETF Trust • New York
This Authorized Participant Agreement (this “Agreement”) is entered into by and between ALPS Distributors, Inc. (the “Distributor”) and ________________________________ (the “Authorized Participant” or the “AP”) and is subject to acceptance by The Bank of New York Mellon (the “BNYM ETF Administrator” or the “Transfer Agent”). The Transfer Agent serves as the transfer agent for the Elkhorn ETF Trust (the “Trust”) and is a Receipt Agent as that term is defined in the rules of the National Securities Clearing Corporation (“NSCC”). The Distributor, the Transfer Agent and the Authorized Participant acknowledge and agree that the Trust shall be a third-party beneficiary of this Agreement and shall receive the benefits contemplated by this Agreement, to the extent specified herein. The Distributor has been retained to provide services as principal underwriter of the Trust acting on an agency basis in connection with the sale and distribution of shares of beneficial interest, par value $.01 pe
Investment Management AgreementInvestment Management Agreement • September 9th, 2016 • Elkhorn ETF Trust • Illinois
Investment Management Agreement made this __ day of ___________, 2016, by and between [Elkhorn Cayman Fund 2] a Cayman Islands exempted company (the “Company”), and Elkhorn Investments, LLC (the “Adviser”).
FUND ACCOUNTING SERVICING AGREEMENTFund Accounting Servicing Agreement • July 29th, 2019 • Innovator ETFs Trust II • Wisconsin
THIS AGREEMENT is made as of the last date on the signature page by and between INNOVATOR ETFs TRUST II, a Massachusetts business trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“Fund Services”).
TRANSFER AGENT SERVICING AGREEMENTTransfer Agent Servicing Agreement • July 29th, 2019 • Innovator ETFs Trust II • Wisconsin
THIS AGREEMENT is made as of the last date on the signature page by and between INNOVATOR ETFs TRUST II, a Massachusetts business trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. Bank Global Fund Services, a Wisconsin limited liability company (“Fund Services”).
FIRST AMENDMENT TO ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • July 30th, 2018 • Innovator ETFs Trust II • Delaware
This First amendment (the “Amendment”) to the ETF Distribution Agreement (the “Agreement”) dated as of August 7, 2017, by and among Innovator ETFs Trust II f/k/a Elkhorn ETF Trust (the “Trust”) and Foreside Fund Services, LLC (the “Distributor”) is effective as of April 1, 2018 (the “Effective Date”).
Elkhorn ETF Trust Subscription AgreementSubscription Agreement • April 28th, 2015 • Elkhorn ETF Trust
This Subscription Agreement (the “Agreement”) made this 7th day of April, 2015 by and between Elkhorn ETF Trust, a Massachusetts business trust (the “Trust”), on behalf of its series, Elkhorn S&P 500 Capital Expenditures Portfolio (the “Fund”), and Elkhorn Investments, LLC, a Delaware limited liability company (the “Subscriber”).
Investment Management AgreementInvestment Management Agreement • September 6th, 2016 • Elkhorn ETF Trust • Illinois
Investment Management Agreement made this __ day of ___________, 2016, by and between [Elkhorn Cayman Fund 1] a Cayman Islands exempted company (the “Company”), and Elkhorn Investments, LLC (the “Adviser”).
INTERIM INVESTMENT SUB-ADVISORY AGREEMENT INTERIM INVESTMENT SUB-ADVISORY AGREEMENT made this 30th day of March, 2018, by and among ELKHORN ETF TRUST, a Massachusetts business trust (the "Trust"), INNOVATOR CAPITAL MANAGEMENT, LLC, a Delaware limited...Sub-Advisory Agreement • May 30th, 2018 • Innovator ETFs Trust II • Illinois
FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • April 28th, 2015 • Elkhorn ETF Trust • New York
THIS AGREEMENT is made as of April 21, 2015 by and between each Trust listed on the signature page hereto (each a “Trust”, and collectively the “Trusts” as applicable) and The Bank of New York Mellon, a New York corporation authorized to do a banking business (“BNY Mellon”).
FIRST AMENDMENT to the FUND ACCOUNTING SERVICING AGREEMENTAccounting Servicing Agreement • July 29th, 2019 • Innovator ETFs Trust II
THIS FIRST AMENDMENT to the Fund Accounting Servicing Agreement is made of March 7, 2019 by and between INNOVATOR ETFs TRUST II, a Massachusetts statutory trust (the “Trust”), INNOVATOR CAPITAL MANAGEMENT, LLC the investment adviser to the Trust (the “Adviser”) and U.S. BANCORP FUND SERVICES, LLC d/b/a/ U. S. Bank Global Fund Services, a Wisconsin limited liability company (“Fund Services”).
Investment Sub-Advisory AgreementInvestment Sub-Advisory Agreement • July 30th, 2018 • Innovator ETFs Trust II • Illinois
Investment Sub-Advisory Agreement (this “Agreement”) made this ______ day of ___________, 2018, by and among Elkhorn ETF Trust, a Massachusetts business trust (the “Trust”), Innovator Capital Management, LLC, a Delaware limited liability company (the “Adviser”), and Penserra Capital Management LLC, a Delaware limited liability company (the “Sub-Adviser”).
INVESTMENT MANAGEMENT AGREEMENT INVESTMENT MANAGEMENT AGREEMENT made this 7th day of April, 2015, by and between ELKHORN ETF TRUST, a Massachusetts business trust (the "Trust"), and ELKHORN INVESTMENTS, LLC, a Delaware limited liability company (the...Investment Management Agreement Investment Management Agreement • November 28th, 2016 • Elkhorn ETF Trust
INVESTMENT MANAGEMENT AGREEMENT INVESTMENT MANAGEMENT AGREEMENT made this 7th day of April, 2015, by and between ELKHORN ETF TRUST, a Massachusetts business trust (the "Trust"), and ELKHORN INVESTMENTS, LLC, a Delaware limited liability company (the "Adviser"). WHEREAS, the Trust is registered under the Investment Company Act of 1940, as amended ("1940 Act"), as an open-end management investment company; WHEREAS, the Trust is authorized to issue shares in separate series, with each such series representing interests in a separate portfolio of securities and other assets; WHEREAS, the Trust intends to offer shares in series as set forth on Schedule A attached hereto and any other series as to which this Agreement may hereafter be made applicable and set forth on Schedule A, which may be amended from time to time (each such series being herein referred to as a "Fund," and collectively as the "Funds"); and WHEREAS, the Trust desires to retain the Adviser as investment adviser, to furnish
FIRST AMENDMENT to the CUSTODY AGREEMENTCustody Agreement • July 29th, 2019 • Innovator ETFs Trust II
THIS FIRST AMENDMENT to the Custody Agreement is made as of March 7, 2019 by and between INNOVATOR ETFs TRUST II, a Massachusetts statutory trust (the “Trust”), INNOVATOR CAPITAL MANAGEMENT, LLC the investment adviser to the Trust (the “Adviser”) and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America (the “Custodian”).
DISTRIBUTION AGREEMENTDistribution Agreement • April 28th, 2015 • Elkhorn ETF Trust • New York
THIS AGREEMENT is made as of __________, 2015, between Elkhorn ETF Trust, a Massachusetts business trust (the “Fund”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
INVESTMENT MANAGEMENT AGREEMENT INVESTMENT MANAGEMENT AGREEMENT made this 7th day of April, 2015, by and between ELKHORN ETF TRUST, a Massachusetts business trust (the "Trust"), and ELKHORN INVESTMENTS, LLC, a Delaware limited liability company (the...Investment Management Agreement • May 30th, 2017 • Elkhorn ETF Trust • Illinois
CUSTODY AGREEMENTAgreement • April 28th, 2015 • Elkhorn ETF Trust • New York
AGREEMENT, dated as of April 21, 2015 between Elkhorn ETF Trust, a business trust organized and existing under the laws of the Commonwealth of Massachusetts, having its principal office and place of business at 207 Reber Street, Wheaton, IL 60187 (the “Trust”) 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”).
FIRST AMENDMENT to the TRANSFER AGENT SERVICING AGREEMENTAgent Servicing Agreement • July 29th, 2019 • Innovator ETFs Trust II
THIS FIRST AMENDMENT to the Transfer Agent Servicing Agreement is made as of March 7, 2019 by and between INNOVATOR ETFs TRUST II, a Massachusetts statutory trust (the “Trust”), INNOVATOR CAPITAL MANAGEMENT, LLC the investment adviser to the Trust (the “Adviser”) and U.S. BANCORP FUND SERVICES, LLC d/b/a/ U. S. Bank Global Fund Services, a Wisconsin limited liability company (“Fund Services”).
FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • July 29th, 2019 • Innovator ETFs Trust II • Wisconsin
THIS AGREEMENT is made as of the last date on the signature page by and between INNOVATOR ETFs TRUST II, a Massachusetts business trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. Bank Global Fund Services, a Wisconsin limited liability company (“Fund Services”).
Sub-License AgreementSub-License Agreement • January 28th, 2019 • Innovator ETFs Trust II
This agreement (“Sub-License Agreement”) is made by and between Innovator Capital Management, LLC (“Licensee”), whose principal offices are located at 120 North Hale Street, Suite 200, Wheaton, Illinois 60187 and who is a licensee of Lunt Capital Management, Inc. (“Lunt Capital”), whose principal offices are located at 215 State Street, Salt Lake City, Utah 84111, and Elkhorn Lunt Low Vol/High Beta Tactical ETF (“Sub-Licensee”), whose principal offices are located at 120 North Hale Street, Suite 200, Wheaton, Illinois 60187.
Sub-License AgreementSub-License Agreement • July 30th, 2018 • Innovator ETFs Trust II
This agreement (“Sub-License Agreement”) is made by and between Innovator Capital Management LLC (“Licensee”), whose principal offices are located at 120 North Hale Street, Suite 200, Wheaton, Illinois 60187 and who is a licensee of S&P Opco LLC (a subsidiary of S&P Dow Jones Indices, LLC) (“S&P”), a Delaware limited liability company whose principal offices are located at 55 Water Street, New York, New York 10041, and Elkhorn S&P High Quality Preferred ETF (“Sub-Licensee”), whose principal offices are located at 120 North Hale Street, Suite 200, Wheaton, Illinois 60187.
INTERIM INVESTMENT MANAGEMENT AGREEMENT INVESTMENT MANAGEMENT AGREEMENT made this 30th day of March, 2018, by and between ELKHORN ETF TRUST, a Massachusetts business trust (the "Trust"), and INNOVATOR CAPITAL MANAGEMENT, LLC, a Delaware limited...Interim Investment Management Agreement • May 30th, 2018 • Innovator ETFs Trust II • Illinois
INVESTMENT MANAGEMENT AGREEMENT INVESTMENT MANAGEMENT AGREEMENT made this 7th day of April, 2015, by and between ELKHORN ETF TRUST, a Massachusetts business trust (the "Trust"), and ELKHORN INVESTMENTS, LLC, a Delaware limited liability company (the...Investment Management Agreement • May 31st, 2016 • Elkhorn ETF Trust
INVESTMENT MANAGEMENT AGREEMENT made this 7th day of April, 2015, by and between ELKHORN ETF TRUST, a Massachusetts business trust (the "Trust"), and ELKHORN INVESTMENTS, LLC, a Delaware limited liability company (the "Adviser"). WHEREAS, the Trust is registered under the Investment Company Act of 1940, as amended ("1940 Act"), as an open-end management investment company; WHEREAS, the Trust is authorized to issue shares in separate series, with each such series representing interests in a separate portfolio of securities and other assets; WHEREAS, the Trust intends to offer shares in series as set forth on Schedule A attached hereto and any other series as to which this Agreement may hereafter be made applicable and set forth on Schedule A, which may be amended from time to time (each such series being herein referred to as a "Fund," and collectively as the "Funds"); and WHEREAS, the Trust desires to retain the Adviser as investment adviser, to furnish certain investment advisory and
FIRST AMENDMENT to the FUND ADMINISTRATION SERVICING AGREEMENTAdministration Servicing Agreement • July 29th, 2019 • Innovator ETFs Trust II
THIS FIRST AMENDMENT to the Fund Administration Servicing Agreement is made as of March 7, 2019 by and between INNOVATOR ETFs TRUST II, a Massachusetts statutory trust (the “Trust”), INNOVATOR CAPITAL MANAGEMENT, LLC the investment adviser to the Trust (the “Adviser”) and U.S. BANCORP FUND SERVICES, LLC d/b/a/ U.S. Bank Global Fund Services, a Wisconsin limited liability company (“Fund Services”).
Investment Management AgreementInvestment Management Agreement • July 30th, 2018 • Innovator ETFs Trust II • Illinois
Investment Management Agreement made this _______ day of _____, 2018, by and between Elkhorn ETF Trust, a Massachusetts business trust (the “Trust”), and Innovator Capital Management, LLC, a Delaware limited liability company (the “Adviser”).
