SUBADVISORY AGREEMENTSubadvisory Agreement • November 22nd, 2021 • Legg Mason ETF Investment Trust • New York
This SUBADVISORY AGREEMENT (“Agreement”) is made this 7th day of August, 2021, by and between Legg Mason Partners Fund Advisor, LLC, a Delaware limited liability company (the “Manager”), and Franklin Advisers, Inc., a California corporation (the “Subadviser”).
MANAGEMENT AGREEMENT Legg Mason Partners Fund Advisor, LLCManagement Agreement • November 17th, 2020 • Legg Mason ETF Investment Trust • New York
This MANAGEMENT AGREEMENT (“Agreement”) is made this 31st day of July, 2020, by and between Legg Mason ETF Investment Trust (the “Trust”) and Legg Mason Partners Fund Advisor, LLC, a Delaware limited liability company (the “Manager”).
CUSTODIAN SERVICES AGREEMENTCustodian Services Agreement • February 22nd, 2018 • Legg Mason ETF Investment Trust
THIS AGREEMENT is made as of January 1, 2018 by and among each Fund (as defined below) on behalf of each of its Portfolios (as defined below) and The Bank of New York (the “Custodian”).
FORM OF RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFunds Investment Agreement • March 25th, 2022 • Legg Mason ETF Investment Trust • Delaware
THIS AGREEMENT, dated as of [___________], is made among each entity listed on Schedule A (as amended from time to time), severally and not jointly (each, an “Acquiring Fund”), and each Acquired Fund listed on Schedule A (as amended from time to time), severally and not jointly (each, an “Acquired Fund” and together with the Acquiring Funds, the “Funds”).
Legg Mason ETFs AUTHORIZED PARTICIPANT AGREEMENTAuthorized Participant Agreement • December 3rd, 2015 • Legg Mason ETF Equity Trust • New York
This Authorized Participant Agreement (this “Agreement”) is entered into by and between (the “Participant”) and Legg Mason Investor Services, LLC (the “Distributor”), principal underwriter of the Trust and its separate series listed on Annex A hereto (each, a “Fund” and collectively, the “Funds”). Capitalized terms used herein and not otherwise defined have the meaning assigned to them in Section 14 of this Agreement.
FUND ACCOUNTING SERVICES AGREEMENTFund Accounting Services Agreement • February 22nd, 2018 • Legg Mason ETF Investment Trust
THIS AGREEMENT is made as of January 1, 2018 by and between The Bank of New York Mellon (the “Fund Accounting Agent”), and each Fund (as defined below) on behalf of each of its Portfolios (as defined below).
SUB-SUBADVISORY AGREEMENTSub-Subadvisory Agreement • November 17th, 2020 • Legg Mason ETF Investment Trust • New York
This SUB-SUBADVISORY AGREEMENT (“Agreement”) is made this 31st day of July, 2020, by and between Western Asset Management Company, LLC, a California limited liability company (the “Subadviser”), and Western Asset Management Company Pte. Ltd., a corporation organized under the laws of Singapore (“WAML Singapore” or the “Sub-Subadviser”).
SUB-SUBADVISORY AGREEMENTSub-Subadvisory Agreement • November 17th, 2020 • Legg Mason ETF Investment Trust • New York
This SUB-SUBADVISORY AGREEMENT (“Agreement”) is made this 31st day of July, 2020, by and between Western Asset Management Company, LLC, a California limited liability company (the “Subadviser”), and Western Asset Management Company Limited, a corporation organized under the laws of England and Wales (“WAML” or the “Sub-Subadviser”).
SUB-SUBADVISORY AGREEMENTSub-Subadvisory Agreement • November 17th, 2020 • Legg Mason ETF Investment Trust • New York
This SUB-SUBADVISORY AGREEMENT (“Agreement”) is made this 31st day of July, 2020, by and between Western Asset Management Company, LLC, a California limited liability company (the “Subadviser”), and Western Asset Management Company Ltd, a corporation organized under the laws of Japan (“WAML Japan” or the “Sub-Subadviser”).
Re: Custodian Services Agreement and Fund Accounting Services AgreementCustodian Agreement • July 30th, 2018 • Legg Mason ETF Investment Trust
Reference is made to that certain Custodian Services Agreement (as amended, the “Custodian Agreement”) and that certain Fund Accounting Services Agreement (as amended, the “Accounting Agreement”), each dated as of October 5, 2012 and each entered into by and between State Street Bank and Trust Company and each Fund on behalf of its Portfolios. Capitalized terms used herein without definition shall have the meanings given to them in the Agreements.
DISTRIBUTION AGREEMENTDistribution Agreement • November 17th, 2020 • Legg Mason ETF Investment Trust • Maryland
THIS DISTRIBUTION AGREEMENT (this “Agreement”) is made as of this 31st day of July, 2020, by and between Legg Mason ETF Investment Trust (the “Company”), a Maryland statutory trust, on behalf of its series listed on Schedule A hereto (each a “Fund” and collectively, the “Funds”), and Legg Mason Investor Services, LLC (the “Distributor”), a Delaware limited liability company.
Amendment No. 1 To Fund Accounting Services AgreementFund Accounting Services Agreement • January 28th, 2019 • Legg Mason ETF Investment Trust
This Amendment No. 1 To Fund Accounting Services Agreement (“Amendment No. 1”), dated as of January 2, 2019 (“Effective Date”), is being entered into by and between The Bank of New York Mellon (the “Fund Accounting Agent”) and each Fund identified on Exhibit A to this Amendment No. 1 on behalf of each of its Portfolios identified on Exhibit A. Capitalized terms used but not defined herein shall have the meaning ascribed to such terms in the Original Agreement (as defined below).
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • March 22nd, 2018 • Legg Mason ETF Investment Trust • New York
THIS AGREEMENT (this “Agreement”) is made as of the 1 day of January, 2018, by and between The Bank of New York Mellon, a New York banking organization having its principal office at 225 Liberty Street, New York, New York 10286 (“BNY Mellon” or the “Transfer Agent”), and each Legg Mason registered investment company listed on Schedule A hereto (each, the “Trust”).
INTELLECTUAL PROPERTY LICENSE AGREEMENTIntellectual Property License Agreement • December 3rd, 2015 • Legg Mason ETF Equity Trust • New York
THIS INTELLECTUAL PROPERTY LICENSE AGREEMENT (this “Agreement”) made as of November 24, 2015 (the “Effective Date”), is by and between QS Investors, LLC, a limited liability company duly organized and existing under the laws of the State of Delaware (“QS”), and Legg Mason ETF Equity Trust (“Trust”). QS and Trust are referred to in this Agreement singly as a “Party” and collectively as the “Parties.”
Amendment No. 1 To Custodian Services AgreementCustodian Services Agreement • January 28th, 2019 • Legg Mason ETF Investment Trust
This Amendment No. 1 To Custodian Services Agreement (“Amendment No. 1”), dated as of January 2, 2019 (“Effective Date”), is being entered into by and among The Bank of New York Mellon (the “Custodian”) and each Fund identified on Exhibit A to this Amendment No. 1 on behalf of each of its Portfolios identified on Exhibit A. Capitalized terms used but not defined herein shall have the meaning ascribed to such terms in the Original Agreement (as defined below).
Amendment No. 1 To Transfer Agency and Services AgreementTransfer Agency and Services Agreement • January 28th, 2019 • Legg Mason ETF Investment Trust
This Amendment No. 1 To Transfer Agency and Services Agreement (“Amendment No. 1”), dated as of January 2, 2019 (“Effective Date”), is being entered into by and between The Bank of New York Mellon (“BNY Mellon” or “Transfer Agent”) and each Legg Mason registered investment company listed on Schedule A to this Amendment No. 1 (each, the “Trust”). Capitalized terms used but not defined herein shall have the meaning ascribed to such terms in the Original Agreement (as defined below).
Re: Transfer Agency and Service AgreementLegg Mason ETF Investment Trust • June 30th, 2017
Reference is made to that certain Transfer Agency and Service Agreement (as amended, the “Agreement”) dated as of November 20, 2015 by and between State Street Bank and Trust Company and each Trust on behalf of its Portfolios. Capitalized terms used herein without definition shall have the meanings given to them in the Agreement.
INTELLECTUAL PROPERTY LICENSE AGREEMENTIntellectual Property License Agreement • December 19th, 2016 • Legg Mason ETF Equity Trust • New York
THIS INTELLECTUAL PROPERTY LICENSE AGREEMENT (this “Agreement”) made as of November , 2016 (the “Effective Date”), is by and between RARE Infrastructure (North America) Pty Limited, an Australian proprietary limited company (“RARE”), and Legg Mason ETF Equity Trust (the “Trust”), a Maryland statutory trust. RARE and the Trust are referred to in this Agreement singly as a “Party” and collectively as the “Parties.”
MANAGEMENT AGREEMENT Legg Mason Partners Fund Advisor, LLCManagement Agreement • November 8th, 2016 • Legg Mason ETF Equity Trust • New York
This MANAGEMENT AGREEMENT (“Agreement”) is made this 14th day of November, 2016, by and between Legg Mason ETF Equity Trust (the “Trust”) and Legg Mason Partners Fund Advisor, LLC, a Delaware limited liability company (the “Manager”).
Legg Mason Funding Limited Letterhead]Legg Mason ETF Equity Trust • December 3rd, 2015
Re: Custodian Services Agreement and Fund Accounting Services AgreementCustodian Agreement • November 8th, 2016 • Legg Mason ETF Equity Trust
Reference is made to that certain Custodian Services Agreement (as amended, the “Custodian Agreement”) and that certain Fund Accounting Services Agreement (as amended, the “Accounting Agreement”), each dated as of October 5, 2012 and each entered into by and between State Street Bank and Trust Company and each Fund on behalf of its Portfolios. Capitalized terms used herein without definition shall have the meanings given to them in the Agreements.
Re: Transfer Agency and Service AgreementLegg Mason ETF Equity Trust • November 8th, 2016
Reference is made to that certain Transfer Agency and Service Agreement (as amended, the “Agreement”) dated as of November 20, 2015 by and between State Street Bank and Trust Company and each Trust on behalf of its Portfolios. Capitalized terms used herein without definition shall have the meanings given to them in the Agreement.
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • December 3rd, 2015 • Legg Mason ETF Equity Trust • Massachusetts
THIS AGREEMENT (this “Agreement”) is made as of the 20th day of November, 2015, 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 each Legg Mason registered investment company listed on Schedule A hereto (each, the “Trust”).
Re: Transfer Agency and Service AgreementLegg Mason ETF Equity Trust • July 15th, 2016
Reference is made to that certain Transfer Agency and Service Agreement (as amended, the “Agreement”) dated as of November 20, 2015 by and between State Street Bank and Trust Company and each Trust on behalf of its Portfolios. Capitalized terms used herein without definition shall have the meanings given to them in the Agreement.
INTELLECTUAL PROPERTY LICENSE AGREEMENTIntellectual Property License Agreement • June 30th, 2017 • Legg Mason ETF Investment Trust • New York
THIS INTELLECTUAL PROPERTY LICENSE AGREEMENT (this “Agreement”) made as of June 26, 2017 (the “Effective Date”), is by and between Royce & Associates, LP, a Delaware limited partnership (“Royce”), and Legg Mason ETF Investment Trust (the “Trust”), a Maryland statutory trust. Royce and the Trust are referred to in this Agreement singly as a “Party” and collectively as the “Parties.”
Re: Transfer Agency and Service AgreementLegg Mason ETF Investment Trust • January 16th, 2018
Reference is made to that certain Transfer Agency and Service Agreement (as amended, the “Agreement”) dated as of November 20, 2015 by and between State Street Bank and Trust Company and each Trust on behalf of its Portfolios. Capitalized terms used herein without definition shall have the meanings given to them in the Agreement.
Re: Custodian Services Agreement and Fund Accounting Services AgreementCustodian Agreement • July 15th, 2016 • Legg Mason ETF Equity Trust
Reference is made to that certain Custodian Services Agreement (as amended, the “Custodian Agreement”) and that certain Fund Accounting Services Agreement (as amended, the “Accounting Agreement”), each dated as of October 5, 2012 and each entered into by and between State Street Bank and Trust Company and each Fund on behalf of its Portfolios. Capitalized terms used herein without definition shall have the meanings given to them in the Agreements.
Re: Transfer Agency and Service AgreementLegg Mason ETF Investment Trust • July 30th, 2018
Reference is made to that certain Transfer Agency and Service Agreement (as amended, the “Agreement”) dated as of November 20, 2015 by and between State Street Bank and Trust Company and each Trust on behalf of its Portfolios. Capitalized terms used herein without definition shall have the meanings given to them in the Agreement.
