MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • October 11th, 2016 • Ivy NextShares • Massachusetts
This Agreement is made as of August 31, 2016 (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 “Fund”), including, if applicable, each series of the Fund identified on Appendix A and each series which becomes a party to this Agreement in accordance with the terms hereof, and STATE STREET BANK AND TRUST COMPANY, a Massachusetts trust company (the “Custodian”).
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • October 11th, 2016 • Ivy NextShares • Massachusetts
THIS AGREEMENT is made as of the 31st day of August, 2016 by and between STATE STREET BANK AND TRUST COMPANY, a 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 Ivy NextShares Trust, a Delaware business trust having its principal office and place of business at 6300 Lamar Avenue, P.O. Box 29217, Shawnee Mission, Kansas 66201-9217 (the “Trust”).
AGREEMENT AND DECLARATION OF TRUST of IVY NEXTSHARES a Delaware Statutory Trust Principal Place of Business: 6300 Lamar Avenue P.O. Box 29217 Shawnee Mission, Kansas 66201-9217Agreement and Declaration • October 11th, 2016 • Ivy NextShares • Delaware
THIS AGREEMENT AND DECLARATION OF TRUST is made as of February 23, 2016 for the purpose of forming a Delaware statutory trust in accordance with the provisions hereinafter set forth.
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST of IVY NEXTSHARES a Delaware Statutory Trust Principal Place of Business: 6300 Lamar Avenue P.O. Box 29217 Shawnee Mission, Kansas 66201-9217Agreement and Declaration of Trust • October 27th, 2017 • Ivy NextShares • Delaware
THIS AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST is made as of August 16, 2017 for the purpose of continuing the Trust as a Delaware statutory trust in accordance with the provisions hereinafter set forth.
IVY NEXTSHARES TRUST PARTICIPANT AGREEMENTParticipant Agreement • October 12th, 2016 • Ivy NextShares • Colorado
This Participant Agreement (the “Agreement”) is entered into by and among ALPS Distributors, Inc. (the “Distributor”) and [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”). Ivy NextShares Trust (the “Trust”) is organized as a Delaware statutory trust and consists of separate series (each, a “Fund” and collectively, the “Funds”) as set forth in Attachment A hereto. Each Fund is an open-end management investment company and a series of the Trust. 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 and Creation Units (as defined below).
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • October 12th, 2016 • Ivy NextShares
THIS AGREEMENT, made as of September 1, 2016, is entered into by and between IVY NEXTSHARES (hereinafter called the “Trust”), and IVY INVESTMENT MANAGEMENT COMPANY (hereinafter called “IICO”), with respect to each series of the Trust listed in Appendix A (each, a “Fund” and collectively, the “Funds”).
DISTRIBUTION AGREEMENTDistribution Agreement • October 11th, 2016 • Ivy NextShares • Colorado
THIS AGREEMENT is made as of August 23, 2016, between Ivy NextShares, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
AMENDED AND RESTATED SCHEDULE A TO AGREEMENT AND DECLARATION OF TRUSTTo Agreement and Declaration of Trust • October 27th, 2017 • Ivy NextShares
This Amended and Restated Schedule A (“Schedule A”) to the Ivy NextShares Amended and Restated Agreement and Declaration of Trust dated August 16, 2017 (the “Agreement”), is effective as of October 31, 2017, and supersedes any prior Schedule A to the Agreement.
IVY NEXTSHARES SUBSCRIPTION AGREEMENTSubscription Agreement • October 11th, 2016 • Ivy NextShares
This Subscription Agreement is hereby made as of the 1st day of September, 2016 between Ivy NextShares, a Delaware statutory trust (“Trust”), and Ivy Investment Management Company (the “Purchaser”), a Delaware corporation.
EXPENSE REIMBURSEMENT AGREEMENTExpense Reimbursement Agreement • October 26th, 2018 • Ivy NextShares
EXPENSE REIMBURSEMENT AGREEMENT, by and between IVY INVESTMENT MANAGEMENT COMPANY (hereinafter called “IICO”), Waddell & Reed Services Company, doing business as WI Services Company (“WISC”), and Ivy NextShares (the “Trust”) on behalf of each series of the Trust set forth below (each a “Fund” and, collectively, the “Funds”).
AMENDED AND RESTATED APPENDIX B TO IVY NEXTSHARES INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • October 27th, 2017 • Ivy NextShares
This Amended and Restated Appendix B (“Appendix B”) to the Ivy NextShares Investment Management Agreement dated September 1, 2016 (the “Agreement”), is effective as of October 31, 2017, and supersedes any prior Appendix B to the Agreement.
ACCOUNTING AND ADMINISTRATIVE SERVICES AGREEMENTAccounting and Administrative Services Agreement • October 11th, 2016 • Ivy NextShares • Kansas
THIS AGREEMENT, made as of September 6, 2016, is entered into by and between Ivy NextShares Trust (the “Trust”), a Delaware Statutory Trust, and Waddell & Reed Services Company (“WRSCO”), a Missouri corporation.
AMENDED AND RESTATED SCHEDULE A TO ACCOUNTING AND ADMINISTRATIVE SERVICES AGREEMENTAccounting and Administrative Services Agreement • October 27th, 2017 • Ivy NextShares
This Amended and Restated Schedule A (“Schedule A”) to the Ivy NextShares Accounting and Administrative Services Agreement dated September 6, 2016 (the “Agreement”), is effective as of October 31, 2017, and supersedes any prior Schedule A to the Agreement.
EXPENSE REIMBURSEMENT AGREEMENTExpense Reimbursement Agreement • October 27th, 2017 • Ivy NextShares
EXPENSE REIMBURSEMENT AGREEMENT, by and between IVY INVESTMENT MANAGEMENT COMPANY (hereinafter called “IICO”), Waddell & Reed Services Company, doing business as WI Services Company (“WISC”), and Ivy NextShares (the “Trust”) on behalf of each series of the Trust set forth below (each a “Fund” and, collectively, the “Funds”).
AMENDED AND RESTATED APPENDIX A TO IVY NEXTSHARES INVESTMENT MANAGEMENT AGREEMENTNextshares Investment Management Agreement • October 27th, 2017 • Ivy NextShares
This Amended and Restated Appendix A (“Appendix A”) to the Ivy NextShares Investment Management Agreement dated September 1, 2016 (the “Agreement”), is effective as of October 31, 2017, and supersedes any prior Appendix A to the Agreement.
EXPENSE REIMBURSEMENT AGREEMENTExpense Reimbursement Agreement • October 11th, 2016 • Ivy NextShares
EXPENSE REIMBURSEMENT AGREEMENT, by and between IVY INVESTMENT MANAGEMENT COMPANY (hereinafter called “IICO”), Waddell & Reed Services Company, doing business as WI Services Company (WISC), and Ivy NextShares (the “Trust”) on behalf of each series of the Trust set forth below (each a “Fund” and, collectively, the “Funds”).
SUB-ITEM 77Q1(e): New or amended Registrant investment advisory contracts. IVY NEXTSHARESIvy NextShares • February 28th, 2017
Investment Management Agreement between Ivy NextShares and Ivy Investment Management Company, on behalf of each of the series of the Trust, effective October 1, 2016, was filed with the Securities and Exchange Commission by EDGAR on October 11, 2016 in Pre-Effective Amendment No. 2 to the Registration Statement on Form N-1A, and is incorporated by reference herein.
