AGREEMENT AND PLAN OF REORGANIZATIONAgreement and Plan of Reorganization • July 12th, 2019 • Invesco Exchange-Traded Self-Indexed Fund Trust • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION (“Agreement”) is adopted as of this 22nd day of May, 2019 by and among: (i) each of the Oppenheimer open-end registered investment companies identified as a Target Entity on Exhibit A hereto (each a “Target Entity”), separately, on behalf of its respective series identified on Exhibit A hereto (each a “Target Fund”); and (ii) each of the Invesco open-end registered investment companies identified as an Acquiring Entity on Exhibit A hereto (each an “Acquiring Entity”), separately, on behalf of its respective series identified on Exhibit A hereto (each an “Acquiring Fund”). OFI Advisors, LLC (“OFI Advisors”) and Invesco Capital Management LLC (“ICM”) join this Agreement solely for purposes of Sections 1.2(f), 5.1(a), 10, 14, 15, 17.1, 17.2, 17.3, 17.6 and 18.
FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • March 30th, 2018 • PowerShares Exchange-Traded Self-Indexed Fund Trust • New York
THIS AGREEMENT is made as of [ ] by and between PowerShares Exchange-Traded Self-Indexed Fund Trust (the “Trust”, with each series thereof, a “Fund”) and The Bank of New York Mellon, a New York banking organization (“BNY Mellon”)
AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • September 8th, 2021 • Invesco Exchange-Traded Self-Indexed Fund Trust • Illinois
Amended and Restated Investment Advisory Agreement made as of February 18, 2021 between INVESCO EXCHANGE-TRADED SELF-INDEXED FUND TRUST, a Delaware statutory trust (“Trust”), and INVESCO CAPITAL MANAGEMENT LLC formerly known as Invesco PowerShares Capital Management LLC (“Invesco Capital Management”), a Delaware limited liability company registered as an investment adviser under the Investment Advisers Act of 1940, as amended (“Advisers Act”).
PARTICIPANT AGREEMENT PowerShares Exchange-Traded Fund Trust PowerShares Exchange-Traded Fund Trust II PowerShares Exchange-Traded Self-Indexed Fund Trust PowerShares Actively Managed Exchange-Traded Fund Trust PowerShares Actively Managed...Participant Agreement • July 5th, 2018 • Invesco Exchange-Traded Self-Indexed Fund Trust • Illinois
The parties to the Agreement, in addition to the consideration of the premises and the agreements contained in the Agreement, agree as follows:
AMENDED AND RESTATED MEMORANDUM OF AGREEMENT (Advisory Fee Waivers)Memorandum of Agreement • August 25th, 2023 • Invesco Exchange-Traded Self-Indexed Fund Trust
This Amended and Restated Memorandum of Agreement (“Memorandum of Agreement”) is entered into as of the effective date on the attached Exhibit A (the “Exhibit”), between Invesco Exchange-Traded Fund Trust, Invesco Exchange-Traded Fund Trust II, Invesco Actively Managed Exchange-Traded Fund Trust, Invesco Actively Managed Exchange-Traded Commodity Fund Trust, Invesco Exchange-Traded Self-Indexed Fund Trust and Invesco India Exchange-Traded Fund Trust (each a "Trust" and, collectively, the “Trusts”), on behalf of the series of the Trusts (the “Funds”), and Invesco Capital Management LLC (“Invesco”). This Memorandum of Agreement replaces the current Memorandum of Agreement (Advisory Fee Waivers) between the Trusts and Invesco, as well as the Affiliated Fund Fee Waiver Agreement dated as of March 8, 2018 between Invesco Actively Managed Exchange-Traded Fund Trust, on behalf of Invesco Total Return Bond ETF and Invesco Ultra Short Duration ETF, and Invesco.
AGREEMENT AND PLAN OF REORGANIZATIONAgreement and Plan of Reorganization • April 26th, 2018 • PowerShares Exchange-Traded Self-Indexed Fund Trust • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION ("Agreement") is adopted as of this 6th day of April, 2018 by and among: (i) each of the Guggenheim and Rydex open-end registered investment companies identified as a Target Entity on Exhibit A hereto (each a "Target Entity"), separately, on behalf of its respective series identified on Exhibit A hereto (each a "Target Fund"); and (ii) each of the Invesco PowerShares open-end registered investment companies identified as an Acquiring Entity on Exhibit A hereto (each an "Acquiring Entity"), separately, on behalf of its respective series identified on Exhibit A hereto (each an "Acquiring Fund"). Security Investors, LLC ("Security Investors"), Guggenheim Funds Investment Advisors, LLC ("GFIA") and Guggenheim Partners Investment Management, LLC ("GPIM") join this Agreement solely for purposes of Sections 1.2(f), 5.1(a), 5.1(e), 9.2, 14 and 16.3. Invesco PowerShares Capital Management LLC ("IPCM") joins this agreement solely for purposes of Sections
Sub-Item 77Q1(g) AGREEMENT AND PLAN OF REORGANIZATION THIS AGREEMENT AND PLAN OF REORGANIZATION ("Agreement") is adopted as of this 6th day of April, 2018 by and among: (i) each of the Guggenheim and Rydex open-end registered investment companies...Agreement and Plan of Reorganization • July 30th, 2018 • Invesco Exchange-Traded Self-Indexed Fund Trust • Delaware
Sub-Item 77Q1(g) AGREEMENT AND PLAN OF REORGANIZATION THIS AGREEMENT AND PLAN OF REORGANIZATION ("Agreement") is adopted as of this 18th day of May, 2018 by and among: (i) each of the Guggenheim open-end registered investment companies identified as a...Agreement and Plan of Reorganization • July 30th, 2018 • Invesco Exchange-Traded Self-Indexed Fund Trust • Delaware
MEMORANDUM OF AGREEMENT (Advisory Fee Waivers)Memorandum of Agreement • May 16th, 2019 • Invesco Exchange-Traded Self-Indexed Fund Trust
This Memorandum of Agreement is entered into as of the effective date on the attached Exhibit A, between Invesco Exchange-Traded Fund Trust, Invesco Exchange-Traded Fund Trust II, Invesco Actively Managed Exchange-Traded Fund Trust, Invesco Actively Managed Exchange-Traded Commodity Fund Trust, Invesco Exchange-Traded Self-Indexed Fund Trust and Invesco India Exchange-Traded Fund Trust (each a “Trust” and, collectively, the “Trusts”), on behalf of the funds listed on the Exhibit A to this Memorandum of Agreement, as amended from time to time (the “Funds”), and Invesco Capital Management LLC (“Invesco”). Invesco shall and hereby agrees to waive fees of the Funds, severally and not jointly, as indicated in the Exhibit A.
CUSTODY AGREEMENT by and between INVESCO EXCHANGE-TRADED FUNDS and THE BANK OF NEW YORK MELLONCustody Agreement • November 21st, 2018 • Invesco Exchange-Traded Self-Indexed Fund Trust • New York
CUSTODY AGREEMENT, dated as of September 17, 2018, between each Invesco investment company referenced on Schedule I attached hereto, as may be amended by the parties (each a “Fund” and collectively, the “Funds”), on behalf of each Series as defined below, and THE BANK OF NEW YORK MELLON, a bank organized under the laws of the state of New York (the “Custodian”).
AMENDMENT TO THE MASTER DISTRIBUTION AGREEMENTMaster Distribution Agreement • December 21st, 2020 • Invesco Exchange-Traded Self-Indexed Fund Trust
The Master Distribution Agreement (the “Agreement”), dated as December 19, 2017 by and between Invesco Exchange-Traded Self-Indexed Fund Trust and Invesco Distributors, Inc., is hereby amended as follows:
AMENDED AND RESTATED CUSTODY AGREEMENT by and between POWERSHARES and THE BANK OF NEW YORK MELLONCustody Agreement • March 30th, 2018 • PowerShares Exchange-Traded Self-Indexed Fund Trust • New York
CUSTODY AGREEMENT, dated as of June 17, 2013 (“Agreement”) between each PowerShares trust listed on Schedule I attached hereto, each a business trust, having its principal office and place of business at 3500 Lacey Road, Suite 700, Downers Grove, IL 60515 (the “Fund”), on behalf of itself and its Series, 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”).
FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • May 17th, 2018 • PowerShares Exchange-Traded Self-Indexed Fund Trust • New York
THIS AGREEMENT is made as of December 19, 2017 by and between PowerShares Exchange-Traded Self-Indexed Fund Trust (the “Trust”, with each series thereof, a “Fund”) and The Bank of New York Mellon, a New York banking organization (“BNY Mellon”).
MASTER DISTRIBUTION AGREEMENTMaster Distribution Agreement • May 17th, 2018 • PowerShares Exchange-Traded Self-Indexed Fund Trust
Master Distribution Agreement made as of December 19, 2017 by and between POWERSHARES EXCHANGE-TRADED SELF-INDEXED FUND TRUST, a Delaware statutory trust (the “Trust”), on behalf of each of its series of beneficial interest set forth on Schedule A to this Agreement (each individually referred to as “Fund”, or collectively as “Funds”), and INVESCO DISTRIBUTORS, INC., a Delaware corporation (the “Distributor”).
MASTER DISTRIBUTION AGREEMENTMaster Distribution Agreement • March 30th, 2018 • PowerShares Exchange-Traded Self-Indexed Fund Trust
Master Distribution Agreement made as of by and between POWERSHARES EXCHANGE-TRADED SELF-INDEXED FUND TRUST, a Delaware statutory trust (the “Trust”), on behalf of each of its series of beneficial interest set forth on Schedule A to this Agreement (each individually referred to as “Fund”, or collectively as “Funds”), and INVESCO DISTRIBUTORS, INC., a Delaware corporation (the “Distributor”).
AMENDED AND RESTATED MEMORANDUM OF AGREEMENT (Advisory Fee Waivers)Memorandum of Agreement • June 4th, 2024 • Invesco Exchange-Traded Self-Indexed Fund Trust
This Amended and Restated Memorandum of Agreement (“Memorandum of Agreement”) is entered into as of the effective date on the attached Exhibit A (the “Exhibit”), between Invesco Exchange-Traded Fund Trust, Invesco Exchange-Traded Fund Trust II, Invesco Actively Managed Exchange-Traded Fund Trust, Invesco Actively Managed Exchange-Traded Commodity Fund Trust, Invesco Exchange-Traded Self-Indexed Fund Trust and Invesco India Exchange-Traded Fund Trust (each a "Trust" and, collectively, the “Trusts”), on behalf of the series of the Trusts (the “Funds”), and Invesco Capital Management LLC (“Invesco”). This Memorandum of Agreement replaces the current Memorandum of Agreement (Advisory Fee Waivers) between the Trusts and Invesco, as well as the Affiliated Fund Fee Waiver Agreement dated as of March 8, 2018 between Invesco Actively Managed Exchange-Traded Fund Trust, on behalf of Invesco Total Return Bond ETF and Invesco Ultra Short Duration ETF, and Invesco.
MANAGEMENT SERVICES AGREEMENTManagement Services Agreement • May 17th, 2018 • PowerShares Exchange-Traded Self-Indexed Fund Trust • Illinois
THIS AGREEMENT (the “Agreement”) is made as of December 19, 2017 by and between PowerShares Exchange-Traded Self-Indexed Fund Trust (the “Trust”) and Invesco PowerShares Capital Management LLC (“Invesco PowerShares Capital Management” or the “Adviser”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • May 17th, 2018 • PowerShares Exchange-Traded Self-Indexed Fund Trust • Illinois
Investment Advisory Agreement (this “Agreement”) made as of December 19, 2017 between POWERSHARES EXCHANGE-TRADED SELF-INDEXED FUND TRUST, a Delaware statutory trust (“Trust”), and INVESCO POWERSHARES CAPITAL MANAGEMENT LLC (“Invesco PowerShares Capital Management”), a Delaware limited liability company registered as an investment adviser under the Investment Advisers Act of 1940, as amended (“Advisers Act”).
AGREEMENT AND DECLARATION OF TRUST OF POWERSHARES EXCHANGE-TRADED SELF-INDEXED FUND TRUST (a Delaware Statutory Trust) Dated as of October 30, 2015Trust Agreement • October 20th, 2017 • PowerShares Exchange-Traded Self-Indexed Fund Trust • Delaware
WHEREAS, the PowerShares Exchange-Traded Self-Indexed Fund Trust was established on October 30, 2015 with the filing of a Certificate of Trust with the Delaware Secretary of State for the purposes of carrying on the business of a management investment company;
EXCESS EXPENSE AGREEMENTExcess Expense Agreement • September 5th, 2018 • Invesco Exchange-Traded Self-Indexed Fund Trust
Excess Expense Agreement dated as of June 16, 2011, and as amended on June 4, 2018, between INVESCO EXCHANGE-TRADED FUND TRUST and INVESCO EXCHANGE-TRADED FUND TRUST II, each a Massachusetts business trust, and INVESCO ACTIVELY MANAGED EXCHANGE-TRADED FUND TRUST and INVESCO EXCHANGE-TRADED SELF-INDEXED FUND TRUST, each a Delaware statutory trust (collectively, the “Trusts”), and INVESCO CAPITAL MANAGEMENT LLC (the “Adviser”), a Delaware limited liability company registered as an investment adviser under the Investment Advisers Act of 1940, as amended.
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • May 17th, 2018 • PowerShares Exchange-Traded Self-Indexed Fund Trust • Illinois
Investment Advisory Agreement (this “Agreement”) made as of December 19, 2017 between POWERSHARES EXCHANGE-TRADED SELF-INDEXED FUND TRUST, a Delaware statutory trust (“Trust”), and INVESCO POWERSHARES CAPITAL MANAGEMENT LLC (“Invesco PowerShares Capital Management”), a Delaware limited liability company registered as an investment adviser under the Investment Advisers Act of 1940, as amended (“Advisers Act”).
SUBLICENSE AGREEMENTSublicense Agreement • May 17th, 2018 • PowerShares Exchange-Traded Self-Indexed Fund Trust • Illinois
This Sublicense Agreement (“AGREEMENT”) is entered into as of , by and between Invesco PowerShares Capital Management LLC, a Delaware corporation with offices at 3500 Lacey Road, Suite 700, Downers Grove, IL 60515 (“POWERSHARES”), and PowerShares Exchange-Traded Self-Indexed Fund Trust (“LICENSEE”).
AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • March 30th, 2018 • PowerShares Exchange-Traded Self-Indexed Fund Trust • New York
AGREEMENT made as of the 17th day of June, 2013 by and between each Trust listed on Exhibit D attached hereto, each having its principal office and place of business at 3500 Lacey Road, Suite 700, Downers Grove, IL 60515 (the “Trusts” and each a “Trust”) and THE BANK OF NEW YORK MELLON, a New York banking company having its principal office and place of business at One Wall Street, New York, New York 10286 (the “Bank”).
MEMORANDUM OF AGREEMENT (Advisory Fee Waivers)Memorandum of Agreement • September 5th, 2018 • Invesco Exchange-Traded Self-Indexed Fund Trust
This Memorandum of Agreement is entered into as of the effective date on the attached Exhibit A, between PowerShares Exchange-Traded Fund Trust, PowerShares Exchange-Traded Fund Trust II, PowerShares Actively Managed Exchange-Traded Fund Trust, PowerShares Actively Managed Exchange-Traded Commodity Fund Trust and PowerShares Exchange-Traded Self-Indexed Fund Trust (each a “Trust” and, collectively, the “Trusts”), on behalf of the funds listed on the Exhibit A to this Memorandum of Agreement, as amended from time to time (the “Funds”), and Invesco PowerShares Capital Management LLC (“PowerShares”). PowerShares shall and hereby agrees to waive fees of the Funds, severally and not jointly, as indicated in the Exhibit A.
