Alger ETF Trust Sample Contracts
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • March 28th, 2024 • Alger ETF Trust
THIS AGREEMENT is made as of the 1st day of June, 2023, by and between The Alger ETF Trust (the “Trust”), including on behalf of each of its series listed on Appendix A hereto (as such Appendix may be amended from time to time) (each, a “Fund” and collectively, the “Funds”) 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 240 Greenwich Street, New York, New York 10286 (the “Bank”).
Standard Contracts
CUSTODIAN AGREEMENTCustodian Agreement • February 19th, 2021 • Alger ETF Trust • New York
THIS AGREEMENT, dated as of February 29, 2008, between the management investment companies set forth in Exhibit 1 hereto (each, the Fund) registered with the Securities and Exchange Commission under the Investment Company Act of 1940 (the 1940 Act) acting on behalf of their respective Portfolios thereof, if any (each a Portfolio), and BROWN BROTHERS HARRIMAN & CO., a limited partnership formed under the laws of the State of New York (BBH&Co. or the Custodian),
CUSTODY AGREEMENT By and Between THE BANK OF NEW YORK MELLON And Each Customer Listed on Appendix ICustody Agreement • March 28th, 2024 • Alger ETF Trust • New York
This Custody Agreement is made and entered into as of the latest date set forth on the signature page hereto (the “Effective Date”) by and between THE BANK OF NEW YORK MELLON, a New York state chartered bank (“BNY Mellon”), and each investment company identified on Appendix I and each investment company which becomes a party to this Agreement in accordance with the terms hereof, including, if applicable, each series of the investment companies identified on Appendix I and each series which becomes a party to this Agreement in accordance with the terms hereof (each such investment company, or series thereof, severally, and not jointly (the “Customer”). BNY Mellon and Customer are collectively referred to as the “Parties” and individually as a “Party”.
FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • March 28th, 2024 • Alger ETF Trust • New York
THIS AGREEMENT is made as of June 1, 2023 by and between each investment company referenced on the signature page hereto (each, a “Fund” and collectively, the “Funds” as applicable) and The Bank of New York Mellon, a New York corporation authorized to do a banking business (“BNY Mellon”).
FOREIGN CUSTODY MANAGER AGREEMENTForeign Custody Manager Agreement • March 28th, 2024 • Alger ETF Trust
AGREEMENT made as of June 1, 2023 by and between each entity listed on Annex I attached hereto (each such entity severally, not jointly, the “Fund”) and The Bank of New York Mellon (“BNY”).
AMENDMENT TO CUSTODIAN AGREEMENTCustodian Agreement • February 19th, 2021 • Alger ETF Trust
THIS AMENDMENT to Custodian Agreement (this “Amendment”) is dated as of December 20, 2017, by and between each of the management investment companies (each, the “Fund”) set forth on Exhibit 1 to the Agreement (defined below) registered with the Securities and Exchange Commission under the Investment Company Act of 1940 acting on behalf of their respective portfolios thereof, if any (each, a “Portfolio”) and Brown Brothers Harriman & Co. (“BBH&Co.”).
SUB-INVESTMENT ADVISORY AGREEMENT FRED ALGER MANAGEMENT, INC.Sub-Investment Advisory Agreement • November 18th, 2022 • Alger ETF Trust • New York
As you are aware, The Alger Funds, The Alger Funds II and The Alger Portfolios (the “Funds”) desire to employ the capital of the series named on Schedule 1 hereto, as such Schedule may be revised from time to time (each, a “Series”), by investing and reinvesting the same in investments of the type and in accordance with the limitations specified in the relevant Series’ Prospectus and Statement of Additional Information as from time to time in effect, copies of which have been or will be submitted to you, and in such manner and to such extent as from time to time may be approved by each Fund’s Board. Each Fund employs Fred Alger Management, Inc. (the “Adviser”) to act as the Series’ investment adviser pursuant to a written agreement (the “Management Agreement”), a copy of which has been furnished to you. The Adviser is authorized to and desires to retain you, and you hereby agree to accept such retention, to act as the Series’ sub-investment adviser with respect to that portion of each
ACTIVESHARES® ETFs AP REPRESENTATIVE CONFIDENTIALITY & UNDERTAKINGS AGREEMENTConfidentiality Agreement • February 19th, 2021 • Alger ETF Trust • New York
This AP Representative Confidentiality & Undertakings Agreement (this “Agreement”) is entered into by and between ________________ (the “AP Representative”) and The Alger ETF Trust (the “Trust”), an open-end management investment company registered with the Securities and Exchange Commission (the “SEC”) under the Investment Company Act of 1940, as amended (the “1940 Act”), on behalf of each of its separate series (each, a “Fund” and collectively, the “Funds”), which are listed on Exhibit A hereto, as such Exhibit may be amended by the Trust, from time to time, upon notice to the AP Representative, to reflect newly-launched or liquidated, renamed, or merged Funds. Capitalized terms used herein and not otherwise defined have the meanings assigned to them in Section 6 of this Agreement.
AMENDMENT TO FOREIGN CUSTODY MANAGER AGREEMENTForeign Custody Manager Agreement • March 28th, 2024 • Alger ETF Trust
This Amendment is an amendment to the Foreign Custody Manager Agreement between The Bank of New York Mellon (“BNY Mellon”) and each entity set forth on Annex I thereto (each such entity severally, not jointly, the “Fund”) dated as of June 1, 2023 (the “Agreement”).
AMENDMENT TO SUB-INVESTMENT ADVISORY AGREEMENTSub-Investment Advisory Agreement • November 18th, 2022 • Alger ETF Trust
WHEREAS, Fred Alger Management, Inc. and Weatherbie Capital, LLC (“Weatherbie”) entered into a sub-investment advisory agreement dated March 1, 2017 (as amended, supplemented and/or restated to date, the “Agreement”) for Weatherbie to provide certain sub-investment advisory services to certain series (collectively, the “Series”) of each of The Alger Funds, The Alger Funds II and The Alger Portfolios; and
AMENDMENT TO CUSTODIAN AGREEMENTCustodian Agreement • February 19th, 2021 • Alger ETF Trust
THIS AMENDMENT to Custodian Agreement (this “Amendment”) is dated as of October 15, 2018, by and between each of the management investment companies (each, the “Fund”) set forth on Exhibit 1 hereto registered with the Securities and Exchange Commission under the Investment Company Act of 1940 acting on behalf of their respective portfolios thereof, if any (each a “Portfolio”) and Brown Brothers Harriman & Co. (“BBH&Co.”).
AMENDMENT TO EXHIBIT A OF THE AMENDED & RESTATED DISTRIBUTION AGREEMENT FOR THE ALGER ETF TRUSTDistribution Agreement • December 20th, 2024 • Alger ETF Trust
Pursuant to the Amended & Restated Distribution Agreement dated February 11, 2021, by and between The Alger ETF Trust and Fred Alger & Company, LLC (as amended to date, the “Agreement”), the parties agree to amend the Agreement effective December 17, 2024 as follows:
AUTHORIZED PARTICIPANT AGREEMENT THE ALGER ETF TRUSTAuthorized Participant Agreement • March 28th, 2024 • Alger ETF Trust • New York
The following are the names, titles, and signatures of all Participant’s persons authorized to give instructions, notices, or submit Orders or other requests pursuant to this Agreement.
January 5, 2021 The Alger ETF TrustPurchase Agreement • February 19th, 2021 • Alger ETF Trust
AMENDMENT TO EXHIBIT A OF THE AMENDED & RESTATED DISTRIBUTION AGREEMENT FOR THE ALGER ETF TRUSTDistribution Agreement • March 28th, 2024 • Alger ETF Trust
Pursuant to the Amended & Restated Distribution Agreement dated February 11, 2021, by and between The Alger ETF Trust and Fred Alger & Company, LLC (as amended to date, the “Agreement”), the parties agree to amend the Agreement effective February 20, 2024 as follows:
AMENDMENT TO SUB-INVESTMENT ADVISORY AGREEMENTSub-Investment Advisory Agreement • February 10th, 2023 • Alger ETF Trust
WHEREAS, Fred Alger Management, LLC (the “Adviser”) and Weatherbie Capital, LLC (“Weatherbie”) entered into a sub-investment advisory agreement dated March 1, 2017 (as amended, supplemented and/or restated to date, the “Agreement”) for Weatherbie to provide certain sub-investment advisory services to certain series of each of The Alger Funds, The Alger Funds II and The Alger Portfolios; and
AMENDMENT TO SCHEDULE I OF THE AMENDED & RESTATED INVESTMENT MANAGEMENT AGREEMENT FOR THE ALGER ETF TRUSTInvestment Management Agreement • December 20th, 2024 • Alger ETF Trust
Pursuant to the Amended & Restated Investment Management Agreement, dated February 11, 2021, by and between The Alger ETF Trust, and Fred Alger Management, LLC (as amended to date, the “Agreement”), the parties agree to amend the Agreement effective December 17, 2024 as follows:
AMENDMENT TO FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • December 20th, 2024 • Alger ETF Trust
This Amendment is an amendment to the Fund Administration and Accounting Agreement between The Bank of New York Mellon (“BNY Mellon”) and each investment company referenced on the signature page thereto (each, a “Fund”) dated as of June 1, 2023 (the “Agreement”).
AMENDMENT TO SCHEDULE I OF THE AMENDED & RESTATED INVESTMENT MANAGEMENT AGREEMENT FOR THE ALGER ETF TRUSTInvestment Management Agreement • February 10th, 2023 • Alger ETF Trust
Pursuant to the Amended & Restated Investment Management Agreement, dated February 11, 2021, by and between The Alger ETF Trust, and Fred Alger Management, LLC (as amended to date, the “Agreement”), the parties agree to amend the Agreement effective December 6, 2022 as follows:
AMENDMENT TO CUSTODIAN AGREEMENTCustodian Agreement • February 10th, 2023 • Alger ETF Trust
THIS AMENDMENT to Custodian Agreement (this “Amendment”) is dated effective as of January 18, 2023 by and between each of the management investment companies (each, the “Fund”) set forth on Exhibit 1 hereto registered with the Securities and Exchange Commission under the Investment Company Act of 1940 acting on behalf of their respective series or portfolios thereof, if any (each a “Portfolio”) and Brown Brothers Harriman & Co. (“BBH&Co.”).
AMENDMENT TO SECURITIES LENDING AGREEMENTSecurities Lending Agreement • December 20th, 2024 • Alger ETF Trust
THIS AMENDMENT TO SECURITIES LENDING AGREEMENT AND (“Amendment”) is made effective as of the 19 day of December, 2024 by and between THE BANK OF NEW YORK MELLON (the “Bank”) and each investment company identified on Attachment 1 to the Agreement )(defined below)(each a “Lender” and collectively the “Lenders”).
AUTHORIZED PARTICIPANT AGREEMENT THE ALGER ETF TRUSTAuthorized Participant Agreement • February 19th, 2021 • Alger ETF Trust • New York
The following are the names, titles, and signatures of all Participant’s persons authorized to give instructions, notices, or submit Orders or other requests pursuant to this Agreement.
AMENDMENT TO CUSTODIAN AGREEMENTCustodian Agreement • February 19th, 2021 • Alger ETF Trust
THIS AMENDMENT to Custodian Agreement (this “Amendment”) is dated as of January 6, 2017, by and between each of the management investment companies (each, the “Fund”) set forth on Exhibit 1 hereto registered with the Securities and Exchange Commission under the Investment Company Act of 1940 acting on behalf of their respective portfolios thereof, if any (each a “Portfolio”) and Brown Brothers Harriman & Co. (“BBH&Co. “).
AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • March 28th, 2024 • Alger ETF Trust
This Amendment is an amendment to the Custody Agreement between The Bank of New York Mellon (“BNY Mellon”) and each investment company identified on Appendix I thereto (each a “Customer”) dated as of June 1, 2023 (the “Agreement”).
AMENDED & RESTATED DISTRIBUTION AGREEMENTDistribution Agreement • February 19th, 2021 • Alger ETF Trust • New York
This Amended and Restated Distribution Agreement (the “Agreement”) is made as of February 11, 2021, by and between The Alger ETF Trust (the “Trust”), an unincorporated business trust organized under the laws of the Commonwealth of Massachusetts, on behalf of each of its series separately and not jointly (each a “Fund” and, collectively, the “Funds”), and Fred Alger & Company, LLC (the “Distributor”), a Delaware limited liability company.
AMENDMENT TO EXHIBIT A OF THE AMENDED & RESTATED DISTRIBUTION AGREEMENT FOR THE ALGER ETF TRUSTDistribution Agreement • February 10th, 2023 • Alger ETF Trust
Pursuant to the Amended & Restated Distribution Agreement dated February 11, 2021, by and between The Alger ETF Trust and Fred Alger & Company, LLC (as amended to date, the “Agreement”), the parties agree to amend the Agreement effective December 6, 2022 as follows:
AMENDMENT TO FOREIGN CUSTODY MANAGER AGREEMENTForeign Custody Manager Agreement • December 20th, 2024 • Alger ETF Trust
This Amendment is an amendment to the Foreign Custody Manager Agreement between The Bank of New York Mellon (“BNY Mellon”) and each entity set forth on Annex I thereto (each such entity severally, not jointly, the “Fund”) dated as of June 1, 2023 (the “Agreement”).
SECURITIES LENDING AUTHORIZATION AGREEMENTSecurities Lending Authorization Agreement • December 20th, 2024 • Alger ETF Trust • New York
AGREEMENT, dated as of January 18, 2024 between each investment company listed on Attachment 1 hereto (each, a “Client”), with respect to each of the series of each Client identified on Attachment 1 hereto, as amended, modified or supplemented from time to time (each a “Lender” and collectively the “Lenders”) and The Bank of New York Mellon (“Bank”).
AMENDMENT TO CUSTODIAN AGREEMENTCustodian Agreement • February 19th, 2021 • Alger ETF Trust
THIS AMENDMENT to Custodian Agreement (this “Amendment”) is dated effective as of January 4, 2021, by and between each of the management investment companies (each, the “Fund”) set forth on Exhibit 1 hereto registered with the Securities and Exchange Commission under the Investment Company Act of 1940 acting on behalf of their respective series or portfolios thereof, if any (each a “Portfolio”) and Brown Brothers Harriman & Co. (“BBH&Co.”).
ACTIVESHARES® ETFs AP REPRESENTATIVE CONFIDENTIALITY & UNDERTAKINGS AGREEMENTAp Representative Confidentiality & Undertakings Agreement • February 19th, 2021 • Alger ETF Trust • New York
This AP Representative Confidentiality & Undertakings Agreement (this “Agreement”) is entered into by and among (the “AP Representative”), (the “Clearing Broker”), as clearing broker for the AP Representative, and The Alger ETF Trust (the “Trust”), an open-end management investment company registered with the Securities and Exchange Commission (the “SEC”) under the Investment Company Act of 1940, as amended (the “1940 Act”), on behalf of each of its separate series (each, a “Fund” and collectively, the “Funds”), which are listed on Exhibit A hereto, as such Exhibit may be amended by the Trust, from time to time, upon notice to the AP Representative and the Clearing Broker, to reflect newly-launched or liquidated, renamed, or merged Funds. Capitalized terms used herein and not otherwise defined have the meanings assigned to them in Section 6 of this Agreement.
SUBLICENSE AGREEMENTSublicense Agreement • December 20th, 2024 • Alger ETF Trust
This Sublicense Agreement (“AGREEMENT”) is entered into as of ________ by and between Fred Alger Management, LLC, a Delaware limited liability company with offices at 100 Pearl Street, 27th Floor, New York, NY 10004 (“Alger”), and The Alger ETF Trust (“Licensee”), on behalf of certain series of the Licensee identified on Exhibit A as it may be amended from time to time (“Products”).
AMENDMENT TO FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • March 28th, 2024 • Alger ETF Trust
This Amendment is an amendment to the Fund Administration and Accounting Agreement between The Bank of New York Mellon (“BNY Mellon”) and each investment company referenced on the signature page thereto (each, a “Fund”) dated as of June 1, 2023 (the “Agreement”).
THE ALGER ETF TRUST AMENDED & RESTATED INVESTMENT MANAGEMENT AGREEMENT February 11, 2021Investment Management Agreement • February 19th, 2021 • Alger ETF Trust • New York
The Alger ETF Trust (the “Trust”), an unincorporated business trust organized under the laws of the Commonwealth of Massachusetts, on behalf of the Funds named on Schedule I hereto, as such Schedule may be revised from time to time (each, a “Fund”), hereby confirms its agreement with Fred Alger Management, LLC (“Alger Management”) as follows:
AMENDMENT TO TRANSFER AND ADMINISTRATIVE AGENCY AGREEMENTTransfer and Administrative Agency Agreement • November 18th, 2022 • Alger ETF Trust
THIS AMENDMENT TO TRANSFER AND ADMINISTRATIVE AGENCY AGREEMENT (this “Amendment”) is made as of May 12, 2021 by and between BROWN BROTHERS HARRIMAN & CO., a limited partnership organized under the laws of the State of New York (“BBH&Co.” or the “Administrator”), and ALGER ETF TRUST, a Massachusetts business trust (the “Trust”), on behalf of each series of the Trust listed on Appendix A to the Agreement.
AMENDMENT TO THE FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • March 28th, 2024 • Alger ETF Trust
This Amendment is an amendment to the Fund Administration and Accounting Agreement between The Bank of New York Mellon (“BNY Mellon”) and each investment company that is a party to such agreement (each a “Customer”) dated as of June 1, 2023 (the “Agreement”).