AMENDMENT 3
Exhibit (e)(1)(a)
CONFIDENTIAL
AMENDMENT 3
This amendment (the “Amendment”) between the parties signing below (“Parties”) amends the Existing Agreement as of August 12, 2020:
Term | Means |
“Existing Agreement” | The Distribution Agreement between ALPS and the Trust dated April 16, 2018, as amended |
“ALPS”
|
ALPS Distributors, Inc. |
“Trust” | IndexIQ ETF Trust |
Except as amended hereby, all terms of the Existing Agreement remain in full force and effect. This Amendment includes the amendments in Schedule A and general terms in Schedule B.
IN WITNESS WHEREOF, the Parties have caused this Amendment to be executed by their duly authorized representatives.
ALPS DISTRIBUTORS, INC. | INDEXIQ ETF TRUST | |||
By: |
/s/ Xxxxxxx X. Xxxxxxx |
By: |
/s/ Xxxxxxxx Xxxxxxxxx | |
Name: |
Xxxxxxx X. Xxxxxxx |
Name: |
Xxxxxxxx Xxxxxxxxx | |
Title: |
Director, President & Chief Operating Officer |
Title: |
Executive Vice President |
Schedule A to this Amendment
Amendments
The Existing Agreement is amended as follows:
1. | APPENDIX A to Exhibit 1 of the Agreement is hereby deleted in its entirety and replaced with the following new APPENDIX A: |
APPENDIX A
List of Funds
As of the Effective Date1
Active Funds |
IQ Hedge Multi-Strategy Tracker ETF |
IQ Hedge Macro Tracker ETF |
IQ Hedge Market Neutral Tracker ETF |
IQ Real Return ETF |
IQ Merger Arbitrage ETF |
IQ Global Resources ETF |
IQ U.S. Real Estate Small Cap ETF |
IQ Hedge Long/Short Tracker ETF |
IQ Hedge Event-Driven Tracker ETF |
IQ 50 Percent Hedged FTSE International ETF |
IQ Enhanced Core Plus Bond U.S. ETF |
IQ S&P High Yield Low Volatility Bond ETF |
IQ Xxxxxxx U.S. Small Cap ETF |
IQ Xxxxxxx U.S. Large Cap ETF |
IQ 500 International ETF |
IQ Candriam ESG US Equity ETF |
IQ Candriam ESG International Equity ETF |
Non-Active Funds
IQ Candriam SRI Asia Pacific Equity ETF |
IQ Candriam SRI European Equity ETF |
IQ Candriam SRI World Equity ETF |
IQ Xxxxxxx U.S. Dividend Achievers ETF |
IQ S&P U.S. Preferred Stock Low Volatility High Dividend ETF |
IQ 500 ETF |
1 For purposes of this Exhibit A:
a) | “Active Funds” refers to those Funds that are operational as of the date of the Appendix and for which the Distributor has agreed to provide the services set forth in the Distribution Agreement; and |
b) | “Non-Active Funds” refers to those Funds that are not operational as of the date of the Appendix and for which the Distributor does not currently provide services. Upon a Non-Active Fund becoming operational, it shall be deemed an Active Fund, unless otherwise agreed to by the parties. |
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Schedule B to this Amendment
General Terms
1. | Capitalized terms not defined herein shall have the meanings given to them in the Existing Agreement. |
2. | The Parties’ duties and obligations are governed by and limited to the express terms and conditions of this Amendment, and shall not be modified, supplemented, amended or interpreted in accordance with, any industry custom or practice, or any internal policies or procedures of any Party. This Amendment (including any attachments, schedules and addenda hereto), along with the Existing Agreement, as amended, contains the entire agreement of the Parties with respect to the subject matter hereof and supersedes all previous communications, representations, understandings and agreements, either oral or written, between the Parties with respect thereto. |
3. | This Amendment may be executed in counterparts, each of which when so executed will be deemed to be an original. Such counterparts together will constitute one agreement. Signatures may be exchanged via facsimile or electronic mail and signatures so exchanged shall be binding to the same extent as if original signatures were exchanged. |
4. | This Amendment and any dispute or claim arising out of or in connection with it, its subject matter or its formation (including non-contractual disputes or claims) shall be governed by and construed in accordance with the laws of the same jurisdiction as the Existing Agreement. |
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