TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • October 2nd, 2017 • Active Weighting Funds ETF Trust • New York
THIS AGREEMENT is made as of the 23rd day of August, 2017, by and between each Trust (hereinafter each a “Trust”, and collectively the “Trusts” as applicable) listed on Appendix A hereto (as such Appendix be amended from time to time) 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 225 Liberty Street, New York, New York 10286 (the “Bank”).
ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • October 2nd, 2017 • Active Weighting Funds ETF Trust • Delaware
This Distribution Agreement (the “Agreement”) is made as of September 13, 2017, by and between Active Weighting Funds ETF Trust, a Delaware statutory trust (the “Trust”) having its principal place of business at 200 Vesey Street, 24th Floor, New York, NY 10281, and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101.
CUSTODY AGREEMENTCustody Agreement • October 2nd, 2017 • Active Weighting Funds ETF Trust • New York
AGREEMENT, dated as of August 10, 2017 between Active Weighting Funds ETF Trust, a Delaware statutory trust, having its principal office and place of business at 200 Vesey Street, 24th floor, New York, NY 10281 (the “Trust”) 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 225 Liberty Street, New York, New York 10286 (“Custodian”).
FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • October 2nd, 2017 • Active Weighting Funds ETF Trust • New York
THIS AGREEMENT is made as of August 4th, 2017 by and between each Trust listed 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”).
FORM OF AUTHORIZED PARTICIPANT AGREEMENT ACTIVE WEIGHTING FUNDS ETF TRUSTAuthorized Participant Agreement • October 2nd, 2017 • Active Weighting Funds ETF Trust • New York
This Authorized Participant Agreement (the “Agreement”) is entered into by and between Foreside Fund Services, LLC (the “Distributor”) and __________ (the “Participant”) and is subject to acceptance by The Bank of New York Mellon (the “Transfer Agent”), and is further subject to acknowledgement and agreement by the Active Weighting Funds ETF Trust (the “Trust”), a series trust offering a number of portfolios of securities (each a “Fund” and collectively the “Funds”), solely with respect to Sections 4(c) and 12(c) herein. Capitalized terms used but not defined herein are defined in the current prospectus for each Fund as it may be supplemented or amended from time to time, and included in the Trust’s Registration Statement on Form N-1A, as it may be amended from time to time, or otherwise filed with the U.S. Securities and Exchange Commission (“SEC”) (together with such Fund’s Statement of Additional Information incorporated therein, the “Prospectus”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • October 2nd, 2017 • Active Weighting Funds ETF Trust • New York
This Investment Advisory Agreement (this “Agreement”) is made and entered into on September 13, 2017, to be effective upon the commencement of operations of the portfolios of the Trust listed on Schedule A attached hereto, by and between Active Weighting Funds ETF Trust, a Delaware statutory trust organized on August 26, 2016 (“Trust”), and Active Weighting Advisors, LLC, a Delaware limited liability company (“Advisor”).
FORM OF ACTIVE WEIGHTING FUNDS ETF TRUST PURCHASING FUND AGREEMENTPurchasing Fund Agreement • October 2nd, 2017 • Active Weighting Funds ETF Trust
This Purchasing Fund Agreement (the “Agreement”) is made as of the date set forth below between the Active Weighting Funds ETF Trust (the “Trust”) and _________________________ (the “Purchasing Fund”).
SECURITIES LENDING AUTHORIZATION AGREEMENTSecurities Lending Authorization Agreement • October 2nd, 2017 • Active Weighting Funds ETF Trust • New York
AGREEMENT, dated as of September 29, 2017 between Active Weighting Funds ETF Trust (the “Client”), with respect to each of the funds 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”).
EXPENSE LIMITATION AGREEMENT ACTIVE WEIGHTING FUNDS ETF TRUSTExpense Limitation Agreement • October 2nd, 2017 • Active Weighting Funds ETF Trust
This Agreement is made and entered into effective as of September 13, 2017, by and between the funds listed on Schedule A (each, a “Fund” and, collectively, the “Funds”), each a series of shares of Active Weighting Funds ETF Trust, a Delaware statutory trust (the “Trust”) and Active Weighting Advisors LLC, a Delaware limited liability company (the “Advisor”).
