TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • April 8th, 2009 • Grail Advisors ETF Trust • New York
AGREEMENT made as of the 20th day of March, 2009, by and between Grail Advisors ETF Trust (hereinafter the “Trust”) each Series of the Trust (each, a “Fund”) listed on Appendix I hereto (as such Appendix be amended from time to time), 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”).
CUSTODY AGREEMENTCustody Agreement • April 8th, 2009 • Grail Advisors ETF Trust • New York
AGREEMENT, dated as of March 20, 2009 between Grail Advisors ETF Trust (the “Trust”), a statutory trust organized and existing under the laws of the State of Delaware, having its principal office and place of business at One Ferry Building, Suite 255, San Francisco, CA 94111, (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 One Wall Street, New York, New York 10286 (“Custodian”).
AUTHORIZED PARTICIPANT AGREEMENT FOR GRAIL ADVISORS ETF TRUSTAuthorized Participant Agreement • April 8th, 2009 • Grail Advisors ETF Trust • New York
This Authorized Participant Agreement (this “Agreement”) is entered into by and between ALPS Distributors, Inc. (the “Distributor”) and ________________________________ (the “Authorized Participant” or the “AP”) and is subject to acceptance by The Bank of New York Mellon Corporation (the “BNY ETF Administrator” or the “Transfer Agent”). The Transfer Agent serves as the transfer agent for Grail Advisors ETF Trust (the “Trust”). The Distributor, the Transfer Agent and the Authorized Participant acknowledge and agree that the Trust shall be a third-party beneficiary of this Agreement and shall receive the benefits contemplated by this Agreement, to the extent specified herein. The Distributor has been retained to provide services as principal underwriter of the Trust acting on an agency basis in connection with the sale and distribution of shares of beneficial interest, all without par value (sometimes referred to as “Shares”), of each of the separate investment portfolios of the Trust (e
FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • April 8th, 2009 • Grail Advisors ETF Trust • New York
AGREEMENT made as of March 20, 2009 by and between Grail Advisors ETF Trust (the “Trust”), and The Bank of New York Mellon, a New York banking organization (“BNY”).
DISTRIBUTION AGREEMENTDistribution Agreement • April 8th, 2009 • Grail Advisors ETF Trust • Delaware
This Distribution Agreement (the “Agreement”) made this 20th day of March, 2009, by and between Grail Advisors ETF Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its series (each, a “Fund” and together, the “Funds”) listed in Exhibit A (as amended from time to time and incorporated by reference herein), having its principal place of business at One Ferry Building, Suite 255, San Francisco, California 94111, and ALPS Distributors, Inc., a Colorado corporation (the “Distributor”), having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203.
EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • April 8th, 2009 • Grail Advisors ETF Trust • Delaware
Grail American Beacon Large Cap Value ETF and Grail American Beacon International Equity ETF (the “Funds”) are each a series of Grail Advisors ETF Trust, a Delaware statutory trust (“Trust”).
