AGREEMENT AND DECLARATION OF TRUST OF TRANSPARENT VALUE TRUSTAgreement and Declaration of Trust • March 25th, 2010 • Transparent Value Trust
WHEREAS, THIS AGREEMENT AND DECLARATION OF TRUST is made and entered into as of the date set forth below by the Trustees named hereunder for the purpose of forming a Delaware statutory trust in accordance with the provisions hereinafter set forth, to be effective upon the filing of the executed Certificate of Trust with the state of Delaware.
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • March 25th, 2010 • Transparent Value Trust • Delaware
INVESTMENT ADVISORY AGREEMENT (the “Agreement”) made as of this 15th day of March, 2010 by and between TRANSPARENT VALUE TRUST (the “Trust”), a Delaware statutory trust registered as an investment company under the Investment Company Act of 1940, as amended (the “1940 Act”), and GUGGENHEIM INVESTMENT MANAGEMENT, LLC (the “Adviser”), a Delaware corporation with its principal place of business at 135 East 57th Street, 6th Floor, New York, New York 10022.
TRANSPARENT VALUE TRUST TRANSFER AGENCY INTERACTIVE CLIENT SERVICES AGREEMENTTransfer Agency Interactive Client Services Agreement • March 25th, 2010 • Transparent Value Trust • Delaware
This Transfer Agency Interactive Client Services Agreement (this “Agreement”) is made as of __________, 2010, between Transparent Value Trust, a statutory trust established under the laws of the State of Delaware (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
TRANSPARENT VALUE TRUST TRANSFER AGENCY AND SERVICES AGREEMENTTransparent Value Trust • March 25th, 2010 • Transparent Value Trust • Delaware
THIS AGREEMENT is made as of _________________________, 2010, among Transparent Value Trust, organized as a statutory trust under the laws of Delaware (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
TRANSPARENT VALUE TRUST CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTCompliance Officer Services Agreement • March 25th, 2010 • Transparent Value Trust • Delaware
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of __________, 2010 (the “Effective Date”) by and between TRANSPARENT VALUE TRUST, a Delaware statutory trust (the “Trust”), on behalf of each of its series listed in Exhibit A hereto, as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation.
EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • March 25th, 2010 • Transparent Value Trust
EXPENSE LIMITATION AGREEMENT, effective as of _____________, 2010 by and between Guggenheim Investment Management, LLC (the “Adviser”) and Transparent Value Trust (the “Trust”) (the “Agreement”), on behalf of each series of the Trust set forth in Schedule A attached hereto (each a “Fund,” and collectively, the “Funds”).
TRANSPARENT VALUE TRUST ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENTTransparent Value Trust • March 25th, 2010 • Transparent Value Trust • Delaware
THIS AGREEMENT is made as of __________, 2010, by and among Transparent Value Trust, a statutory trust formed under the laws of the State of Delaware (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • March 25th, 2010 • Transparent Value Trust • Delaware
SUB-ADVISORY AGREEMENT (the “Agreement”) made as of this 15th day of March, 2010 by and between GUGGENHEIM INVESTMENT MANAGEMENT, LLC (the “Adviser”), a Delaware corporation with its principal place of business at 135 East 57th Street, 6th Floor, New York, New York 10022, and TRANSPARENT VALUE ADVISORS, LLC (the “Sub-Adviser”), a Delaware limited liability company with its principal place of business at 135 East 57th Street, 15th Floor, New York, New York 10022 (the “Sub-Adviser”).
SHAREHOLDER SERVICING AGREEMENTShareholder Servicing Agreement • March 25th, 2010 • Transparent Value Trust • Colorado
THIS SHAREHOLDER SERVICING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and _____________________________________, a _______________________________ company having its principal place of business at______________________________, _________________, _______________(hereinafter “Servicer”).
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • March 25th, 2010 • Transparent Value Trust • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and ___________________________________, a _________________________ company having its principal place of business ________________________________________________________ (hereinafter “Broker/Dealer”).
TRANSPARENT VALUE TRUST DISTRIBUTION AGREEMENTTransparent Value Trust • March 25th, 2010 • Transparent Value Trust • Delaware
THIS AGREEMENT is made as of __________, 2010, between Transparent Value Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
MUTUAL FUND CUSTODY AND SERVICES AGREEMENTAnd Services Agreement • March 25th, 2010 • Transparent Value Trust • New York
THIS AGREEMENT, effective as of the 3rd day of March, 2010, is between TRANSPARENT VALUE TRUST (the “Trust”), a statutory trust organized under the laws of the State of Delaware having its principal office and place of business at 135 East 57th Street, 6th Floor, New York, New York, and THE BANK OF NEW YORK MELLON (the “Custodian”), a New York state chartered bank with its principal place of business at One Wall Street, New York, New York 10286.
