DISTRIBUTION AGREEMENTDistribution Agreement • February 22nd, 2012 • SPDR Dow Jones Industrial Average Etf Trust • New York
DISTRIBUTION AGREEMENT (the “Agreement”) made as of November 1st, 2011, by and among PDR Services LLC, a Delaware limited liability company (the “Sponsor”); SPDR Dow Jones Industrial Average ETF Trust (formerly, DIAMONDS Trust, Series 1), a unit investment trust organized under the laws of the State of New York (the “Trust”); and ALPS Distributors, Inc., a Colorado corporation (the “Distributor”).
AMENDMENT TO CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • February 22nd, 2012 • SPDR Dow Jones Industrial Average Etf Trust
This Amendment (the “Amendment”) to the Chief Compliance Officer Service Agreement between ALPS Fund Services, Inc. (“ALPS”) and PDR Services LLC (“PDR”), as sponsor for the DIAMONDS Trust Series 1 (“Trust”), dated October 5, 2004 (the “Agreement”) is made as of this 1st day of November, 2009.
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement”) dated October 5, 2004 between PDR SERVICES LLC, a Delaware limited liability company (“PDR”), and ALPS MUTUAL FUNDS SERVICES, INC. (“ALPS”), a Colorado corporation. The “Effective Date” of...Chief Compliance Officer Services Agreement • February 22nd, 2012 • SPDR Dow Jones Industrial Average Etf Trust • New York
In a joint effort between PDR and ALPS to bring the DIAMONDS Trust, Series 1 (the “Trust”) into compliance with Rule 38a-1 (the “Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”), no later than October 5, 2004, ALPS has been rendering services to PDR pursuant to a letter of intent dated September 29, 2004 (the “Letter of Intent”). PDR desires to obtain the further benefit of ALPS’s services on behalf of the Trust by entering into a formal agreement with respect thereto effective from and after the Effective Date.
Addendum to Chief Compliance Officer Services Agreements Dated October 5, 2004 Between ALPS Mutual Funds Services, Inc. and PDR Services LLCSPDR Dow Jones Industrial Average Etf Trust • February 22nd, 2012
THIS ADDENDUM is made as of September 1, 2006, by and between ALPS Mutual Funds Services, Inc. (“ALPS”), and PDR Services LLC (“PDR”) on behalf of the SPDR Trust, DIAMONDS Trust, and MidCap SPDR Trust.
