CUSTODY AGREEMENTCustody Agreement • September 4th, 2013 • ETF Series Trust • New York
AGREEMENT, dated as of ________________, 200__ between _____________, a Delaware statutory trust, having its principal office and place of business at _____________________ (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”).
DISTRIBUTION AGREEMENTDistribution Agreement • September 4th, 2013 • ETF Series Trust • New York
This Distribution Agreement (“Agreement”) is made this __ day of ____________, 2013, by and between ETF Series Trust, a Delaware statutory trust (“Trust”) having its principal place of business at 500 West Putnam Ave., Suite 400, Greenwich, CT 06830, and ETF Distributors LLC, a Delaware limited liability company (“Distributor”) having its principal place of business at 501 Madison Avenue, Suite 501, New York, NY 10022.
FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • September 4th, 2013 • ETF Series Trust • New York
AGREEMENT made as of _____________________, by and between each entity listed on Exhibit A hereto (each a “Fund”, collectively the “Funds”), and The Bank of New York Mellon, a New York banking organization (“BNY”).
AGREEMENT AND DECLARATION OF TRUST OF SAGE QUANT ETF TRUST (a Delaware Statutory Trust) Dated as of May 17, 2012Agreement and Declaration of Trust • September 4th, 2013 • ETF Series Trust • Delaware
WHEREAS, Sage Quant ETF Trust was established on May 17, 2012 with the filing of a Certificate of Trust with the Secretary of State of the State of Delaware for the purposes of carrying on the business of a management investment company;
ADMINISTRATIVE SERVICES AGREEMENTAdministrative Services Agreement • September 4th, 2013 • ETF Series Trust • New York
This ADMINISTRATIVE SERVICES AGREEMENT is made and entered into as of this _____ day of , 2013 by and between ETF SERIES TRUST, a Delaware statutory trust (“Trust”) and ETF ISSUER SOLUTIONS INC., a Delaware corporation (“Administrator”). SAGE QUANT MANAGEMENT LLC, a Delaware limited liability company and the investment adviser to the Trust (“Adviser”) is a party hereto with respect to Section 5 only.
SUPERVISION AGREEMENTSupervision Agreement • September 4th, 2013 • ETF Series Trust • New York
This SUPERVISION AGREEMENT (“Agreement”), made this ___ day of ___ 2013, between ETF Series Trust (“Trust”), a Delaware statutory trust, and Sage Quant Management LLC (“Manager”).
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • September 4th, 2013 • ETF Series Trust • New York
AGREEMENT made as of the ______ day of ________, 2013, by and between each Trust (hereinafter the “Trust”) listed on Appendix I hereto and each Series of the Trust 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”).
INVESTMENT ADVISORY AGREEMENT ETF Series TrustInvestment Advisory Agreement • September 4th, 2013 • ETF Series Trust • Delaware
AGREEMENT made this ________ day of 2013 between Sage Quant Management, LLC, a Delaware limited liability company (“Adviser”) and ETF Series Trust, a Delaware statutory trust (“Trust”), on behalf of each series of the Trust list on the attached Exhibit A as such Exhibit may be amended from time to time (each series is hereinafter referred to as a “Fund”).
ETF Series Trust STANDARD AUTHORIZED PARTICIPANT AGREEMENTAuthorized Participant Agreement • September 4th, 2013 • ETF Series Trust • Delaware
This Authorized Participant Agreement (the “Agreement”) is entered into by and between ETF Distributors LLC (the “Distributor”) and [ ] (the “Participant”) and is subject to acceptance by ETF Issuer Solutions Inc. (the “Index Receipt Agent”) as index receipt agent for ETF Series Trust (the “Trust”).
SAGE QUANT ETF TRUST (a Delaware Statutory Trust) AMENDMENT NO. 1 TO THE AGREEMENT AND DECLARATION OF TRUSTETF Series Trust • September 4th, 2013
This Amendment No. 1 (“Amendment”) to the Agreement and Declaration of Trust of Sage Quant ETF Trust (“Trust”) dated as of May 17, 2012 (“Declaration of Trust”) amends the Declaration of the Trust effective August 29, 2013, pursuant to an unanimous written consent signed by the Board of Trustees of the Trust dated August 29, 2013, as follows:
SUBLICENSE AGREEMENTSublicense Agreement • September 4th, 2013 • ETF Series Trust • New York
This Sublicense Agreement (the “Agreement”) is entered into as of , 2013, by and between Sage Quant Management LLC, a Delaware limited liability company with offices at 500 West Putnam Ave., Suite 400 Greenwich, CT 06830 (the “ADVISER”), and ETF Series Trust (the “Licensee”).
