0001193125-11-135632 Sample Contracts
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • May 11th, 2011 • DBX ETF Trust • New York
AGREEMENT made as of the 31st day of January, 2011 by and between DBX ETF Trust (hereinafter the “Trust”) and each portfolio of the Trust identified on Appendix I hereto (as such Appendix may 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”).
Standard Contracts
CUSTODY AGREEMENTCustody Agreement • May 11th, 2011 • DBX ETF Trust • New York
AGREEMENT, dated as of January 31, 2011, between DBX ETF Trust, a Delaware statutory trust, having its principal office and place of business at 60 Wall Street, New York, New York 10005 (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 DBX ETF TRUSTAuthorized Participant Agreement • May 11th, 2011 • DBX ETF Trust • New York
This Authorized Participant Agreement (the “Agreement”) is entered into by and between ALPS Distributors, Inc. (the “Distributor”) and _______________________________ (the “Authorized Participant” or “AP”) and is subject to acceptance by The Bank of New York Mellon (“ETF Administrator” or the “Transfer Agent”). The Transfer Agent serves as the transfer agent for the DBX ETF Trust (the “Company”) and is an Index Receipt Agent as that term is defined in the rules of the National Securities Clearing Corporation (“NSCC”). The Distributor, the Transfer Agent and the Authorized Participant acknowledge and agree that the Company 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 Company acting on an agency basis in connection with the sale and distribution of shares of beneficial interest, no par value per share
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • May 11th, 2011 • DBX ETF Trust • New York
Agreement made as of January 31, 2011 between DBX ETF TRUST (the “Company”), a Delaware statutory trust, and DBX ADVISORS LLC (the “Adviser”), a Delaware limited liability company.
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • May 11th, 2011 • DBX ETF Trust • New York
WHEREAS, the Adviser has entered into an Investment Advisory Agreement dated as of January 31, 2011, (the “Investment Advisory Agreement”) with DBX ETF Trust (the “Company”), an open-end investment company registered under the Investment Company Act of 1940, as amended (the “1940 Act”), and organized as a statutory trust under the laws of the State of Delaware on behalf of each Fund listed on Schedule A, as it may be amended from time to time to add or remove series (each, a “Fund”), pursuant to which the Adviser acts as adviser to the Fund;
FOREIGN CUSTODY MANAGER AGREEMENTForeign Custody Manager Agreement • May 11th, 2011 • DBX ETF Trust • New York
AGREEMENT made as of January 31, 2011 by and between each entity listed on Annex I attached hereto (the “Fund”) and The Bank of New York Mellon (“BNY”).
SUBLICENSE AGREEMENTSublicense Agreement • May 11th, 2011 • DBX ETF Trust • New York
This Sublicense Agreement (the “AGREEMENT”) is entered into as of [•], 2011, by and between DBX Advisors LLC, a Delaware limited liability company with offices at 60 Wall Street, New York, New York 10005 (the “ADVISER”), and DBX ETF Trust (the “LICENSEE”).
FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • May 11th, 2011 • DBX ETF Trust • New York
AGREEMENT made as of January 31, 2011, 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 (“BNYM”).
INITIAL SHARE PURCHASE AGREEMENTInitial Share Purchase Agreement • May 11th, 2011 • DBX ETF Trust
This Agreement is made as of the 11th day of February, 2011 between DBX Advisors LLC (the “Purchaser”), a Delaware limited liability company, and DBX ETF Trust, a Delaware statutory trust (the “Trust”). A copy of the Certificate of Incorporation is on file with Secretary of the State of Delaware and notice is hereby given that the obligations of this Agreement are not binding upon any of the Trustees, officers or shareholders of the Trust individually, but are binding only upon the assets and property of the Trust.
