FUND OF FUNDS INVESTMENT AGREEMENTFunds Investment Agreement • December 21st, 2022 • Tidal ETF Trust
THIS AGREEMENT is dated as of January 19, 2022 , among Tidal ETF Trust (the “Acquiring Trust”), each on behalf of itself and its separate series listed on Schedule A, as amended from time to time, severally and not jointly (each an “Acquiring Fund” and collectively, the “Acquiring Funds”), and PIMCO ETF Trust and PIMCO Equity Series, (each an “Acquired Trust” and collectively, the “Acquired Trusts”), each on behalf of its itself and its separate series listed on Schedule B, as amended from time to time or as such additional series are deemed to be added in the future, severally and not jointly (each, an “Acquired Fund” and collectively, the “Acquired Funds”).
RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 21st, 2022 • Tidal ETF Trust
THIS FUND OF FUNDS INVESTMENT AGREEMENT (the “Agreement”), dated as of September 30, 2022 (the “Effective Date”), is made among Tidal ETF Trust, on behalf of each of its series listed in Schedule A (each, an “Acquiring Fund”) and the Invesco Exchange-Traded Fund Trust, Invesco Exchange-Traded Fund Trust II, Invesco India Exchange-Traded Fund Trust, Invesco Actively Managed Exchange-Traded Trust, Invesco Actively Managed Exchange-Traded Commodity Fund Trust and Invesco Exchange-Traded Self-Indexed Fund Trust, on behalf of each of their series (except such series listed on Schedule B, as may be amended from time to time), severally and not jointly (each, an “Acquired Fund” and together with the Acquiring Funds, the “Funds”).
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • December 21st, 2022 • Tidal ETF Trust • New York
This Sub-Advisory Agreement (the “Agreement”) is made as of this 26th day of May, 2022 by and between Toroso Investments, LLC, a Delaware limited liability company, with its principal place of business at 898 N. Broadway, Suite 2, Massapequa, NY 11758 (the “Adviser”) and Ionic Capital Management LLC, a Delaware limited liability company, with its principal place of business at 475 Fifth Avenue, 9th Floor, New York, New York 10017 (the “Sub-Adviser”), with respect to the Ionic Cayman Subsidiary (the “Fund”), a subsidiary of the Ionic Inflation Protection ETF (the “U.S. Fund”), a series of Tidal ETF Trust (the “Trust”), a Delaware statutory trust, registered with the U.S. Securities and Exchange Commission (the “SEC”).
RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 21st, 2022 • Tidal ETF Trust
THIS AGREEMENT, dated as of, October 5, 2022 between each Acquiring Fund(s) identified on Schedule A, severally and not jointly (each, an “Acquiring Fund”), and each series of VanEck ETF Trust (except such series listed on Schedule B which may be amended from time to time), severally and not jointly (each, an “Acquired Fund” and together with the Acquiring Fund[s], the “Funds”).
RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 21st, 2022 • Tidal ETF Trust
THIS AGREEMENT, dated as of September 30, 2022, among each Acquiring Fund, severally and not jointly, identified on Schedule A (each, an “Acquiring Fund”), and the Acquired Funds, severally and not jointly, listed on Schedule B (each, an “Acquired Fund” and together with the Acquiring Funds, the “Funds”).
AMENDMENT TO FUND OF FUNDS INVESTMENT AGREEMENT FOR THE PURPOSE OF ADDING ADDITIONAL ACQUIRING FUND(S) AND ACQUIRED FUND(S) October 4, 2022Investment Agreement • December 21st, 2022 • Tidal ETF Trust
This amendment (“Amendment”) will confirm the agreement between PIMCO ETF Trust and PIMCO Equity Series (each an “Acquired Trust” and collectively, the “Acquired Trusts”) and Tidal ETF Trust (the “Acquiring Trust”) as follows. Capitalized terms used herein but not otherwise defined shall have their respective meanings ascribed to them in the Agreement (defined below).
Schwab Rule 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFunds Investment Agreement • December 21st, 2022 • Tidal ETF Trust • California
THIS AGREEMENT, dated as of January 19, 2022, by and among Tidal ETF Trust, a statutory trust organized under the laws of the State of Delaware (the “Acquiring Management Company”), on behalf of its series identified on Schedule A, severally and not jointly (each, an “Acquiring Fund,” and collectively, the “Acquiring Funds”), and Schwab Strategic Trust, a statutory trust organized under the laws of the State of Delaware (the “Trust”), on behalf of its series identified on Schedule B, severally and not jointly (each, an “Acquired Fund” and, collectively, the “Acquired Funds”).
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 21st, 2022 • Tidal ETF Trust • New York
THIS AGREEMENT, dated as of October 3, 2022, between Tidal ETF Trust (“Acquiring Trust”), on behalf of each of its series listed on Schedule A hereto (each, an “Acquiring Fund”), severally and not jointly, and each series of the Direxion Shares ETF Trust (“Trust”), excluding those listed on Schedule B hereto (each, an “Acquired Fund”), severally and not jointly. The Acquired Funds, together with the Acquiring Funds, are the “Funds.”
RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFunds Investment Agreement • December 21st, 2022 • Tidal ETF Trust • New York
THIS FUND OF FUNDS INVESTMENT AGREEMENT, dated as of October 10, 2022 (the “Effective Date”) by and between Tidal ETF Trust (the “Acquiring Trust”), a Delaware statutory trust, on behalf of each of its series listed on Schedule B, as such may be revised from time to time, severally and not jointly (each, an “Acquiring Fund”), and ProShares Trust (the “Trust”), a Delaware statutory trust, on behalf of each of its current and future series other than those series identified under the caption “Precautionary Notes: Funds Not Covered by the Agreement” on https://www.proshares.com/investment_agreement.html, severally and not jointly (each, an “Acquired Fund”). Each Acquiring Fund and each Acquired Fund is referred to as a “Fund”.
RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 21st, 2022 • Tidal ETF Trust
THIS AGREEMENT, dated as of September 29, 2022, between the Tidal ETF Trust, on behalf of itself and its separate series listed on Schedule A (each, an “Investing Fund”), severally and not jointly, and the investment trusts listed on Schedule A, on behalf of themselves and their respective series also listed on Schedule A, severally and not jointly (each, a “Vanguard Fund” and together with the Investing Funds, the “Funds”).
