INVESTMENT SUB-ADVISORY AGREEMENT with Vident Investment Advisory, LLCInvestment Sub-Advisory Agreement • February 20th, 2020 • Esoterica Thematic ETF Trust • Delaware
This INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”) is made as of this 14th day of February, 2020 by and among ESOTERICA CAPITAL LLC, a Delaware limited liability company with its principal place of business at 135 W. 52nd Street, Suite 16C, New York, New York 10019 (the “Adviser”), ESOTERICA THEMATIC TRUST (the “Trust”), solely as a party with respect to Sections 6 and 16 hereof, and VIDENT INVESTMENT ADVISORY, LLC, a Delaware limited liability company with its principal place of business located at 1125 Sanctuary Parkway, Suite 515, Alpharetta, GA 30009 (the “Sub-Adviser”).
CUSTODIAN AGREEMENTCustodian Agreement • February 20th, 2020 • Esoterica Thematic ETF Trust • New York
THIS AGREEMENT, dated as of December 31, 2019, between ESOTERICA THEMATIC TRUST, a management investment company organized as a Delaware statutory trust and registered with the Commission under the Investment Company Act of 1940 (the “1940 Act”) (the “Trust,” for itself and on behalf of each series listed on Appendix A to this Agreement, severally and not jointly (each, a “Portfolio”)), and BROWN BROTHERS HARRIMAN & CO., a limited partnership formed under the laws of the State of New York (BBH&Co. or the Custodian). Reference hereafter to the “Fund” shall mean the Trust for itself and/or in respect of one or more Portfolios, separately and not jointly, as the context requires.
FORM OF AUTHORIZED PARTICIPANT AGREEMENT [TRUST NAME]Authorized Participant Agreement • February 20th, 2020 • Esoterica Thematic ETF Trust • New York
This Authorized Participant Agreement (the “Agreement”) is entered into by and between Foreside Fund Services, LLC (the “Distributor”) and __________ (the “Participant”) and is subject to acceptance by [Name of Transfer Agent/Index Receipt Agent] (the “[Transfer Agent/Index Receipt Agent]”), and is further subject to acknowledgement and agreement by [Name of Trust Trust] (the “Trust”), a series trust offering a number of portfolios of securities (each a “Fund” and collectively the “Funds”), solely with respect to Sections 4(c) and 12(c) herein. Capitalized terms used but not defined herein are defined in the current prospectus for each Fund as it may be supplemented or amended from time to time, and included in the Trust’s Registration Statement on Form N-1A, as it may be amended from time to time, or otherwise filed with the U.S. Securities and Exchange Commission (“SEC”) (together with such Fund’s Statement of Additional Information incorporated therein, the “Prospectus”).
AGREEMENT AND DECLARATION OF TRUST of Esoterica Thematic Trust a Delaware Statutory TrustAgreement and Declaration of Trust • February 20th, 2020 • Esoterica Thematic ETF Trust • Delaware
FUND CCO AND AMLO AGREEMENTFund Cco and Amlo Agreement • February 20th, 2020 • Esoterica Thematic ETF Trust • Delaware
THIS AGREEMENT is made as of December 11, 2019 by and between Esoterica Thematic Trust, a Delaware statutory trust having its principal place of business at 135 W. 52nd Street, 16C, New York, New York 10019 (the “Fund Company”), and Foreside Fund Officer Services, LLC, a Delaware limited liability company, with its principal office and place of business at Three Canal Plaza, Portland, Maine 04101 (“Foreside”).
FUND PFO/TREASURER AGREEMENTFund Pfo/Treasurer Agreement • February 20th, 2020 • Esoterica Thematic ETF Trust • Delaware
AGREEMENT made as of February 10, 2020, by and between Esoterica Thematic Trust, a Delaware statutory trust, with its principal office and place of business at 135 W. 52nd Street, 16C, New York, New York 10019 (the "Fund"), and Foreside Fund Officer Services, LLC, a Delaware limited liability company with its principal office and place of business at Three Canal Plaza, Suite 100, Portland, Maine 04101 ("Foreside").
MANAGEMENT AGREEMENTManagement Agreement • February 20th, 2020 • Esoterica Thematic ETF Trust • Delaware
Esoterica Thematic Trust (the "Trust"), an open-end investment company established as a Delaware statutory trust, offers shares in the series named on Appendix A hereto (such series being herein referred to as a “Fund,” and collectively as the “Funds”).
DISTRIBUTION AGREEMENTDistribution Agreement • February 20th, 2020 • Esoterica Thematic ETF Trust • Delaware
This Distribution Agreement (the “Agreement”) is made this 11th day of December 2019, by and between Esoterica Thematic Trust, a Delaware statutory trust (the “Trust”) having its principal place of business at 135 W. 52nd Street, 16C, New York, NY 10019, and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101.
ESOTERICA THEMATIC TRUST OPERATING EXPENSES LIMITATION AGREEMENTOperating Expenses Limitation Agreement • February 20th, 2020 • Esoterica Thematic ETF Trust • Delaware
THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) by and between ESOTERICA THEMATIC TRUST, a Delaware statutory trust (the “Trust”), on behalf of the Esoterica NextG Economy ETF (the “Fund”), a series of the Trust and the adviser, Esoterica Capital LLC (the “Adviser”).
Agreement on IOPV Calculation the (“Agreement”) dated 12 February 2020 between Solactive AG Platz der Einheit 1 60327 Frankfurt am Main Germany - hereinafter referred to as "Solactive" - and Esoterica Capital LLC NYC, NY, 10019 United States of...Esoterica Thematic ETF Trust • February 20th, 2020
DISTRIBUTION SERVICES AGREEMENTDistribution Services Agreement • February 20th, 2020 • Esoterica Thematic ETF Trust • Delaware
THIS AGREEMENT made this 11th day of December, 2019 by and between Esoterica Capital LLC, a Delaware limited liability company (the “Adviser”), and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”).
Exchange Listing AgreementListing Agreement • February 20th, 2020 • Esoterica Thematic ETF Trust • New York
This listing agreement (“Listing Agreement”) should be executed and submitted by Companies seeking initial listing on the Cboe BZX Exchange, Inc. (collectively, with its affiliates, the “Exchange”) or current Companies changing their name.
