AUTHORIZED PARTICIPANT AGREEMENTAuthorized Participant Agreement • November 14th, 2023 • PGIM Rock ETF Trust • New York
This Authorized Participant Agreement (this "Agreement") is entered into by and between [____________________] (the "Participant") and Prudential Investment Management Services LLC (the "Distributor"), principal underwriter of the Trust and its separate series listed on Annex A hereto (each, a "Fund" and collectively, the "Funds"). Capitalized terms used herein and not otherwise defined have the meaning assigned to them in Section 14 of this Agreement.
AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • November 14th, 2023 • PGIM Rock ETF Trust
AMENDMENT made as of October 15, 2023 (the "Effective Date") to that certain Transfer Agency and Service Agreement dated as of March 24, 2022, as amended from time to time, between each Trust (hereinafter each a "Trust", and collectively the "Trusts" as applicable) listed on Appendix A thereto on behalf of it series listed on Appendix A (each a "PGIM ETF") (as such Appendix be amended from time to time) 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 240 Greenwich Street, New York, New York 10286 (the "Bank") (such Transfer Agency and Service Agreement, as amended, hereinafter referred to as the "Transfer Agency and Service Agreement"). Capitalized terms not otherwise defined herein shall have the meaning assigned to them pursuant to the Custody Agreement.
AMENDMENTFund Administration and Accounting Agreement • November 14th, 2023 • PGIM Rock ETF Trust
AMENDMENT made as of October 15, 2023 to that certain Fund Administration and Accounting Agreement dated as of February 3, 2006, as amended from time to time, between each Fund listed on the attached Schedule A thereto, including any series thereof (collectively, the "Funds") and The Bank of New York Mellon (formerly, The Bank of New York) ("BNY") (such Fund Administration and Accounting Agreement, as amended, hereinafter referred to as the "Accounting Agreement"). Capitalized terms not otherwise defined herein shall have the meaning assigned to them pursuant to the Accounting Agreement.
SUBADVISORY AGREEMENTSubadvisory Agreement • November 14th, 2023 • PGIM Rock ETF Trust
Agreement made as of this 26th day of October, 2023 between PGIM Investments LLC ("PGIM Investments" or the "Manager"), a New York limited liability company, and PGIM Quantitative Solutions LLC, (the "Subadviser" or "PGIM Quantitative Solutions"), a New Jersey limited liability company.
Distribution AgreementDistribution Agreement • November 14th, 2023 • PGIM Rock ETF Trust • New Jersey
THIS DISTRIBUTION AGREEMENT is made as of October 15, 2023 between the PGIM Rock ETF Trust, a Delaware statutory trust (the Trust), on behalf of its series set forth on attached Exhibit A (each referred to as the "Fund") and Prudential Investment Management Services LLC, a Delaware limited liability company (the Distributor).
MANAGEMENT AGREEMENTManagement Agreement • November 14th, 2023 • PGIM Rock ETF Trust
Agreement made the 26th day of October 2023, between PGIM Rock ETF Trust, a Delaware statutory trust (the "Trust"), on behalf of certain of its series, as listed on Schedule A (each, a "Fund"; collectively, the "Funds"), and PGIM Investments LLC, a New York limited liability company (the Manager).
AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • November 14th, 2023 • PGIM Rock ETF Trust
AMENDMENT made as of October 15, 2023 (the "Effective Date") to that certain Custody Agreement dated as of November 7, 2002, as amended from time to time, between each Fund listed on the attached Schedule A thereto, including any series thereof (each, a "Fund") and The Bank of New York Mellon (formerly, The Bank of New York) ("Custodian") (such Custody Agreement, as amended, hereinafter referred to as the "Custody Agreement"). Capitalized terms not otherwise defined herein shall have the meaning assigned to them pursuant to the Custody Agreement.
