AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • May 24th, 2024 • NEOS ETF Trust
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Reorganization Agreement”) is made as of this [ ] day of May [ ], 2024 by the NEOS ETF Trust, a Delaware statutory trust (“Acquiring Trust”); on behalf of a NEOS Enhanced Income Credit Select ETF (new series of the Acquiring Trust (the “Acquiring Fund”)); WST Investment Trust, a Delaware statutory trust (“Acquired Trust”) (the Acquiring Trust and Acquired Trust may be referred to herein individually as a “Trust” and collectively as the “Trusts”), on behalf of the WSTCM Credit Select Risk-Managed Fund (a series of the Acquired Trust (the “Target Fund”)) (the Acquiring Fund and Target Fund may be referred to herein individually as a “Fund” and collectively as the “Funds”); NEOS Investment Management, LLC, a Delaware limited liability company (“NEOS”), the investment adviser to the Acquiring Fund (only for purposes of Sections 4.4, 5.10, 5.12, 8.8, 9.1, 9.2 and 15.3 of this Reorganization Agreement) and Wilbanks, Smith & Thomas A
NEOS ETF Trust N-14Re: Agreement • May 24th, 2024 • NEOS ETF Trust
Re: AGREEMENT AND PLAN OF REORGANIZATION, DATED AS OF __________, 2024 (THE “AGREEMENT”), BY AND AMONG WST Investment Trust (“WST”) on behalf of ITS SERIES, WSTCM Credit Select Risk-Managed Fund (THE “ACQUIRED FUND”), NEOS ETF Trust (“NEOS”) on behalf of ITS SERIES, NEOS Enhanced Income CREDIT SELECT ETF (THE “Acquiring fund”), SOLELY FOR THE PURPOSES OF SECTIONs [5.10, 5.12, 9.1 and 9.2] THEREOF, NEOS Investment Management LLC (“NEOS”), and SOLELY FOR THE PURPOSES OF SECTIONs [5.12, 9.1 and 9.2] THEREOF, WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC, D/B/A WST CAPITAL MANAGEMENT (“WSTCM”) (COLLECTIVELY, NEOS AND WSTCM ARE REFERRED TO HEREIN AS the “ADVISERS”)
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • May 24th, 2024 • NEOS ETF Trust • Delaware
INVESTMENT ADVISORY AGREEMENT, dated May [ ], 2024, between NEOS ETF Trust (the “Trust”), a statutory trust organized under the laws of the State of Delaware, on behalf of the series of the Trust listed on Schedule A attached hereto (each, a “Fund” and collectively, the “Funds”), and NEOS Investment Management, LLC, a limited liability company organized under the laws of the State of Delaware (the “Adviser”).
NEOS ENHANCED INCOME CREDIT SELECT ETF OPERATING EXPENSES LIMITATION/AFFE AGREEMENTOperating Expenses Limitation/Affe Agreement • May 24th, 2024 • NEOS ETF Trust • Delaware
THIS OPERATING EXPENSES LIMITATION/AFFE AGREEMENT (the “Agreement”) is by and between NEOS ETF TRUST, a Delaware statutory trust (the “Trust”), on behalf of the ENHANCED INCOME CREDIT SELECT ETF (the “Fund”), a series of the Trust, and the adviser, NEOS INVESTMENT MANAGEMENT LLC (the “Adviser”).
