BLACKROCK RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • October 28th, 2024 • iSHARES TRUST • Delaware
THIS FUND OF FUNDS INVESTMENT AGREEMENT (the “Agreement”), dated as of January 19, 2022 (the “Effective Date”), is made by and between each registered open-end investment company (each, a “Registrant”), on behalf of each portfolio series of each such Registrant listed on Schedule A or Schedule B hereto, or if the relevant Registrant has no portfolio series, then the relevant Registrant (as applicable, each an “Acquiring Fund” or “Acquired Fund” pursuant to the applicable schedule), each severally and not jointly.
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • October 24th, 2024 • Institutional Fiduciary Trust
THIS AGREEMENT, dated as of [___________], is made among each entity listed on Schedule A (as amended from time to time), severally and not jointly (each, an “Acquiring Fund”), and each Acquired Fund listed on Schedule A (as amended from time to time), severally and not jointly (each, an “Acquired Fund” and together with the Acquiring Funds, the “Funds”).
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • November 30th, 2022 • Smallcap World Fund Inc • California
THIS FUND OF FUNDS INVESTMENT AGREEMENT (this “Agreement”), dated as of January 19, 2022, by and among [ ], a [ ] life insurance company (the “Insurance Company”), on behalf of itself and certain of its separate accounts; [ ], an open-end management investment company organized under the laws of [ ] (the “Trust”), on behalf of itself and each fund, severally and not jointly, listed on Attachment A under the heading “Acquiring Funds,” as such Attachment A shall be amended from time to time (each such fund, an “Acquiring Fund”, and together, the “Acquiring Funds”); [ ], a corporation organized under the laws of [ ] (the “Adviser”); Capital Research and Management Company, a corporation organized under the laws of the State of Delaware (“CRMC”); each fund, severally and not jointly, listed on Attachment B under the heading “Retail Funds”, as such Attachment B shall be amended from time to time (each such fund listed under the heading “Retail Funds”, a “Retail Fund” or an “Acquired Fund”,
RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 14th, 2024 • New York
THIS FUND OF FUNDS INVESTMENT AGREEMENT, dated as of , 2021 (the “Effective Date”) by and between [the/each] Acquiring Fund[s], 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”.
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • September 23rd, 2022 • John Hancock Municipal Securities Trust
THIS AGREEMENT, dated as of January 19, 2022, between the Acquiring Fund (the “Acquiring Fund”), and the Acquired Fund (the “Acquired Fund” and together with the Acquiring Fund, the “Funds”), listed on Schedule A.
RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • September 25th, 2024 • Federated Hermes MDT Series • New York
THIS FUND OF FUNDS INVESTMENT AGREEMENT (the “Agreement”), dated as of January 19, 2022 (“Effective Date”), is made among Federated Hermes MDT Series, on behalf of each of their series listed in Schedule A, severally and not jointly (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 Fund 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”).
BLACKROCK RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • October 28th, 2024 • iSHARES TRUST • Delaware
THIS FUND OF FUNDS INVESTMENT AGREEMENT (the “Agreement”), dated as of January 19, 2022 (the “Effective Date”), is made by and between each registered open-end investment company (each, a “Registrant”), on behalf of each portfolio series of each such Registrant listed on Schedule A or Schedule B hereto, or if the relevant Registrant has no portfolio series, then the relevant Registrant (as applicable, each an “Acquiring Fund” or “Acquired Fund” pursuant to the applicable schedule), each severally and not jointly.
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • September 28th, 2023 • Arbitrage Funds • Massachusetts
This Fund of Funds Investment Agreement (this “Agreement”), dated as of January 19, 2022 (the “Effective Date”), is made between The Arbitrage Funds, on behalf of its series listed on Schedule A, severally and not jointly (each, the “Acquiring Fund”), and The Select Sector SPDR Trust, on behalf of each of its series listed on Schedule B, severally and not jointly (each, the “Acquired Fund” and together with the Acquiring Funds, the “Funds”).
ContractFund of Funds Investment Agreement • April 25th, 2024 • Voya BALANCED PORTFOLIO INC • Delaware
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • April 25th, 2024 • Voya STRATEGIC ALLOCATION PORTFOLIOS INC • California
THIS AGREEMENT, dated as of January 19, 2022, by and among Voya Mutual Funds, Voya Equity Trust, Voya Partners, Inc, Voya Strategic Allocation Portfolios, and Voya Separate Portfolios Trust, each a registered open-end investment company organized under the laws their respective state of organization, (each, an "Acquiring Management Company"), on behalf of their respective 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 • August 5th, 2024 • Datum One Series Trust
THIS AGREEMENT, is made this 26th day of June, 2024, by and among Fidelity Rutland Square Trust II (the “Fidelity Trust”), a statutory trust organized under the State of Delaware, on behalf of itself and its current and future series as identified on Schedule A, severally and not jointly (each, an “Acquiring Fund” and collectively, the “Acquiring Funds”), and each trust identified on Schedule B (each, an “Underlying Trust”), on behalf of itself and its respective series identified on Schedule B, severally and not jointly (each, an “Acquired Fund” and collectively the “Acquired Funds” and together with the Acquiring Funds, the “Funds”), and shall become effective on July 15, 2024 .
ContractFund of Funds Investment Agreement • April 25th, 2024 • Voya BALANCED PORTFOLIO INC • New York
ContractFund of Funds Investment Agreement • April 25th, 2024 • Voya STRATEGIC ALLOCATION PORTFOLIOS INC
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • July 27th, 2023 • Nomura Alternative Income Fund • New York
This Fund of Funds Investment Agreement (this “Agreement”), is effective as of July 5, 2023 (the “Effective Date”), is made between each investing fund in c/o Nomura Private Capital LLC (referred to as the “Trust”), on behalf of their series listed on Schedule A, severally and not jointly (each, the “Acquiring Fund”), and SPDR S&P 500 ETF Trust and SPDR Dow Jones Industrial Average ETF Trust, severally and not jointly (each, the “Acquired Fund” and together with the Acquiring Funds, the “Funds”).
FORM OF RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • July 21st, 2023 • Vanguard Montgomery Funds
THIS AGREEMENT, dated as of , [between/among] the [Trust Name(s)], on behalf of [itself/themselves] and [its/their] 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”).
AMENDMENT TOFund of Funds Investment Agreement • April 25th, 2024 • Voya BALANCED PORTFOLIO INC
This Amendment ("Amendment") is made as of April 5, 2022, by and among Voya Mutual Funds, Voya Equity Trust, Voya Partners, Inc, Voya Strategic Allocation Portfolios, and Voya
ContractFund of Funds Investment Agreement • April 25th, 2024 • Voya INTERMEDIATE BOND PORTFOLIO
ContractFund of Funds Investment Agreement • September 26th, 2024 • Voya EQUITY TRUST
ContractFund of Funds Investment Agreement • April 25th, 2024 • Voya INTERMEDIATE BOND PORTFOLIO
BNY MELLON ETF INVESTMENT ADVISER, LLC FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • October 25th, 2024 • BNY Mellon ETF Trust
THIS AGREEMENT, is made this 15th of July, 2024, by and among each registrant identified on Schedule A (each, an "Acquiring Trust"), on behalf of itself and its current and future series identified on Schedule A, severally and not jointly (each, an "Acquiring Fund" and collectively, the "Acquiring Funds"), and each registrant identified on Schedule B (each, an "Acquired Trust"), on behalf of itself and its respective series identified on Schedule B, severally and not jointly (each, an "Acquired Fund" and collectively the "Acquired Funds" and together with the Acquiring Funds, the "Funds"), and shall become effective on July 15, 2024 (the "Effective Date").
STATE STREET MUTUAL FUNDS FORM OF FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • April 27th, 2022 • Elfun Trusts
This Fund of Funds Investment Agreement (this “Agreement”), dated as of January 19, 2022 (the “Effective Date”), is made [between/among] [ ], on behalf of [its/their] series listed on Schedule A, severally and not jointly (each, the “Acquiring Fund”), and [ ], severally and not jointly (each, a “Trust”), each on behalf of their series listed on Schedule B, severally and not jointly (each, the “Acquired Fund” and together with the Acquiring Funds, the “Funds”).
BLACKROCK CLOSED-END RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • March 3rd, 2022 • BlackRock Utilities, Infrastructure & Power Opportunities Trust • Delaware
THIS FUND OF FUNDS INVESTMENT AGREEMENT (the “Agreement”), dated as of January 26, 2022 (the “Effective Date”), is made by and between each registered investment company listed on Schedule A hereto, on behalf of its portfolio series, as applicable (each, an “Acquiring Fund”) and each BlackRock closed-end registered investment company listed on Schedule B hereto (each, an “Acquired Fund”), each severally and not jointly.
FORM OF FUND OF FUNDS INVESTMENT AGREEMENT [AB Fund acquiring ETFs]Fund of Funds Investment Agreement • September 28th, 2022 • Ab Municipal Income Fund Ii • New York
THIS AGREEMENT, dated as of , between each [AB investment company], on behalf of the series thereof listed on Schedule A hereto, severally and not jointly (each, an “Acquiring Fund”), and each [ETF Trust], on behalf of the series thereof listed on Schedule A hereto, severally and not jointly (each, an “Acquired Fund” and together with the Acquiring Funds, the “Funds”).
ContractFund of Funds Investment Agreement • April 25th, 2024 • Voya BALANCED PORTFOLIO INC
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • January 26th, 2024 • Bny Mellon Stock Funds
This Investment Agreement (the “Agreement”), dated as of December 15, 2021 is between Northern Lights Fund Trust, a statutory trust organized under the laws of the State of Delaware (the “Acquiring Trust”), on behalf of each of its separate series listed on Schedule A (each, an “Acquiring Fund,” and collectively, the “Acquiring Funds”), severally and not jointly, and each registrant identified on Schedule B (each, an "Acquired Company"), on behalf of itself and its respective series identified on Schedule B, severally and not jointly (each, an "Acquired Fund" and collectively the "Acquired Funds" and together with the Acquiring Funds, the "Funds"), severally and not jointly, and shall become effective on January 19, 2022.
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • September 27th, 2022 • Proshares Trust • Delaware
THIS FUND OF FUNDS INVESTMENT AGREEMENT (the "Agreement"), dated as of January 19, 2022 (the "Effective Date"), is made by and between each registered open-end investment company (each, a "Registrant"), on behalf of each portfolio series of each such Registrant listed on Schedule A or Schedule B hereto, or if the relevant Registrant has no portfolio series, then the relevant Registrant (as applicable, each an "Acquiring Fun d" or "Acquired Fund" pursuant to the applicable schedule), each severally and not jointly.
ETC FORM OF RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 18th, 2023 • Exchange Listed Funds Trust
THIS AGREEMENT, dated as of __________, [between/among] [the/each] Acquiring Fund(s)[, severally and not jointly] (each, an “Acquiring Fund”), and [the/each] Acquired Fund(s)[, severally and not jointly] (each, an “Acquired Fund” and together with the Acquiring Fund[s], the “Funds”), listed on Schedule A.
FORM OF (CEFs) GUGGENHEIM FUNDS RULE 12d1-4 (ACQUIRING FUND) FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 15th, 2022 • Rydex Variable Trust • Delaware
THIS AGREEMENT, dated as of [ ] by and among each Guggenheim Fund (collectively, the “Guggenheim Funds”) listed on Appendix A hereto, on behalf of itself and all current and future separate series thereof, severally and not jointly (each such series, an “Acquiring Fund,” except as otherwise indicated) and each Acquired Fund Registrant listed on Appendix B hereto (each, an “Acquired Fund”) and together with the Acquiring Fund(s), the “Funds”).
BLACKROCK RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • October 21st, 2024 • iSHARES TRUST • Delaware
THIS FUND OF FUNDS INVESTMENT AGREEMENT (the “Agreement”), dated as of January 19, 2022 (the “Effective Date”), is made by and between each registered open-end investment company (each, a “Registrant”), on behalf of each portfolio series of each such Registrant listed on Schedule A or Schedule B hereto, or if the relevant Registrant has no portfolio series, then the relevant Registrant (as applicable, each an “Acquiring Fund” or “Acquired Fund” pursuant to the applicable schedule), each severally and not jointly.
FORM OF (OEFs/ETFs) GUGGENHEIM FUNDS RULE 12d1-4 (ACQUIRING FUND) FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 15th, 2022 • Rydex Variable Trust • Delaware
THIS AGREEMENT, dated as of [ ], by and among each Guggenheim Fund (collectively, the “Guggenheim Funds”) listed on Appendix A hereto, on behalf of itself and all current and future separate series thereof, severally and not jointly (each such series, an “Acquiring Fund,” except as otherwise indicated) and each Acquired Fund Registrant listed on Appendix B hereto (each, an “Acquired Fund”) and together with the Acquiring Fund(s), the “Funds”).
AMENDED AND RESTATED BLACKROCK RULE 12d1-4 PROPRIETARY FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • September 18th, 2024 • BlackRock Funds III • Delaware
THIS AMENDED AND RESTATED FUND OF FUNDS INVESTMENT AGREEMENT (the “Agreement”), effective as of February 1, 2023 (the “Effective Date”), is made by and between each registered open-end investment company (each, a “Registrant”), on behalf of each portfolio series of each such Registrant listed on Schedule A or Schedule B hereto, or if the relevant Registrant has no portfolio series, then the relevant Registrant (as applicable, each an “Acquiring Fund” or “Acquired Fund” pursuant to the applicable schedule), each severally and not jointly.
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • April 18th, 2022 • Northern Lights Variable Trust • New York
THIS AGREEMENT, dated as of January 12, 2022, between/among each Acquiring Fund(s), severally and not jointly listed on Schedule A hereto (each, an “Acquiring Fund”), 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 AGREEMENTFund of Funds Investment Agreement • April 19th, 2022 • Northern Lights Variable Trust • New York
THIS FUND OF FUNDS INVESTMENT AGREEMENT, dated as of January 3, 2022 (the “Effective Date”) by and between each Acquiring Funds, severally and not jointly listed on Schedule B (each, an “Acquiring Fund”), and ProFunds (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”.
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • August 27th, 2024 • New York Life Investments ETF Trust
THIS FUND OF FUNDS INVESTMENT AGREEMENT (the “Agreement”), dated as of ______________, ____ (the “Effective Date”), is made by and between each investment company (each, an “Acquiring Registrant”), for itself, and on behalf of each of its portfolio series listed on Schedule A (the “Acquiring Funds”), and each investment company (each, an “Acquired Registrant”), for itself, and on behalf of each of its portfolio series listed on Schedule B (the “Acquired Funds”), each severally and not jointly.
RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • July 28th, 2022 • GPS Funds II
THIS FUND OF FUNDS INVESTMENT AGREEMENT (the “Agreement”), dated as of January 19, 2022 (“Effective Date”), is made among GPS Funds I, GPS Funds II and Savos Investments Trust,, each on behalf of itself and each of its series listed in Schedule A as amended from time to time, severally and not jointly (each, an “Acquiring Fund”) and The Bank of New York Mellon, solely in its capacity as Trustee and on behalf of the Invesco QQQ Trust, Series 1 (the “Acquired Fund” and together with the Acquiring Funds, the “Funds”).
