RULE 12d1-4 INVESTMENT AGREEMENT12d1-4 Investment Agreement • June 29th, 2023 • Nushares ETF Trust • Illinois
THIS RULE 12d1-4 INVESTMENT AGREEMENT (the “Agreement”), dated as of May 26, 2023 (the “Effective Date”), is made by and between each registered investment company (each, a “Registrant”), on behalf of each series of each such Registrant listed on Schedule A or Schedule B hereto, or if the relevant Registrant has no series, then the relevant Registrant (as applicable, each an “Acquiring Fund” or “Acquired Fund” pursuant to the applicable schedule), each severally and not jointly.
AMENDED AND RESTATED INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • February 28th, 2022 • Nushares ETF Trust • Illinois
AGREEMENT effective as of this 31st day of December 2021 by and between Nuveen Fund Advisors, LLC, a Delaware limited liability company and a registered investment adviser (“Manager”), and Nuveen Asset Management, LLC, a Delaware limited liability company and a registered investment adviser (“NAM” or “Sub-Adviser”).
NUVEEN OPEN-END AND CLOSED-END FUNDS DEFERRED COMPENSATION PLAN FOR INDEPENDENT DIRECTORS AND TRUSTEES (As Amended and Restated Effective January 1, 2013)NuShares ETF Trust • August 12th, 2016 • Illinois
INVESTMENT SUB-ADVISORY AGREEMENTSub-Advisory Agreement • August 5th, 2021 • Nushares ETF Trust • Illinois
AGREEMENT MADE THIS 26th day of July, 2021 by and between Nuveen Fund Advisors, LLC, a Delaware limited liability company and a registered investment adviser (“Manager”), and Santa Barbara Asset Management, LLC, a Delaware limited liability company and a registered investment adviser (“Sub-Adviser”).
SERVICES AGREEMENT NUSHARES ETF TRUST and CITI FUND SERVICES OHIO, INC. and CITIBANK, N.A.Services Agreement • October 31st, 2023 • Nushares ETF Trust • New York
THIS SERVICES AGREEMENT is made on September 1, 2023 by and among Nushares ETF Trust (the “Client”), Citi Fund Services Ohio, Inc. (“CFSO”), and Citibank, N.A. (“Citibank”), together with CFSO, the “Service Provider” or “Citi” and, with the Client, the “Parties” or individually, a “Party”). If more than one Client has signed this Agreement, this Agreement shall be considered a separate agreement between the Service Provider and each Client, and no Client shall be (i) liable for the obligations of any other Client or (ii) entitled to the benefits conferred under this Agreement on any other Client.
CONTINUANCE OF MANAGEMENT AGREEMENTSManagement Agreements • September 24th, 2021 • Nushares ETF Trust
Agreement made as of this 30th day of July 2021, by and between the entities listed on Appendix A (the “Funds”), and Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”), to be effective August 1, 2021.
CONTINUANCE OF MANAGEMENT AGREEMENTSManagement Agreements • September 23rd, 2022 • Nushares ETF Trust
Agreement made as of this 29th day of July 2022, by and between the entities listed on Appendix A (the “Funds”), and Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”), to be effective August 1, 2022.
RENEWAL OF DISTRIBUTION AGREEMENTSRenewal of Distribution Agreements • July 7th, 2021 • Nushares ETF Trust
Agreement made this 7th day of August, 2020 by and between the entities listed on Appendix A (each a “Fund”), and NUVEEN SECURITIES, LLC, a Delaware limited liability company (the “Underwriter”);
CONTINUANCE OF MANAGEMENT AGREEMENTSManagement Agreements • July 7th, 2021 • Nushares ETF Trust
Agreement made as of this 30th day of July 2020, by and between the entities listed on Appendix A (the “Funds”), and Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”), to be effective August 1, 2020.
NOTICE OF CONTINUANCE OF INVESTMENT SUB-ADVISORY AGREEMENTSub-Advisory Agreement • September 23rd, 2022 • Nushares ETF Trust
WHEREAS, Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Manager “) and Teachers Advisors, LLC, a Delaware limited liability company (the “Sub-Adviser”) have entered into Sub-Advisory Agreements as listed below (the “Agreements”) and continued to August 1, 2022, pursuant to which the Sub-Adviser furnishes investment advisory services to the Nuveen Funds listed; and
AMENDMENT TO ADMINISTRATIVE AGENCY AGREEMENTAdministrative Agency Agreement • September 20th, 2019 • Nushares ETF Trust
THIS AMENDMENT TO ADMINISTRATIVE AGENCY AGREEMENT (this “Amendment”) is made as of August 26, 2019, by and between BROWN BROTHERS HARRIMAN & CO., a limited partnership organized under the laws of the State of New York (the “Administrator”), and NUSHARES ETF TRUST, a management investment company organized under the laws of the Commonwealth of Massachusetts (the “Trust”), on behalf of each of its portfolios listed on Appendix A to the Agreement (as defined below), severally and not jointly (each a “Portfolio” and collectively, the “Portfolios”), registered with the Securities and Exchange Commission under the Investment Company Act of 1940.
RULE 12d1-4 FUNDS OF FUNDS INVESTMENT AGREEMENT FOR TIAA-CREF FUNDS OF FUNDS AS ACQUIRING FUNDS AND NUVEEN FUNDS/ETFS AS ACQUIRED FUNDSAgreement • February 28th, 2022 • Nushares ETF Trust
THIS AGREEMENT is entered into as of January 19, 2022, among TIAA-CREF Funds (the “Acquiring Trust”), 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 Nuveen Multistate Trust I, Nuveen Multistate Trust II, Nuveen Multistate Trust III, Nuveen Multistate Trust IV, Nuveen Municipal Trust, Nuveen Investment Funds, Inc., Nuveen Investment Trust, Nuveen Investment Trust II, Nuveen Investment Trust III, Nuveen Investment Trust V, Nuveen Managed Accounts Portfolios Trust and NuShares ETF Trust (each an “Acquired Trust” and collectively, the “Acquired Trusts”), each on behalf of 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”).
AMENDMENT TO ADMINISTRATIVE AGENCY AGREEMENTAdministrative Agency Agreement • September 24th, 2021 • Nushares ETF Trust
THIS AMENDMENT TO ADMINISTRATIVE AGENCY AGREEMENT (this “Amendment”) is made as of September 15, 2021, by and between BROWN BROTHERS HARRIMAN & CO., a limited partnership organized under the laws of the State of New York (the “Administrator”), and NUSHARES ETF TRUST, a management investment company organized under the laws of the Commonwealth of Massachusetts (the “Trust”), on behalf of each of its portfolios listed on Appendix A to the Agreement (as defined below), severally and not jointly (each a “Portfolio” and collectively, the “Portfolios”), registered with the Securities and Exchange Commission under the Investment Company Act of 1940.
DISTRIBUTION AGREEMENTDistribution Agreement • August 29th, 2016 • NuShares ETF Trust • Illinois
This Agreement (this “Agreement’) is made as of this 2nd day of August 2016, by and between NuShares ETF Trust (the “Trust”), a Massachusetts business trust, on behalf of its series listed on Schedule A hereto, as it may be amended from time to time (each a “Fund” and collectively, the “Funds”), and Nuveen Securities, LLC (the “Distributor”), a Delaware limited liability company.
AMENDMENT TO CUSTODIAN AGREEMENTCustodian Agreement • September 24th, 2021 • Nushares ETF Trust
THIS AMENDMENT TO CUSTODIAN AGREEMENT (this “Amendment”) is made as of September 15, 2021, by and between BROWN BROTHERS HARRIMAN & CO., a limited partnership organized under the laws of the State of New York (the “Custodian”), and NUSHARES ETF TRUST, a management investment company organized under the laws of the Commonwealth of Massachusetts (the “Trust”), on behalf of each of its portfolios listed on Appendix A to the Agreement (as defined below), severally and not jointly (each a “Portfolio” and collectively, the “Portfolios”), registered with the Securities and Exchange Commission under the Investment Company Act of 1940.
NUSHARES ETF TRUST MANAGEMENT AGREEMENT SCHEDULE A AMENDED AS OF MAY 16, 2017Management Agreement • June 2nd, 2017 • NuShares ETF Trust
The Funds of the Company currently subject to this Agreement, the effective date, initial period end and annual fee rate for each are as follows:
NUSHARES ETF TRUST MANAGEMENT AGREEMENT SCHEDULE A AMENDED AS OF MAY 20, 2019Management Agreement • May 31st, 2019 • Nushares ETF Trust
The Funds of the Company currently subject to this Agreement, the effective date, initial period end and annual fee rate for each are as follows:
SCHEDULE A AMENDED AS OF AUGUST 26, 2021Nushares ETF Trust • September 24th, 2021
DISTRIBUTION AGREEMENT SCHEDULE A AMENDED AS OF JUNE 14, 2022Distribution Agreement • June 23rd, 2022 • Nushares ETF Trust
NUSHARES ETF TRUST MANAGEMENT AGREEMENT SCHEDULE A AMENDED AS OF JUNE 30, 2023Management Agreement • June 29th, 2023 • Nushares ETF Trust
The Funds of the Company currently subject to this Agreement, the effective date, initial period end and annual fee rate for each are as follows:
AMENDMENT TO CUSTODIAN AGREEMENTCustodian Agreement • March 28th, 2017 • NuShares ETF Trust
THIS AMENDMENT TO CUSTODIAN AGREEMENT (this “Amendment”) is made as of March 9, 2017, by and between BROWN BROTHERS HARRIMAN & CO., a limited partnership organized under the laws of the State of New York (the “Custodian”), and NUSHARES ETF TRUST, a management investment company organized under the laws of the Commonwealth of Massachusetts (the “Trust”), on behalf of each of its portfolios listed on Appendix A to the Agreement (as defined below), severally and not jointly (each a “Portfolio” and collectively, the “Portfolios”), registered with the Securities and Exchange Commission under the Investment Company Act of 1940.
DISTRIBUTION AGREEMENT SCHEDULE A AMENDED AS OF FEBRUARY 21, 2024Distribution Agreement • March 6th, 2024 • Nushares ETF Trust
INVESTMENT SUB-ADVISORY AGREEMENT SCHEDULE A AMENDED AS OF MARCH 9, 2017NuShares ETF Trust • March 28th, 2017
NUVEEN FUND ADVISORS, LLC, a Delaware limited liability company TEACHERS ADVISORS, LLC, a Delaware limited liability company
AMENDMENT TO CUSTODIAN AGREEMENTCustodian Agreement • December 8th, 2016 • NuShares ETF Trust
THIS AMENDMENT TO CUSTODIAN AGREEMENT (this “Amendment”) is made as of November 11, 2016 by and between BROWN BROTHERS HARRIMAN & CO., a limited partnership organized under the laws of the State of New York (the “Custodian”), and NUSHARES ETF TRUST, a management investment company organized under the laws of the Commonwealth of Massachusetts (the “Trust”), on behalf of each of its portfolios listed on Appendix A to the Agreement (as defined below), severally and not jointly (each a “Portfolio” and collectively, the “Portfolios”), registered with the Securities and Exchange Commission under the Investment Company Act of 1940.
AMENDMENT TO CUSTODIAN AGREEMENTCustodian Agreement • June 2nd, 2017 • NuShares ETF Trust
THIS AMENDMENT TO CUSTODIAN AGREEMENT (this “Amendment”) is made as of April 13, 2017, by and between BROWN BROTHERS HARRIMAN & CO., a limited partnership organized under the laws of the State of New York (the “Custodian”), and NUSHARES ETF TRUST, a management investment company organized under the laws of the Commonwealth of Massachusetts (the “Trust”), on behalf of each of its portfolios listed on Appendix A to the Agreement (as defined below), severally and not jointly (each a “Portfolio” and collectively, the “Portfolios”), registered with the Securities and Exchange Commission under the Investment Company Act of 1940.
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • August 12th, 2016 • NuShares ETF Trust • Illinois
This Agreement (the “Agreement”) is made as of this 2nd day of August 2016, by and between Nuveen Fund Advisors, LLC, a Delaware limited liability company and a registered investment adviser (“Manager”), and Teachers Advisors, Inc., a Delaware corporation and a registered investment adviser (“Sub-Adviser”).
ContractNushares ETF Trust • June 29th, 2023
Certain identified information has been excluded from the exhibit because it is both not material and the type that the Registrant treats as private or confidential.
INVESTMENT SUB-ADVISORY AGREEMENT SCHEDULE A AMENDED AS OF JUNE 30, 2023Sub-Advisory Agreement • June 29th, 2023 • Nushares ETF Trust
NUVEEN FUND ADVISORS, LLC, a Delaware limited liability company TEACHERS ADVISORS, LLC, a Delaware limited liability company
SCHEDULE A AMENDED AS OF SEPTEMBER 3, 2019Nushares ETF Trust • September 20th, 2019
NUVEEN FUND ADVISORS, LLC, a Delaware limited liability company TEACHERS ADVISORS, LLC, a Delaware limited liability company
NUSHARES ETF TRUST MANAGEMENT AGREEMENT SCHEDULE A AMENDED AS OF FEBRUARY 21, 2024Management Agreement • March 6th, 2024 • Nushares ETF Trust
The Funds of the Company currently subject to this Agreement, the effective date, initial period end and annual fee rate for each are as follows:
INDEX SUBLICENSE AGREEMENTIndex Sublicense Agreement • June 2nd, 2017 • NuShares ETF Trust • Illinois
This Agreement (together with all exhibits, this “Agreement”), dated August 26, 2016, is by and among Nuveen Fund Advisors, LLC, a Delaware limited liability company (“NFAL”), and NuShares ETF Trust, a Massachusetts business trust (the “Trust”) that is registered as an open-end management investment company under the Investment Company Act of 1940, as amended (the “1940 Act”), on behalf of certain series of the Trust identified on Exhibit A hereto, as it may be amended from time to time (the “ETFs”).
Registration Document Completion ServiceRegistration Document Completion Service • March 28th, 2017 • NuShares ETF Trust
Reference is hereby made to the custody agreement in effect between the undersigned (the “Client”) and Brown Brothers Harriman & Co. (“BBH”), as amended from time to time (the “Agreement”). The Client wishes to engage BBH to provide the registration document completion service offered by BBH and set out below as an additional service under the Agreement (the “Service”), and BBH hereby agrees to provide the Service in accordance with the terms of the Agreement and this letter agreement.
NUSHARES ETF TRUST MANAGEMENT AGREEMENT SCHEDULE A AMENDED AS OF SEPTEMBER 24, 2017Management Agreement • September 25th, 2017 • NuShares ETF Trust
The Funds of the Company currently subject to this Agreement, the effective date, initial period end and annual fee rate for each are as follows:
AMENDMENT NUMBER 1 TO RULE 12d1-4 FUNDS OF FUNDS INVESTMENT AGREEMENT FOR TIAA- CREF FUNDS OF FUNDS AS ACQUIRING FUNDS AND NUVEEN FUNDS/ETFS AS ACQUIRED FUNDSNushares ETF Trust • February 28th, 2023
THIS AMENDMENT number 1 (the “Amendment”) to the Rule 12d1-4 Funds of Funds Investment Agreement for TIAA-CREF Funds of Funds as Acquiring Funds and Nuveen Funds/ETFs as Acquired Funds (the “Agreement”) dated January 19, 2022, among the Acquiring Trust, on behalf of itself and each Acquiring Fund, and the Acquired Trusts, each on behalf of itself and its Acquired Funds, is entered into as of January 19, 2023.
NUSHARES ETF TRUST Subscription AgreementNushares Etf Trust • August 29th, 2016 • NuShares ETF Trust
This Agreement made this August 26, 2016, by and between NuShares ETF Trust, a Massachusetts business trust (the “Trust”), on behalf of its series, NuShares Enhanced Yield U.S. Aggregate Bond ETF (the “Fund”), and Nuveen Fund Advisors, LLC (the “Subscriber”).
