EXCEPTION – International Settlements. The AP must deliver units for redemption orders no later than Trade Date Plus 1 in order to meet the affirmed order requirements placed the previous day. * Times may vary depending on the trade volume from the APs. ANNEX III-A TO AUTHORIZED PARTICIPANT AGREEMENT FOR GRAIL ADVISORS ETF TRUST FORM OF CERTIFIED AUTHORIZED PERSONS OF THE AUTHORIZED PARTICIPANT GRAIL ADVISORS ETF TRUST The following are the names, titles, signatures, phone numbers, and email addresses of all persons (each an “Authorized Person”) authorized to give instructions relating to any activity contemplated by this Authorized Participant Agreement for Grail Advisors ETF Trust (the “Agreement”) or any other notice, request or instruction on behalf of the Authorized Participant pursuant to the Agreement. Authorized Participant: [Name of Authorized Participant] Name: Name: Title: Title: Signature: Signature: Phone: Phone: Email: Email: Name: Name: Title: Title: Signature: Signature: Phone: Phone: Email: Email: Name: Name: Title: Title: Signature: Signature: Phone: Phone: Email: Email: Date: Certified By: Name: Title: ANNEX III-B TO AUTHORIZED PARTICIPANT AGREEMENT FOR GRAIL ADVISORS ETF TRUST [On AP’s Firm Letterhead] [DATE] The Bank of New York Mellon Attn: ETF Services [ ] New York, NY [ ] Re: Addendum to the Certificate of Authorized Persons for [Name of AP] under the Authorized Participant Agreement for the Grail Advisors ETF Trust (the “Agreement”) Ladies and Gentlemen: Pursuant to the Agreement, following are the names, titles, signatures, phone numbers, and email addresses of additional Authorized Persons (as defined in the Agreement) of [Name of AP] (the “AP”) authorized to give instructions relating to any activity contemplated by the Agreement or any other notice, request or instruction on behalf of the AP pursuant to the Agreement. This list of Authorized Persons is an addendum and adds Authorized Persons to the AP’s most recently executed certificate (entitled “Certified Authorized Persons of the Authorized Participant, Grail Advisors ETF Trust”) preceding the date set forth above. Name: Name: Title: Title: Signature: Signature: Phone: Phone: Email: Email: Name : Name : Title: Title: Signature: Signature: Phone: Phone: Email: Email: Please provide PIN numbers for those listed above. Very truly yours, ANNEX IV TO AUTHORIZED PARTICIPANT AGREEMENT FOR GRAIL ADVISORS ETF TRUST INTERNATIONAL FUND SUBCUSTODIAN ACCOUNTS FOR
EXCEPTION – International Settlements. The AP must deliver units for redemption orders no later than Trade Date Plus 1 in order to meet the affirmed order requirements placed the previous day. * Times may vary depending on the trade volume from the APs. ANNEX III TO AUTHORIZED PARTICIPANT AGREEMENT FOR GRAIL ADVISORS ETF TRUST FORM OF CERTIFIED AUTHORIZED PERSONS OF THE AUTHORIZED PARTICIPANT The following are the names, titles and signatures of all persons (each an “Authorized Person”) authorized to give instructions relating to any activity contemplated by this Agreement or any other notice, request or instruction on behalf of the AP pursuant to this Agreement. Name: __________________ Title: __________________ Signature: __________________ Name: __________________ Title: __________________ Signature: __________________ Name: __________________ Title: __________________ Signature: __________________ The undersigned, [name], [title], [company], does hereby certify that the persons listed above have been duly elected to the offices set forth beneath their names, that they presently hold such offices, that they have been duly authorized to act as Authorized Persons of this institution in its capacity as an AP pursuant to the Agreement by and between ALPS Distributors, Inc., as Distributor, and [name of the AP], dated [date] and that their signatures set forth above are their own true and genuine signatures. In witness whereof, the undersigned has hereby set his/her hand and the seal of [company]. Date: _________________ ___________________ [name, title] ANNEX IV TO AUTHORIZED PARTICIPANT AGREEMENT FOR GRAIL ADVISORS ETF TRUST INTERNATIONAL FUND SUBCUSTODIAN ACCOUNTS FOR DELIVERY OF DEPOSIT SECURITIES The Subcustodian accounts into which an AP should deposit the securities constituting the Deposit Securities of each International Fund of Grail Advisors ETF Trust are set forth below: __________________ [name of Fund] Account Name: __________________ Account Number: __________________ Other Reference Number: __________________ __________________ [name of Fund] Account Name: __________________ Account Number: __________________ Other Reference Number: __________________ __________________ [name of Fund] Account Name: __________________ Account Number: __________________ Other Reference Number: __________________ __________________ [name of Fund] Account Name: __________________ Account Number: __________________ Other Reference Number: __________________ __________________ [name of Fund] Account Nam...
