No Affiliation. The Participant represents, covenants and warrants that, during the term of this Agreement, it will not be an affiliated person of a Fund, a promoter or a principal underwriter of a Fund or an affiliated person of such persons, except to the extent that the Participant may be deemed to be an affiliated person under 2(a)(3)(A) or 2(a)(3)(C) of the Investment Company Act of 1940, as amended (the “1940 Act”), due to ownership of Shares. The Participant shall give prompt notice to the Distributor, Transfer Agent and the Trust of any change to the foregoing status.
Appears in 18 contracts
Samples: Distribution Agreement (Select Sector SPDR Trust), Participant Agreement (ALPS ETF Trust), Participant Agreement (Lattice Strategies Trust)
No Affiliation. The Participant represents, covenants and warrants that, during the term of this Agreement, it will not be an affiliated person of a the Fund, a promoter or a principal underwriter of a the Fund or an affiliated person of such persons, except to the extent that the Participant may be deemed to be an affiliated person under 2(a)(3)(A) or 2(a)(3)(C) of the Investment Company Act of 1940, as amended (the “1940 Act”), due to ownership of Shares. The Participant shall give prompt notice to the Distributor, Transfer Agent and the Trust Trustee of any change to the foregoing status.
Appears in 4 contracts
Samples: Participant Agreement (SPDR S&p 500 Etf Trust), Participant Agreement (SPDR Dow Jones Industrial Average Etf Trust), Participant Agreement (SPDR Dow Jones Industrial Average Etf Trust)
No Affiliation. The Participant represents, covenants and warrants that, during the term of this Agreement, it will not be an affiliated person of a Fund, a promoter or a principal underwriter of a Fund or an affiliated person of such persons, except to the extent that the Participant may be deemed to be an affiliated person under 2(a)(3)(A) or 2(a)(3)(C) of the Investment Company Act of 1940, as amended (the “1940 Act”), due to ownership of Shares. The Participant shall give prompt notice to the Distributor, Transfer Agent and the each Trust of any change to the foregoing status.
Appears in 2 contracts
Samples: Participant Agreement (Natixis ETF Trust), Participant Agreement (Natixis ETF Trust II)
No Affiliation. The Participant represents, covenants and warrants that, during the term of this Agreement, it will not be an affiliated person of a Fund, a promoter or a principal underwriter of a Fund or an affiliated person of such persons, except to the extent that the Participant may be deemed to be an affiliated person under 2(a)(3)(A) or 2(a)(3)(C) of the Investment Company Act of 1940, as amended (the “"1940 Act”"), due to ownership of Shares. The Participant shall give prompt notice to the Distributor, Transfer Agent and the Trust Trusts of any change to the foregoing status.
Appears in 2 contracts
Samples: Participant Agreement (SPDR Series Trust), Participant Agreement (SPDR INDEX SHARES FUNDS (Formerly streetTRACKS Index Shares Funds))
No Affiliation. The Participant represents, covenants and warrants that, during the term of this Agreement, it will not be an affiliated person of a Fund, a promoter or a principal underwriter of a Fund or an affiliated person of such persons, except to the extent that the Participant may be deemed to be an affiliated person under 2(a)(3)(A) or 2(a)(3)(C) of the Investment Company Act of 1940, as amended (the “"1940 Act”"), due to ownership of Shares. The Participant shall give prompt notice to the Distributor, Transfer Agent and the Trust of any change to the foregoing status.
Appears in 1 contract
No Affiliation. The Participant represents, covenants and warrants that, during the term of this Agreement, it will not be an affiliated person of a Fund, a promoter or a principal underwriter of a Fund or an affiliated person of such persons, except to the extent that the Participant may be deemed to be an affiliated person under 2(a)(3)(A) or 2(a)(3)(C) of the Investment Company Act of 1940, as amended (the “"1940 Act”"), due to ownership of Shares. The Participant shall give prompt notice to the Distributor, Distributor and Transfer Agent and the Trust of any change to the foregoing status.
Appears in 1 contract
