February 24, 2003 VIA COURIER AND FACSIMILE Mr. Clifford J. Weber Senior Vice President ETF Marketplace American Stock Exchange 86 Trinity Place New York, NY 10006 Re: The License Agreement of June 5, 1997 between Dow Jones & Company, Inc., and the...License Agreement • February 26th, 2003 • Diamonds Trust Series I
WITNESSETH ----------Distribution Agreement • January 14th, 1998 • Diamonds Trust Series I • New York
DIAMONDS TRUST, SERIES 1 AND ANY SUBSEQUENT AND SIMILAR SERIES OF THE DIAMONDS TRUSTDiamonds Trust Series I • January 14th, 1998
SUBLICENSE AGREEMENT -------------------- (DIAMONDS to Trustee on behalf of DIAMONDS Trust)Sublicense Agreement • February 23rd, 2007 • Diamonds Trust Series I • New York
SPDR® DOW JONES INDUSTRIAL AVERAGE ETF TRUST PARTICIPANT AGREEMENTParticipant Agreement • February 10th, 2021 • SPDR Dow Jones Industrial Average Etf Trust • Massachusetts
This Participant Agreement (the “Agreement”) is entered into by and among ALPS Distributors, Inc. (the “Distributor”), State Street Bank and Trust Company, providing certain transfer agency services (the “Transfer Agent”) and [Participant’s Name and NSCC#] (the “Participant”), and is subject to acceptance by State Street Global Advisors Trust Company, as trustee (“Trustee”) for SPDR Dow Jones Industrial Average ETF Trust (the “Trust” or “Fund”). The Trustee serves as trustee of the Trust pursuant to Standard Terms and Conditions of the Trust, as may have been or may be amended and/or restated from time to time. The Distributor has been retained as principal underwriter of the Trust and provides certain services in connection with the sale and distribution of shares of beneficial interest of the Fund (the “Shares”). The Transfer Agent has been retained to provide certain transfer agency services with respect to the purchase and redemption of Shares.
FORM OF PARTICIPANT AGREEMENTForm of Participant Agreement • January 14th, 1998 • Diamonds Trust Series I • New York
DISTRIBUTION AGREEMENTDistribution Agreement • February 12th, 2019 • SPDR Dow Jones Industrial Average Etf Trust • New York
THIS AGREEMENT (the “Agreement”) is made as of April 16, 2018, between PDR Services LLC, a Delaware limited liability company (the “Sponsor”), SPDR Dow Jones Industrial Average ETF Trust, a unit investment trust organized under the laws of the State of New York (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 28th, 2022 • SPDR Dow Jones Industrial Average Etf Trust • New York
This Fund of Funds Investment Agreement (this “Agreement”), dated as of January 19, 2022 (the “Effective Date”), is made [between/among] [ ] (referred to as the “Trust”), on behalf of [its/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”).
AMENDMENT 3Confidential • February 10th, 2021 • SPDR Dow Jones Industrial Average Etf Trust
Except as amended hereby, all terms of the Existing Agreement remain in full force and effect. This Amendment includes the amendments in Schedule A and general terms in Schedule B.
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • February 13th, 2018 • SPDR Dow Jones Industrial Average Etf Trust • Massachusetts
THIS AGREEMENT is made as of the 30th day of November, 2017, by and between STATE STREET BANK AND TRUST COMPANY, Massachusetts trust company having its principal office and place of business at One Lincoln Street, Boston, Massachusetts 02111 (“State Street” or the “Transfer Agent”), and State Street Global Advisors Trust Company, a Massachusetts limited purpose trust company having its principal office and place of business at One Lincoln Street, Boston, Massachusetts 02111 (the “Trustee”).
CUSTODIAN AGREEMENTCustodian Agreement • February 13th, 2018 • SPDR Dow Jones Industrial Average Etf Trust • Massachusetts
This Agreement is made as of November 30, 2017 (this “Agreement”), between STATE STREET GLOBAL ADVISORS TRUST COMPANY, a Massachusetts limited purpose trust company (the “Trustee”), and STATE STREET BANK AND TRUST COMPANY, a Massachusetts trust company (the “Custodian”).
ADMINISTRATION AGREEMENTAdministration Agreement • February 13th, 2018 • SPDR Dow Jones Industrial Average Etf Trust • Massachusetts
This Administration Agreement (“Agreement”) dated and effective as of November 30, 2017, is by and between State Street Bank and Trust Company, a Massachusetts trust company (the “Administrator”), and State Street Global Advisors Trust Company, a Massachusetts limited purpose trust company (the “Trustee”).
DISTRIBUTION AGREEMENTDistribution Agreement • February 22nd, 2012 • SPDR Dow Jones Industrial Average Etf Trust • New York
DISTRIBUTION AGREEMENT (the “Agreement”) made as of November 1st, 2011, by and among PDR Services LLC, a Delaware limited liability company (the “Sponsor”); SPDR Dow Jones Industrial Average ETF Trust (formerly, DIAMONDS Trust, Series 1), a unit investment trust organized under the laws of the State of New York (the “Trust”); and ALPS Distributors, Inc., a Colorado corporation (the “Distributor”).
AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF PDR SERVICES LLCLimited Liability Company Agreement • February 21st, 2013 • SPDR Dow Jones Industrial Average Etf Trust • Delaware
This Amended and Restated Limited Liability Company Agreement (this “Agreement”) of PDR Services LLC, a Delaware limited liability company (the “Company”), is entered into by NYSE MKT, LLC, a Delaware limited liability company, as the sole member of the Company (the “Member”) and is effective as of the 23rd day of January, 2013.
SPDR® DOW JONES INDUSTRIAL AVERAGE ETF TRUST PARTICIPANT AGREEMENTParticipant Agreement • February 25th, 2011 • SPDR Dow Jones Industrial Average Etf Trust • Massachusetts
This Participant Agreement (the “Agreement”) is entered into by and among ALPS Distributors, Inc. (the “Distributor”), State Street Bank and Trust Company, providing certain transfer agency services in its capacity as trustee (the “Transfer Agent”) and [Participant’s Name and NSCC#] (the “Participant”), and is subject to acceptance by State Street Bank and Trust Company, as trustee (“Trustee”) for SPDR Dow Jones Industrial Average ETF Trust (the “Trust” or “Fund”). The Trustee serves as trustee of the Trust pursuant to Standard Terms and Conditions of the Trust, as may have been or may be amended and/or restated from time to time. The Distributor has been retained as principal underwriter of the Trust and provides certain services in connection with the sale and distribution of shares of beneficial interest of the Fund (the “Shares”). The Transfer Agent has been retained to provide certain transfer agency services with respect to the purchase and redemption of Shares.
AMENDMENT NO. 7 TO AMENDED AND RESTATED STANDARD TERMS AND CONDITIONS OF TRUST DATED AS OF JANUARY 1, 1998 AND EFFECTIVE JANUARY 13, 1998 As Amended FOR SPDR® DOW JONES INDUSTRIAL AVERAGESM ETF TRUST (“SPDR DJIA Trust”) AND ANY SUBSEQUENT AND SIMILAR...Amendment Agreement • February 13th, 2018 • SPDR Dow Jones Industrial Average Etf Trust
This Amendment No. 7 (the “Amendment Agreement”) dated as of August 4, 2017 between PDR Services LLC, as sponsor (the “Sponsor”), and State Street Global Advisors Trust Company, as trustee (the “Trustee”), amends the document entitled “STANDARD TERMS AND CONDITIONS OF TRUST DATED AS OF JANUARY 1, 1998 AND EFFECTIVE JANUARY 13, 1998 FOR SPDR® DOW JONES INDUSTRIAL AVERAGESM ETF TRUST (“SPDR DJIA TRUST”) AND SUBSEQUENT AND SIMILAR SERIES OF SPDR DJIA TRUST BETWEEN PDR SERVICES LLC, AS SPONSOR AND STATE STREET BANK AND TRUST COMPANY, AS TRUSTEE”, as amended (hereinafter referred to as “Standard Terms”) and the document entitled “TRUST INDENTURE AND AGREEMENT DATED JANUARY 13, 1998 AND EFFECTIVE JANUARY 13, 1998,” as amended (hereinafter the “Trust Indenture” and, together with the Standard Terms, the “Trust Documents”).
First Amendment to Distribution Agreement Dated September 29, 1997, effective December 1, 1997, by and among PDR Services Corporation, DIAMONDS Trust, Series 1 and ALPS Mutual Funds Services, Inc.Distribution Agreement • February 28th, 2005 • Diamonds Trust Series I • New York
THIS AMENDMENT is made as of December 6, 2004, by and between PDR Services LLC, a Delaware limited liability company, formerly known as PDR Services Corporation, a Delaware corporation ("PDR"), DIAMONDS Trust, Series 1, a unit investment trust organized under the laws of the State of New York (the "Trust"), and ALPS Distributors, Inc., formerly known as ALPS Mutual Funds Services, Inc., a Colorado corporation ("ADI").
AMENDMENT TO CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • February 22nd, 2012 • SPDR Dow Jones Industrial Average Etf Trust
This Amendment (the “Amendment”) to the Chief Compliance Officer Service Agreement between ALPS Fund Services, Inc. (“ALPS”) and PDR Services LLC (“PDR”), as sponsor for the DIAMONDS Trust Series 1 (“Trust”), dated October 5, 2004 (the “Agreement”) is made as of this 1st day of November, 2009.
AMENDMENT NO. 2 TO STANDARD TERMS AND CONDITIONS OF TRUST DATED AS OF JANUARY 1, 1998 AND EFFECTIVE JANUARY 13, 1998, AS AMENDED FOR DIAMONDS TRUST, SERIES 1 AND SUBSEQUENT AND SIMILAR SERIES OF THE DIAMONDS TRUST BETWEEN PDR SERVICES LLC, AS SPONSOR...Diamonds Trust Series I • February 27th, 2009
THIS AMENDMENT No. 2 (‘‘AMENDMENT AGREEMENT’’) DATED AS OF AND EFFECTIVE OCTOBER 24, 2008 BETWEEN PDR SERVICES LLC, AS SPONSOR (‘‘SPONSOR’’), AND STATE STREET BANK AND TRUST COMPANY, AS TRUSTEE (‘‘TRUSTEE’’), AMENDS THE DOCUMENT ENTITLED ‘‘STANDARD TERMS AND CONDITIONS OF TRUST DATED AS OF JANUARY 1, 1998 AND EFFECTIVE JANUARY 13, 1998 FOR DIAMONDS TRUST, SERIES 1 AND SUBSEQUENT AND SIMILAR SERIES OF THE DIAMONDS TRUST BETWEEN PDR SERVICES LLC, AS SPONSOR AND STATE STREET BANK AND TRUST COMPANY AS TRUSTEE’’, AS AMENDED (HEREINAFTER REFERRED TO AS ‘‘STANDARD TERMS’’).
AMENDMENT No. 1 TO STANDARD TERMS AND CONDITIONS OF TRUST DATED AS OF JANUARY 1, 1998 AND EFFECTIVE JANUARY 13, 1998 For DIAMONDS TRUST, SERIES 1 AND ANY SUBSEQUENT AND SIMILAR SERIES OF THE DIAMONDS TRUST between PDR SERVICES LLC as Sponsor and STATE...SPDR Dow Jones Industrial Average Etf Trust • February 25th, 2011
This Amendment (the “Amendment Agreement”) dated as of November 1, 2004 between PDR Services LLC, as sponsor (the “Sponsor”), and State Street Bank and Trust Company, as trustee (the “Trustee”), amends the document entitled “Standard Terms and Conditions of Trust dated as of January 1, 1998 and effective January 13, 1998 for DIAMONDS Trust, Series 1 and any subsequent and similar series of the DIAMONDS Trust between PDR Services Corporation as Sponsor and State Street Bank and Trust Company as Trustee” (hereinafter referred to as the “Standard Terms”).
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement”) dated October 5, 2004 between PDR SERVICES LLC, a Delaware limited liability company (“PDR”), and ALPS MUTUAL FUNDS SERVICES, INC. (“ALPS”), a Colorado corporation. The “Effective Date” of...Chief Compliance Officer Services Agreement • February 22nd, 2012 • SPDR Dow Jones Industrial Average Etf Trust • New York
In a joint effort between PDR and ALPS to bring the DIAMONDS Trust, Series 1 (the “Trust”) into compliance with Rule 38a-1 (the “Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”), no later than October 5, 2004, ALPS has been rendering services to PDR pursuant to a letter of intent dated September 29, 2004 (the “Letter of Intent”). PDR desires to obtain the further benefit of ALPS’s services on behalf of the Trust by entering into a formal agreement with respect thereto effective from and after the Effective Date.
AMENDMENT NO. 4 TO AMENDED AND RESTATED STANDARD TERMS AND CONDITIONS OF TRUST DATED AS OF JANUARY 1, 1998 AND EFFECTIVE JANUARY 13, 1998, As Amended FOR DIAMONDS® TRUST, SERIES 1 (“DIAMONDS TRUST”) AND ANY SUBSEQUENT AND SIMILAR SERIES OF THE...SPDR Dow Jones Industrial Average Etf Trust • February 26th, 2010
This Amendment No. 4 (“Amendment Agreement”) dated as of December 22, 2009 and to be effective simultaneously with the filing of Post-Effective Amendment No. 13 to the Trust’s Registration Statement on Form S-6 anticipated to be made on or about February 26, 2010, between PDR Services LLC, as Sponsor (“Sponsor”), and State Street Bank and Trust Company, as Trustee (“Trustee”), amends the document entitled “STANDARD TERMS AND CONDITIONS OF TRUST DATED AS OF JANUARY 1, 1998 AND EFFECTIVE JANUARY 13, 1998 FOR DIAMONDS TRUST, SERIES 1 AND SUBSEQUENT AND SIMILAR SERIES OF THE DIAMONDS TRUST BETWEEN PDR SERVICES LLC, AS SPONSOR AND STATE STREET BANK AND TRUST COMPANY, AS TRUSTEE”, as amended (hereinafter referred to as “Standard Terms”).
DIAMONDS TRUST, SERIES 1 TRUST INDENTURE AND AGREEMENT Dated January 13, 1998 Incorporating Standard Terms and Conditions of Trust for DIAMONDS TRUST, SERIES 1 and subsequent and similar Series of the DIAMONDS TRUSTTrust Indenture and Agreement • January 14th, 1998 • Diamonds Trust Series I
AMENDMENT NO. 2 TO STANDARD TERMS AND CONDITIONS OF TRUST DATED AS OF JANUARY 1, 1998 AND EFFECTIVE JANUARY 13, 1998, AS AMENDED FOR DIAMONDS TRUST, SERIES 1 AND SUBSEQUENT AND SIMILAR SERIES OF THE DIAMONDS TRUST BETWEEN PDR SERVICES LLC, AS SPONSOR...SPDR Dow Jones Industrial Average Etf Trust • February 25th, 2011
THIS AMENDMENT No. 2 (‘‘AMENDMENT AGREEMENT’’) DATED AS OF AND EFFECTIVE OCTOBER 24, 2008 BETWEEN PDR SERVICES LLC, AS SPONSOR (‘‘SPONSOR’’), AND STATE STREET BANK AND TRUST COMPANY, AS TRUSTEE (‘‘TRUSTEE’’), AMENDS THE DOCUMENT ENTITLED ‘‘STANDARD TERMS AND CONDITIONS OF TRUST DATED AS OF JANUARY 1, 1998 AND EFFECTIVE JANUARY 13, 1998 FOR DIAMONDS TRUST, SERIES 1 AND SUBSEQUENT AND SIMILAR SERIES OF THE DIAMONDS TRUST BETWEEN PDR SERVICES LLC, AS SPONSOR AND STATE STREET BANK AND TRUST COMPANY AS TRUSTEE’’, AS AMENDED (HEREINAFTER REFERRED TO AS ‘‘STANDARD TERMS’’).
AMENDMENT NO. 6 TO AMENDED AND RESTATED STANDARD TERMS AND CONDITIONS OF TRUST DATED AS OF JANUARY 1, 1998 AND EFFECTIVE JANUARY 13, 1998 As Amended AND THE TRUST INDENTURE AND AGREEMENT DATED AS OF JANUARY 13, 1998 AND EFFECTIVE JANUARY 13, 1998 As...Trust Indenture and Agreement • February 13th, 2018 • SPDR Dow Jones Industrial Average Etf Trust
This Amendment No. 6 (the “Amendment Agreement”) dated as of April 12, 2017 between PDR Services LLC, as sponsor (the “Sponsor”), and State Street Global Advisors Trust Company, as trustee (the “Trustee”), amends the document entitled “AMENDED AND RESTATED STANDARD TERMS AND CONDITIONS OF TRUST DATED AS OF JANUARY 1, 1998 AND EFFECTIVE JANUARY 13, 1998 FOR SPDR® DOW JONES INDUSTRIAL AVERAGESM ETF TRUST (“SPDR DJIA TRUST”) AND ANY SUBSEQUENT AND SIMILAR SERIES OF THE SPDR DJIA TRUST BETWEEN PDR SERVICES LLC, AS SPONSOR AND STATE STREET BANK AND TRUST COMPANY, AS TRUSTEE”, as amended (hereinafter referred to as “Standard Terms”) and the document entitled “TRUST INDENTURE AND AGREEMENT DATED AS OF JANUARY 13, 1998 AND EFFECTIVE JANUARY 13, 1998,” as amended (hereinafter the “Trust Indenture” and, together with the Standard Terms, the “Trust Documents”).
AMENDMENT DATED FEBRUARY 14, 2008 TOTrust Indenture and Agreement • February 25th, 2008 • Diamonds Trust Series I
(THE STANDARD TERMS AND THE TRUST INDENTURE AND ANY AND ALL PREVIOUS AMENDMENTS THERETO HEREINAFTER CALLED THE ‘‘TRUST DOCUMENTS’’).
AMENDMENT DATED FEBRUARY 14, 2008 TO STANDARD TERMS AND CONDITIONS OF TRUST DATED AS OF JANUARY 1, 1998 AND EFFECTIVE JANUARY 13, 1998 FOR DIAMONDS TRUST, SERIES 1 AND SUBSEQUENT AND SIMILAR SERIES OF THE DIAMONDS TRUST BETWEEN PDR SERVICES LLC, AS...Amendment Agreement • February 25th, 2011 • SPDR Dow Jones Industrial Average Etf Trust
(THE STANDARD TERMS AND THE TRUST INDENTURE AND ANY AND ALL PREVIOUS AMENDMENTS THERETO HEREINAFTER CALLED THE “TRUST DOCUMENTS”).
AMENDMENT NO. 4 TO AMENDED AND RESTATED STANDARD TERMS AND CONDITIONS OF TRUST DATED AS OF JANUARY 1, 1998 AND EFFECTIVE JANUARY 13, 1998, As Amended FOR DIAMONDS® TRUST, SERIES 1 (“DIAMONDS TRUST”) AND ANY SUBSEQUENT AND SIMILAR SERIES OF THE...Amendment Agreement • February 25th, 2011 • SPDR Dow Jones Industrial Average Etf Trust
This Amendment No. 4 (“Amendment Agreement”) dated as of December 22, 2009 and to be effective simultaneously with the filing of Post-Effective Amendment No. 13 to the Trust’s Registration Statement on Form S-6 anticipated to be made on or about February 26, 2010, between PDR Services LLC, as Sponsor (“Sponsor”), and State Street Bank and Trust Company, as Trustee (“Trustee”), amends the document entitled “STANDARD TERMS AND CONDITIONS OF TRUST DATED AS OF JANUARY 1, 1998 AND EFFECTIVE JANUARY 13, 1998 FOR DIAMONDS TRUST, SERIES 1 AND SUBSEQUENT AND SIMILAR SERIES OF THE DIAMONDS TRUST BETWEEN PDR SERVICES LLC, AS SPONSOR AND STATE STREET BANK AND TRUST COMPANY, AS TRUSTEE”, as amended (hereinafter referred to as “Standard Terms”).
Addendum to Chief Compliance Officer Services Agreements Dated October 5, 2004 Between ALPS Mutual Funds Services, Inc. and PDR Services LLCSPDR Dow Jones Industrial Average Etf Trust • February 22nd, 2012
THIS ADDENDUM is made as of September 1, 2006, by and between ALPS Mutual Funds Services, Inc. (“ALPS”), and PDR Services LLC (“PDR”) on behalf of the SPDR Trust, DIAMONDS Trust, and MidCap SPDR Trust.
