DISTRIBUTION AGREEMENTDistribution Agreement • March 10th, 2017 • Hartford Funds Exchange-Traded Trust • Colorado
THIS AGREEMENT is made as of January 31, 2017, between Hartford Funds Exchange-Traded Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • September 11th, 2017 • Hartford Funds Exchange-Traded Trust • New York
THIS SUB-ADVISORY AGREEMENT (this “Agreement”) is made as of September 8, 2017 by and between Hartford Funds Management Company, LLC (“Adviser”), a Delaware limited liability company, and Schroder Investment Management North America Inc. (“Sub-Adviser”).
HARTFORD FUNDS EXCHANGE-TRADED TRUST PARTICIPANT AGREEMENTParticipant Agreement • May 18th, 2018 • Hartford Funds Exchange-Traded Trust • New York
This Participant Agreement (the “Agreement”) is entered into by and among ALPS Distributors, Inc. (the “Distributor”) and ________________ [Participant’s Name and NSCC#] (the “Participant”) and is subject to acceptance by State Street Bank and Trust Company, as transfer agent (the “Transfer Agent”). Hartford Funds Exchange-Traded Trust (the “Trust”) is organized as a Delaware statutory trust and consists of separate series (each, a “Fund” and collectively, the “Funds”) as set forth in Attachment A hereto. Each Fund is an open-end management investment company and a series of the Trust. 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 Funds (the “Shares”). The Transfer Agent has been retained to provide certain transfer agency services with respect to the purchase and redemption of Shares and Creation Units (as defined below).
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • March 10th, 2017 • Hartford Funds Exchange-Traded Trust • New York
This Agreement is made by and between Hartford Funds Management Company, LLC, a Delaware limited liability company (the “Adviser”), and Hartford Funds Exchange-Traded Trust, a Delaware statutory trust (the “Trust”), on its own behalf and on behalf of each of its series listed on Schedule A hereto, as it may be amended from time to time (each, a “Portfolio” and, collectively, the “Portfolios”).
AMENDMENT NUMBER 2 TO CUSTODIAN AGREEMENTCustodian Agreement • November 28th, 2018 • Hartford Funds Exchange-Traded Trust
This Amendment Number 2 (the “Amendment”) to the Custodian Agreement by and between each Fund listed on Appendix A hereto (the “Funds”) and State Street Bank and Trust Company (the “Custodian”) is made as of this 27th day of September 2017.
MASTER TRANSFER AGENCY AND SERVICE AGREEMENTMaster Transfer Agency and Service Agreement • May 18th, 2018 • Hartford Funds Exchange-Traded Trust • New York
THIS AGREEMENT is made as of the 13th day of February, 2018, by and between State Street Bank and Trust Company (“State Street” or the “Transfer Agent”) and each management investment company identified on Schedule A hereto and each management investment company which becomes a party to this Agreement in accordance with the terms of Section 12.1 hereof (in each case, a “Trust” and, collectively, the “Trusts”).
DISTRIBUTION AGREEMENTDistribution Agreement • May 18th, 2018 • Hartford Funds Exchange-Traded Trust • Colorado
THIS AGREEMENT (the “Agreement”) is made as of __________, 2018, between Hartford Funds Exchange-Traded Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
FORM OF AMENDMENT FIVE TO THE FUND ACCOUNTING AGREEMENTFund Accounting Agreement • September 8th, 2021 • Hartford Funds Exchange-Traded Trust
This AMENDMENT FIVE (the “Amendment”) amends that certain FUND ACCOUNTING AGREEMENT, dated November 10, 2017, by and among Hartford Funds Management Company, LLC, and each of Hartford Funds Exchange-Traded Trust, and Lattice Strategies Trust (collectively, the “Trusts”) (the “Agreement”), on behalf of their respective series listed on Schedule A (each a “Fund”), and is effective as of [ ] [ ], 2021 (the “Effective Date”).
AMENDMENT 44 • August 4th, 2021 • Hartford Funds Exchange-Traded Trust
This amendment (the “Amendment”) between the parties signing below (“Parties”) amends the Existing Agreement as of August 11, 2021 (the “Effective Date”):
FORM OF AMENDMENT NUMBER 4 TO THE INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • November 3rd, 2021 • Hartford Funds Exchange-Traded Trust
This AMENDMENT NUMBER 4 (the “Amendment”) amends that certain INVESTMENT MANAGEMENT AGREEMENT, dated March 8, 2017, by and between Hartford Funds Management Company, LLC (the “Adviser”), and Hartford Funds Exchange-Traded Trust (the “Trust”) (the “Agreement”), on its own behalf and on behalf of each series listed on Schedule A hereto (each a “Fund”), and is effective as of November 2, 2021 (the “Effective Date”).
FORM OF AMENDMENT NUMBER 2 TO THE INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • September 8th, 2021 • Hartford Funds Exchange-Traded Trust
This AMENDMENT NUMBER 2 (the “Amendment”) amends that certain INVESTMENT MANAGEMENT AGREEMENT, dated March 8, 2017, by and between Hartford Funds Management Company, LLC (the “Adviser”), and Hartford Funds Exchange-Traded Trust (the “Trust”) (the “Agreement”), on its own behalf and on behalf of each series listed on Schedule A hereto (each a “Fund”), and is effective as of [ ] [ ], 2021 (the “Effective Date”).
Amendment No. 1 to Distribution Services AgreementDistribution Services Agreement • November 28th, 2017 • Hartford Funds Exchange-Traded Trust
This Amendment No. 1 to the Distribution Services Agreement (this "Amendment") by and between Hartford Funds Exchange-Traded Trust, a Delaware statutory trust (the "Trust"), and ALPS Distributors, Inc., a Colorado corporation, ("ALPS") is dated as of September 8, 2017.
FORM OF AMENDMENT FOUR TO THE FUND ACCOUNTING AGREEMENTFund Accounting Agreement • August 4th, 2021 • Hartford Funds Exchange-Traded Trust
This AMENDMENT FOUR (the “Amendment”) amends that certain FUND ACCOUNTING AGREEMENT, dated November 10, 2017, by and among Hartford Funds Management Company, LLC, and each of Hartford Funds Exchange-Traded Trust, and Lattice Strategies Trust (collectively, the “Trusts”) (the “Agreement”), on behalf of their respective series listed on Schedule A (each a “Fund”), and is effective as of August [ ], 2021 (the “Effective Date”).
AMENDMENT NUMBER 6 TO THE SUB-ADVISORY AGREEMENTSub-Advisory Agreement • November 24th, 2021 • Hartford Funds Exchange-Traded Trust
This AMENDMENT NUMBER 6 (the “Amendment”) amends that certain SUB-ADVISORY AGREEMENT, dated March 8, 2017, by and between Hartford Funds Management Company, LLC (the “Adviser”), and Wellington Management Company LLP (the “Sub-Adviser”) (the “Agreement”), and is effective as of November 2, 2021 (the “Effective Date”).
AMENDMENT ONE TO FUND ACCOUNTING AGREEMENTFund Accounting Agreement • November 25th, 2020 • Hartford Funds Exchange-Traded Trust
This Amendment One (the “Amendment”) to the Fund Accounting Agreement is made as of this 17 day of May, 2018, by and among Hartford Funds Management Company, LLC, a Delaware limited liability company, and each of Hartford Funds Exchange-Traded Trust and Lattice Strategies Trust (each, a Trust and collectively, the Trusts), on behalf of their respective series listed on Schedule A (together with the series listed on Schedule A, the “Funds”).
AMENDMENT 3Hartford Funds Exchange-Traded Trust • February 19th, 2020
This amendment (the “Amendment”) between the parties signing below (“Parties”) amends the Existing Agreement as of February 19, 2020 (the “Effective Date”):
SECOND AMENDMENT TO THE SECURITIES LENDING AUTHORIZATION AGREEMENT BETWEEN LATTICE STRATEGIES TRUST, HARTFORD EXCHANGE-TRADED FUND TRUST, EACH ON BEHALF OF EACH OF ITS SERIES AS LISTED ON SCHEDULE B AND STATE STREET BANK AND TRUST COMPANYSecond Amendment • November 28th, 2018 • Hartford Funds Exchange-Traded Trust
This Second Amendment (this “Amendment”) dated as of March 20, 2017 is between LATTICE STRATEGIES TRUST, HARTFORD EXCHANGE-TRADED FUND TRUST, each a registered management investment company, organized and existing under the laws of California (each a “Trust,” collectively, the “Trusts”), acting on behalf of each of its funds as listed on Schedule B (each a “Fund,” and collectively, the “Funds”), severally and not jointly, and STATE STREET BANK AND TRUST COMPANY acting either directly or through any State Street Affiliate (collectively, “State Street”).
FUND ACCOUNTING AGREEMENTFund Accounting Agreement • November 28th, 2017 • Hartford Funds Exchange-Traded Trust • Delaware
THIS FUND ACCOUNTING AGREEMENT (this “Agreement”) is made as of this 10 day of November, 2017, by and among Hartford Funds Management Company, LLC (the “Fund Accountant”), a Delaware limited liability company, and each of Hartford Funds Exchange-Traded Trust and Lattice Strategies Trust (each, a “Trust” and collectively, the “Trusts”), on behalf of their respective series listed on Schedule A, (the “Funds”). This Agreement is intended to take effect as if entered into between each Fund, severally, and the Fund Accountant, and the provisions of this Agreement shall be construed accordingly.
FORM OF AMENDMENT NUMBER 1 TO THE INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • August 4th, 2021 • Hartford Funds Exchange-Traded Trust
This AMENDMENT NUMBER 1 (the “Amendment”) amends that certain INVESTMENT MANAGEMENT AGREEMENT, dated March 8, 2017, by and between Hartford Funds Management Company, LLC (the “Adviser”), and Hartford Funds Exchange-Traded Trust (the “Trust”) (the “Agreement”), on its own behalf and on behalf of each series listed on Schedule A hereto (each a “Fund”), and is effective as of [ ], 2021 (the “Effective Date”).
HARTFORD FUNDS EXCHANGE-TRADED TRUST FORM OF INVESTING FUND AGREEMENTForm of Investing Fund Agreement • March 10th, 2017 • Hartford Funds Exchange-Traded Trust
This Investing Fund Agreement (the “Agreement”) is made as of the date set forth below between the Hartford Funds Exchange-Traded Trust (the “Trust”) and (the “Purchasing Fund”).
AMENDMENT TWO TO FUND ACCOUNTING AGREEMENTFund Accounting Agreement • November 25th, 2020 • Hartford Funds Exchange-Traded Trust
This Amendment Two (the “Amendment”) to the Fund Accounting Agreement is made as of this 18 day of February, 2020, by and among Hartford Funds Management Company, LLC, a Delaware limited liability company, and each of Hartford Funds Exchange-Traded Trust and Lattice Strategies Trust (each, a Trust and collectively, the Trusts), on behalf of their respective series listed on Schedule A (together with the series listed on Schedule A, the “Funds”).
THIRD AMENDMENT TO THE GLOBAL SECURITIES LENDING AGENCY AGREEMENTGlobal Securities Lending Agency Agreement • November 25th, 2020 • Hartford Funds Exchange-Traded Trust
This Amendment, dated September 25, 2020, hereby amends the Amended and Restated Global Securities Lending Agency Agreement (the “Agency Agreement”) dated as of October 1, 2019 as amended from time to time between (i) CITIBANK, N.A., a national banking organization (the “Agent”) and (ii) each of the registered investment companies identified on the signature page hereto (each a “Registrant” and collectively, the “Registrants”) on behalf of each of its respective series identified on Appendix A to the Agency Agreement (each a “Lender” and collectively, the “Lenders”). Capitalized terms used herein without definition shall have the meaning assigned thereto in the Agency Agreement.
AMENDMENT 5Confidential • September 8th, 2021 • Hartford Funds Exchange-Traded Trust
This amendment (the “Amendment”) between the parties signing below (“Parties”) amends the Existing Agreement as of September 15, 2021 (the “Effective Date”):
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF HARTFORD FUNDS EXCHANGE-TRADED TRUST (a Delaware Statutory Trust) Dated as of December 8, 2016And Restated Agreement and Declaration of Trust • March 10th, 2017 • Hartford Funds Exchange-Traded Trust • Delaware
WHEREAS, The Hartford Active Exchange-Traded Fund Trust was established on September 20, 2010 with the filing of a Certificate of Trust with the Delaware Secretary of State for the purposes of carrying on the business of a management investment company; and
FORM OF AMENDMENT SEVEN TO THE FUND ACCOUNTING AGREEMENTFund Accounting Agreement • November 3rd, 2021 • Hartford Funds Exchange-Traded Trust
This AMENDMENT SEVEN (the “Amendment”) amends that certain FUND ACCOUNTING AGREEMENT, dated November 10, 2017, by and among Hartford Funds Management Company, LLC, and each of Hartford Funds Exchange-Traded Trust, and Lattice Strategies Trust (collectively, the “Trusts”) (the “Agreement”), on behalf of their respective series listed on Schedule A (each a “Fund”), and is effective as of November 2, 2021 (the “Effective Date”).
Amendment No. 1 to Distribution AgreementDistribution Agreement • November 28th, 2018 • Hartford Funds Exchange-Traded Trust
This Amendment No. 1 to the Distribution Agreement (this “Amendment”) by and between Hartford Funds Exchange-Traded Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation, (“ALPS”) is dated as of May 30, 2018.
FOURTH AMENDMENT TO THE SECURITIES LENDING AUTHORIZATION AGREEMENT BETWEEN LATTICE STRATEGIES TRUST, HARTFORD FUNDS EXCHANGE-TRADED TRUST, EACH ON BEHALF OF EACH OF ITS SERIES AS LISTED ON SCHEDULE B AND STATE STREET BANK AND TRUST COMPANYFourth Amendment • November 28th, 2018 • Hartford Funds Exchange-Traded Trust
This Fourth Amendment (this “Amendment”) dated as of July 16, 2018 is by and among LATTICE STRATEGIES TRUST and HARTFORD FUNDS EXCHANGE-TRADED TRUST, each a registered management investment company (each a “Trust,” collectively, the “Trusts”), acting on behalf of each of its funds as listed on Schedule B to the Agreement (each a “Fund,” and collectively, the “Funds”), severally and not jointly, and STATE STREET BANK AND TRUST COMPANY acting either directly or through any State Street Affiliate (collectively, “State Street”).
AMENDMENT NUMBER 2 TO THE SUB-ADVISORY AGREEMENTSub-Advisory Agreement • November 24th, 2021 • Hartford Funds Exchange-Traded Trust
This AMENDMENT NUMBER 2 (the “Amendment”) amends that certain SUB-ADVISORY AGREEMENT, dated September 8, 2017, by and between Hartford Funds Management Company, LLC (the “Adviser”), and Schroder Investment Management North America Inc. (the “Sub-Adviser”) (the “Agreement”), and is effective as of September 7, 2021 (the “Effective Date”).
THIRD AMENDMENT TO THE SECURITIES LENDING AUTHORIZATION AGREEMENT BETWEEN LATTICE STRATEGIES TRUST, HARTFORD FUNDS EXCHANGE-TRADED TRUST, EACH ON BEHALF OF EACH OF ITS SERIES AS LISTED ON SCHEDULE B AND STATE STREET BANK AND TRUST COMPANYThird Amendment • November 28th, 2017 • Hartford Funds Exchange-Traded Trust
This Third Amendment (this “Amendment”) dated as of September 8, 2017 is between LATTICE STRATEGIES TRUST, HARTFORD FUNDS EXCHANGE-TRADED TRUST, each a registered management investment company, organized and existing under the laws of California (each a “Trust,” collectively, the “Trusts”), acting on behalf of each of its funds as listed on Schedule B (each a “Fund,” and collectively, the “Funds”), severally and not jointly, and STATE STREET BANK AND TRUST COMPANY acting either directly or through any State Street Affiliate (collectively, “State Street”).
Amendment No. 2 to Distribution AgreementDistribution Agreement • November 28th, 2018 • Hartford Funds Exchange-Traded Trust
This Amendment No. 2 to the Distribution Agreement (this “Amendment”) by and between Hartford Funds Exchange-Traded Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation, (“ALPS”) is dated as of September 21, 2018.
AMENDMENT 66 • November 3rd, 2021 • Hartford Funds Exchange-Traded Trust
This amendment (the “Amendment”) between the parties signing below (“Parties”) amends the Existing Agreement as of November 2, 2021 (the “Effective Date”):
AMENDED AND RESTATED GLOBAL SECURITIES LENDING AGENCY AGREEMENTGlobal Securities Lending Agency Agreement • November 27th, 2019 • Hartford Funds Exchange-Traded Trust
This Amended and Restated Global Securities Lending Agency Agreement, dated as of October 1, 2019 (this “Agency Agreement”), is entered into by and between (i) CITIBANK, N.A., a national banking organization (the “Agent”) and (ii) each of the registered investment companies identified on the signature page hereto (each a “Registrant” and collectively, the “Registrants”) on behalf of each of its respective series identified on Appendix A (each a “Lender” and collectively, the “Lenders”). Capitalized terms used herein without definition shall have the meaning assigned thereto in the Lending Agreements (as defined below).
