ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • May 31st, 2023 • Arrow ETF Trust • Delaware
This ETF Distribution Agreement (this "Agreement") is effective the 22nd day of August, 2022, between Arrow ETF Trust, a Delaware statutory trust (the "Trust"), on behalf of itself and the fund(s) listed on Schedule B, as may be amended from time to time (each, a "Fund", and collectively, the "Funds") and Archer Distributors, LLC, a Delaware limited liability company ("Archer" or the "Distributor").
CUSTODIAN AND TRANSFER AGENT AGREEMENTCustodian and Transfer Agent Agreement • April 3rd, 2012 • Northern Lights ETF Trust • New York
THIS AGREEMENT, dated as of March 22, 2012, between Northern Lights ETF Trust (the Fund, including its separate series, the Portfolios), an open-end management investment company organized under the laws of the State of Delaware and registered with the Commission under the Investment Company Act of 1940 (the 1940 Act), and BROWN BROTHERS HARRIMAN & CO., a limited partnership formed under the laws of the State of New York (BBH&Co. or, when referring to BBH&Co. in its capacity as custodian, the Custodian, and when referring to BBH&Co. in its capacity as transfer agent, TA).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • May 27th, 2016 • Arrow ETF Trust • New York
Agreement made as of January 19, 2012, as amended and restated February 8, 2016, between ARROW ETF TRUST, a Delaware statutory trust (“Trust”), and ARROW INVESTMENT ADVISORS, LLC (“Adviser”), a Delaware limited liability company registered as an investment adviser under the Investment Advisers Act of 1940, as amended (“Advisers Act”).
ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • June 7th, 2019 • Arrow ETF Trust • Nebraska
This ETF Distribution Agreement (this “Agreement”) is effective the 1st day of February, 2019, between Arrow ETF Trust, a Delaware statutory trust (the “Trust”), on behalf of itself and the fund(s) listed on Schedule B, as may be amended from time to time (each, a “Fund”, and collectively, the “Funds”), Archer Distributors, LLC, a Delaware limited liability company (“Archer”), and Northern Lights Distributors, LLC, a Nebraska limited liability company (the “Distributor”).
AUTHORIZED PARTICIPANT AGREEMENTAuthorized Participant Agreement • May 31st, 2023 • Arrow ETF Trust • New York
AUTHORIZED PARTICIPANT AGREEMENT (this "Agreement”) dated as of ____________, is between Archer Distributors, LLC ("Distributor"), Arrow Investment Trust and Arrow ETF Trust (the "Trust") on behalf of its series listed on Schedule I, as amended from time to time (each a "Fund" and, collectively, the "Funds") and __________________. (the "Participant"), and is subject to acceptance by Brown Brothers Harriman & Co., the index receipt agent ("Index Receipt Agent") for the Trust.
FUND SERVICES AGREEMENT between ARROW INVESTMENTS TRUST, ARROW ETF TRUST andFund Services Agreement • May 31st, 2022 • Arrow ETF Trust • New York
THIS FUND SERVICES AGREEMENT (this “Agreement”) made as of the 27th day of September, 2021, by and between ARROW INVESTMENTS TRUST, a Delaware statutory trust having its principal office and place of business at 6100 Chevy Chase Drive, Suite 100, Laurel, MD 20707, ARROW ETF TRUST, a Delaware statutory trust having its principal office and place of business at 6100 Chevy Chase Drive, Suite 100, Laurel, MD 20707 (each a “Trust” and together the "Trusts") and ULTIMUS FUND SOLUTIONS, LLC, an Ohio limited liability company having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (“UFS”). This Agreement replaces and supersedes all prior understandings and agreements between the parties hereto for the services described below.
FUND SERVICES AGREEMENT between ARROW INVESTMENTS TRUST,Fund Services Agreement • June 7th, 2019 • Arrow ETF Trust • New York
THIS FUND SERVICES AGREEMENT (this “Agreement”) made as of the 11th day of June, 2015, by and between ARROW INVESTMENTS TRUST, a Delaware statutory trust having its principal office and place of business at 6100 Chevy Chase Drive, Suite 100, Laurel, MD 20707, ARROW ETF TRUST, a Delaware statutory trust having its principal office and place of business at 6100 Chevy Chase Drive, Suite 100, Laurel, MD 20707 (each a “Trust” and together the "Trusts") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“GFS”). This Agreement replaces and supersedes all prior understandings and agreements between the parties hereto for the services described below.
AUTHORIZED PARTICIPANT AGREEMENTAuthorized Participant Agreement • April 3rd, 2012 • Northern Lights ETF Trust • New York
AUTHORIZED PARTICIPANT AGREEMENT (this “Agreement”) dated as of March __, 2012 between Northern Lights Distributors, LLC (“Distributor”) and ___________ (“_________”), a __________ organized under the laws of __________ (the “Participant”)and is subject to acceptance by Brown Brothers Harriman, LLC, the index receipt agent (“Index Receipt Agent”) for Northern Lights ETF Trust (the “Trust”).
FUND SERVICES AGREEMENT between NORTHERN LIGHTS ETF TRUST andFund Services Agreement • April 3rd, 2012 • Northern Lights ETF Trust • New York
THIS FUND SERVICES AGREEMENT (the “Agreement”) made as of the 19th day of January, 2012, by and between NORTHERN LIGHTS ETF TRUST, a Delaware statutory trust having its principal office and place of business at 450 Wireless Boulevard, Hauppauge, New York 11788 (the "Trust") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 4020 South 147th Street, Omaha, Nebraska 68137 (“GFS”). This Agreement replaces and supersedes all prior understandings and agreements between the parties hereto for the services described below.
Certain identified information has been excluded from the exhibit because it is not material and would likely cause competitive harm to the registrant if publicly disclosed.Fund Services Agreement • June 1st, 2021 • Arrow ETF Trust
This Appendix III is part of the Fund Services Agreement dated June 11, 2015, as amended (the “Agreement”), between Arrow Investments Trust, Arrow ETF Trust (the “Trusts”) and Gemini Fund Services, LLC (“GFS”). Set forth below are the Services elected by the Fund(s) identified on this Appendix III along with the associated Fees. Capitalized terms used herein that are not otherwise defined shall have meanings ascribed to them in the Agreement.
AMENDMENT TO FUND SERVICES AGREEMENTFund Services Agreement • May 29th, 2020 • Arrow ETF Trust
THIS AMENDMENT TO FUND SERVICES AGREEMENT (this “Amendment”) is effective as of October 1, 2016, and is made by and between Gemini Fund Services, LLC, a Nebraska limited liability company (“GFS”), Arrow Investments Trust, a Delaware statutory trust, and Arrow ETF Trust, a Delaware statutory trust (each a “Trust” and together the “Trusts”).
COMPLIANCE CONSULTING AGREEMENTCompliance Consulting Agreement • April 3rd, 2012 • Northern Lights ETF Trust • New York
This Compliance Consulting Agreement (the “Agreement”) is effective January 19, 2012, between NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company located at 450 Wireless Boulevard, Hauppauge, NY 11788 (“NLCS”), and NORTHERN LIGHTS ETF TRUST, a Delaware business trust, whose address is 4020 South 147th Street, Omaha, NE 68137 (the "Trust"), on behalf of each series thereof listed on the attached Appendix A, as may be amended from time to time (each a “Fund” and collectively “Funds”).
Certain identified information has been excluded from this exhibit because it is not material and would cause competitive harm to the registrant if publicly disclosed. THIRD AMENDMENT TO FUND SERVICES AGREEMENTFund Services Agreement • May 29th, 2020 • Arrow ETF Trust
THIS THIRD AMENDMENT TO FUND SERVICES AGREEMENT (this “Amendment”) is effective as of April 1, 2020, and is made by and between Gemini Fund Services, LLC, a Nebraska limited liability company (“GFS”), Arrow Investments Trust, a Delaware statutory trust, and Arrow ETF Trust, a Delaware statutory trust (each a “Trust” and together the “Trusts”).
Certain identified information has been excluded from this exhibit because it is not material and would cause competitive harm to the registrant if publicly disclosed. SECOND AMENDMENT TO FUND SERVICES AGREEMENTFund Services Agreement • May 29th, 2020 • Arrow ETF Trust
THIS SECOND AMENDMENT TO FUND SERVICES AGREEMENT (this “Amendment”) is effective as of June 1, 2018, and is made by and between Gemini Fund Services, LLC, a Nebraska limited liability company (“GFS”), Arrow Investments Trust, a Delaware statutory trust, and Arrow ETF Trust, a Delaware statutory trust (each a “Trust” and together the “Trusts”).
Certain identified information has been excluded from this exhibit because it is not material and would cause competitive harm to the registrant if publicly disclosed. FOURTH AMENDMENT TO FUND SERVICES AGREEMENTFund Services Agreement • May 29th, 2020 • Arrow ETF Trust
THIS FOURTH AMENDMENT TO FUND SERVICES AGREEMENT (this “Amendment”) is effective as of January 1, 2020, and is made by and between Gemini Fund Services, LLC, a Nebraska limited liability company (“GFS”), Arrow Investments Trust, a Delaware statutory trust, and Arrow ETF Trust, a Delaware statutory trust (each a “Trust” and together the “Trusts”).
Certain identified information has been excluded from this exhibit because it is not material and would cause competitive harm to the registrant if publicly disclosed. APPENDIX III LIST OF FUNDS SERVICES & FEESFund Services Agreement • May 29th, 2020 • Arrow ETF Trust
This Appendix III is part of the Fund Services Agreement dated June 11, 2015, as amended (the “Agreement”), between Arrow Investments Trust, Arrow ETF Trust (the “Trusts”) and Gemini Fund Services, LLC (“GFS”). Set forth below are the Services elected by the Fund(s) identified on this Appendix III along with the associated Fees. Capitalized terms used herein that are not otherwise defined shall have meanings ascribed to them in the Agreement.
