AMENDED AND RESTATED ADVISORY AGREEMENTAdvisory Agreement • June 19th, 2018 • Reality Shares ETF Trust • Delaware
AMENDED AND RESTATED ADVISORY AGREEMENT (the “Agreement”) made as of this 14th day of June, 2018 by and between REALITY SHARES ETF TRUST (the “Trust”), a Delaware statutory trust registered as an investment company under the Investment Company Act of 1940, as amended (the “1940 Act”), and REALITY SHARES ADVISORS, LLC, a Delaware limited liability company with its principal place of business at 402 West Broadway, Suite 2800 San Diego, CA 92101 (the “Adviser”).
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement) dated December 16, 2014 between REALITY SHARES ETF TRUST, a Delaware statutory trust (the “Trust”), and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation. The “Effective Date” of...Chief Compliance Officer Services Agreement • December 18th, 2014 • Reality Shares ETF Trust • Colorado
In a joint effort between the Trust and ALPS to ensure that the Trust is in compliance with Rule 38a-1 (the “Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”), ALPS has agreed to render services to the Trust by entering into a formal agreement with respect thereto effective from and after the Effective Date.
CUSTODY AGREEMENTCustody Agreement • July 3rd, 2014 • Reality Shares ETF Trust • New York
AGREEMENT, dated as of this 21st day of January, 2014 between Reality Shares ETF Trust, a Delaware statutory trust, having its principal office and place of business at 402 West Broadway, Suite 2800, San Diego, CA 92101 (the “Trust”) and The Bank of New York Mellon, a New York corporation authorized to do a banking business having its principal office and place of business at One Wall Street, New York, New York 10286 (“Custodian”).
DISTRIBUTION AGREEMENTDistribution Agreement • December 18th, 2014 • Reality Shares ETF Trust • Colorado
THIS AGREEMENT is made as of this 21st day of January, 2014, between Reality Shares ETF Trust, a statutory trust organized pursuant to the laws of Delaware (the “Fund”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • July 3rd, 2014 • Reality Shares ETF Trust • New York
ETF Trust, a Delaware statutory trust having its principal office and place of business at 402 West Broadway, Suite 2800, San Diego, CA 92101 (the “Trust”), on behalf of each Series of the Trust listed on Appendix I hereto (as such Appendix be amended from time to time), and THE BANK OF NEW YORK MELLON, a New York banking company having its principal office and place of business at One Wall Street, New York, New York 10286 (the “Bank”).
FORM OF DISTRIBUTION AGREEMENTForm of Distribution Agreement • February 7th, 2014 • Reality Shares ETF Trust • Colorado
THIS AGREEMENT is made as of , 2013, between Reality Shares ETF Trust, a statutory trust organized pursuant to the laws of Delaware (the “Fund”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • August 10th, 2020 • Siren ETF Trust • Delaware
EXPENSE LIMITATION AGREEMENT (the “Agreement”), effective as of [____], 2020 by and between SRN Advisors. LLC (the “Adviser”) and Siren ETF Trust (the “Trust”), on behalf of each series of the Trust set forth in Schedule A attached hereto, as may be amended from time to time by mutual agreement of the parties (each, a “Fund,” and collectively, the “Funds”).
AGREEMENT AND DECLARATION OF TRUST OF REALITY SHARES ETF TRUSTAgreement and Declaration of Trust • November 12th, 2013 • Reality Shares ETF Trust
WHEREAS, THIS AGREEMENT AND DECLARATION OF TRUST is made and entered into as of the date set forth below by the Trustees named hereunder for the purpose of forming a Delaware statutory trust in accordance with the provisions hereinafter set forth, to be effective upon the filing of the executed Certificate of Trust with the state of Delaware.
AMENDED AND RESTATED BY-LAWS OF REALITY SHARES ETF TRUSTReality Shares ETF Trust • February 28th, 2017
FORM OF TRANSFER AGENCY AND SERVICE AGREEMENTForm of Transfer Agency and Service Agreement • February 7th, 2014 • Reality Shares ETF Trust • New York
ETF Trust, a Delaware statutory trust having its principal office and place of business at 402 West Broadway, Suite 2800, San Diego, CA 92101 (the “Trust”), on behalf of each Series of the Trust listed on Appendix I hereto (as such Appendix be amended from time to time), and THE BANK OF NEW YORK MELLON, a New York banking company having its principal office and place of business at One Wall Street, New York, New York 10286 (the “Bank”).
DISTRIBUTION AGREEMENTDistribution Agreement • June 19th, 2018 • Reality Shares ETF Trust • Colorado
THIS AGREEMENT (the “Agreement”) is made as of April 16 , 2018, between Reality Shares ETF Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
March 30, 2020Reality Shares ETF Trust • May 15th, 2020
Re: Agreement and Plan of Reorganization, dated as of March 27, 2020 (the “Agreement”), by and between (i) Reality Shares ETF Trust, a Delaware statutory trust (the “Trust”), on behalf of its series, the DIVCON Dividend Guard ETF (the “Acquired Fund”); (ii) the Trust, on behalf of its series, the DIVCON Dividend Defender ETF (the “Surviving Fund” and together with the Acquired Fund, the “Funds”); and (iii) solely for the purposes of Sections 14(b) and 18(b) of the Agreement, Reality Shares Advisors, LLC (“Reality Shares”) the investment adviser to the Funds.
ContractDistribution Agreement • February 26th, 2016 • Reality Shares ETF Trust
Amendment No. 2 to Distribution Agreement This Amendment No. 2 (this “Amendment”), dated December 9, 2015, to the Distribution Agreement (the “Agreement”), dated January 21, 2014, between the Reality Shares ETF Trust, a Delaware statutory trust (the “Fund”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”). WHEREAS, the Fund and ALPS wish to amend the Agreement in order to reflect the addition of three new Portfolios as follows: Reality Shares DIVCON Leaders Dividend ETF (LEAD) Reality Shares DIVCON Dividend Defender ETF (DFND) Reality Shares DIVCON Dividend Guard ETF (GARD) NOW THEREFORE, in consideration of the premises and mutual covenants hereinafter contained, the parties hereby agree as follows: Appendix A to the Agreement is deleted in its entirety and replaced with the Appendix A attached hereto. Except as specifically set forth herein, all other provisions of the Agreement shall remain in full force and effect. Any items not herein defined shall have the meaning as
Amendment No. 3 to the Distribution AgreementDistribution Agreement • February 27th, 2018 • Reality Shares ETF Trust
This Amendment No. 3 to the Distribution Agreement (this “Amendment”), by and between Reality Shares ETF Trust, a Delaware statutory trust (the “Fund”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”), is effective as of December __, 2017 (the “Effective Date”).
FORM OF OPINIONSiren ETF Trust • August 10th, 2020
AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • April 5th, 2018 • Reality Shares ETF Trust • New York
This Amendment (“Amendment”) dated March 27, 2018 is by and between Reality Shares ETF Trust (the “Trust”) and The Bank of New York Mellon (“BNY Mellon”).
AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • June 19th, 2018 • Reality Shares ETF Trust
This Amendment, dated as of April 10, 2018, between Reality Shares ETF Trust, (the “Trust”), each Fund listed on Schedule II of the Custody Agreement dated January 21, 2014, (the “Fund”) severally and not jointly, and The Bank of New York Mellon (the “Custodian”), who are parties to the Custody Agreement dated January 21, 2014 (the “Agreement”).
AMENDMENT TO FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • April 5th, 2018 • Reality Shares ETF Trust
This Amendment (the “Amendment”) is made as of March 26, 2018 by and between each entity listed on Exhibit A to the Agreement (as defined below) (each a “Fund”, collectively the “Funds”) and THE BANK OF NEW YORK MELLON (“BNY Mellon”).
AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • July 3rd, 2014 • Reality Shares ETF Trust
This Amendment, dated as of May 30, 2014. by and between Reality Shares ETF Trust, (the “Trust”), on behalf of each Series of the Trust listed on Appendix I hereto (as such Appendix be amended from time to time), and THE BANK OF NEW YORK MELLON, (the “Bank”), who are parties to the Transfer Agency and Services Agreement dated January 21, 2014 (the “Agreement”).
Amendment No. 1 to Distribution AgreementDistribution Agreement • December 18th, 2014 • Reality Shares ETF Trust
This Amendment No. 1 (this “Amendment”), dated July 1, 2014 to that certain Distribution Agreement (the “Agreement”), dated January 21, 2014, between Reality Shares ETF Trust, a statutory trust established under the laws of the State of Delaware (the “Fund”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
INITIAL CAPITAL AGREEMENTInitial Capital Agreement • November 12th, 2014 • Reality Shares ETF Trust
Reality Shares ETF Trust (the “Trust”), a Delaware statutory trust, and Reality Shares, Inc. (“Company”), a corporation organized and existing under the General Corporation Law of the State of Delaware, hereby agree as of October 22, 2014 as follows:
AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • October 31st, 2018 • Reality Shares ETF Trust
This Amendment, dated as of September 13, 2018, between Reality Shares ETF Trust, (the “Trust”), each Fund listed on Schedule II of the Custody Agreement dated January 21, 2014, (the “Fund”) severally and not jointly, and The Bank of New York Mellon (the “Custodian”), who are parties to the Custody Agreement dated January 21, 2014 (the “Agreement”).
AMENDMENT TOCustody Agreement • February 27th, 2018 • Reality Shares ETF Trust
This Amendment, dated as of January 16, 2018, between Reality Shares ETF Trust, (the “Trust”), each Fund listed on Schedule II of the Custody Agreement dated January 21, 2014, (the “Fund”) severally and not jointly, and The Bank of New York Mellon (the “Custodian”), who are parties to the Custody Agreement dated January 21, 2014 (the “Agreement”).
FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • July 3rd, 2014 • Reality Shares ETF Trust • New York
AGREEMENT made as of this 21st day of January, 2014, by and between each entity listed on Exhibit A hereto (each a “Fund”, collectively the “Funds”), and The Bank of New York Mellon, a New York banking organization (“BNY”).
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • February 27th, 2018 • Reality Shares ETF Trust
This Amendment, dated as of January 16, 2018, by and between Reality Shares ETF Trust, (the “Trust”), on behalf of each Series of the Trust listed on Appendix I hereto (as such Appendix be amended from time to time), and THE BANK OF NEW YORK MELLON, (the “Bank”), who are parties to the Transfer Agency and Services Agreement dated January 21, 2014 (the “Agreement”).
AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • July 3rd, 2014 • Reality Shares ETF Trust
This Amendment, dated as of May 30, 2014, between Reality Shares ETF Trust, (the “Trust”), each Fund listed on Schedule II of the Custody Agreement dated January 21, 2014, (the “Fund”) severally and not jointly, and The Bank of New York Mellon (the “Custodian”), who are parties to the Custody Agreement dated January 21, 2014 (the “Agreement”).
AMENDMENT TO FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • July 3rd, 2014 • Reality Shares ETF Trust
This Amendment, dated as of May 30, 2014. by and between each entity listed on Exhibit A hereto (each a “Fund”, collectively the “Funds”), and The Bank of New York Mellon, a New York banking organization (“BNY”), who are parties to the Fund Administration and Accounting Agreement dated January 21, 2014.
AGREEMENT AND PLAN OF REORGANIZATIONAgreement and Plan of Reorganization • May 15th, 2020 • Reality Shares ETF Trust • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION (the “Agreement”) is made as of this 27th day of March, 2020, by and between Reality Shares ETF Trust, a Delaware statutory trust (the “Trust”), on behalf of the DIVCON Dividend Guard ETF (the “Acquired Fund”), and the Trust, on behalf of the DIVCON Dividend Defender ETF (the “Surviving Fund” and, together with the Acquired Fund, the “Funds”). Reality Shares Advisors, LLC (“Reality Shares”) joins this Agreement solely for purposes of Sections 14(b) and 18(b). Except for the Funds, no other series of the Trust are parties to this Agreement. The Trust has its principal place of business at 402 West Broadway, Suite 2800, San Diego, California 92101.
AMENDMENT TO FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • June 19th, 2018 • Reality Shares ETF Trust
This Amendment, dated as of April 10, 2018, by and between each entity listed on Exhibit A hereto (each a “Fund”, collectively the “Funds”), and The Bank of New York Mellon, a New York banking organization (“BNY”), who are parties to the Fund Administration and Accounting Agreement dated January 21, 2014.
FORM OF INITIAL CAPITAL AGREEMENTInitial Capital Agreement • February 7th, 2014 • Reality Shares ETF Trust
Reality Shares ETF Trust (the “Trust”), a Delaware statutory trust, and [insert purchaser] (“[ ]”), a [insert organizational form], hereby agree as of [insert date], as follows:
Amendment No. 2 to the Distribution AgreementDistribution Agreement • October 31st, 2018 • Reality Shares ETF Trust
This Amendment No. 2 to the Distribution Agreement (this “Amendment”), by and between Reality Shares ETF Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”), is effective as of September 13, 2018 (the “Effective Date”).
AMENDMENT TOManager Agreement • June 19th, 2018 • Reality Shares ETF Trust
This Amendment, dated as of April 10, 2018, each entity listed on Annex I attached hereto (the “Fund”) and The Bank of New York Mellon (“BNY”), who are parties to the Transfer Agency and Services Agreement dated January 17, 2018 (the “Agreement”).
AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • April 5th, 2018 • Reality Shares ETF Trust • New York
This Amendment (“Amendment”) dated March 27, 2018 by and between Reality Shares ETF Trust (“Trust”) and The Bank of New York Mellon (the “Bank”).
AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • October 31st, 2018 • Reality Shares ETF Trust
This Amendment, dated as of September 13, 2018, by and between Reality Shares ETF Trust, (the “Trust”), on behalf of each Series of the Trust listed on Appendix I hereto (as such Appendix be amended from time to time), and THE BANK OF NEW YORK MELLON, (the “Bank”), who are parties to the Transfer Agency and Services Agreement dated January 21, 2014 (the “Agreement”).
ContractReality Shares ETF Trust • February 26th, 2016
Amendment to Chief Compliance Officer Services Agreement Between Reality Shares ETF Trust and ALPS Fund Services, Inc. THIS AMENDMENT is made as of November 2 , 2015 by and between Reality Shares ETF Trust (the “Trust”) and ALPS Fund Services, Inc. (“ALPS”). WHEREAS, the Trust and ALPS have entered into a Chief Compliance Officer Services Agreement (the “Agreement”), dated December 16, 2014; and WHEREAS, the parties wish to amend Section 1 of the Agreement. NOW, THEREFORE, the parties hereto, intending to be legally bound, agree as follows: Term of Agreement. The last sentence of Section 1 of the Agreement shall be deleted in its entirety and replaced with the following: After the Term, this Agreement will renew automatically for additional one-year periods of time (each, a “Renewal Term”), unless one party hereto provides the other party with written notice of termination at least sixty (60) days prior to the expiration of the then-current Renewal Term, in which case such termination
